[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2003 Edition]
[From the U.S. Government Printing Office]



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                    49


          Parts 200 to 399

                         Revised as of October 1, 2003

Transportation





          Containing a codification of documents of general 
          applicability and future effect
          As of October 1, 2003
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2003



  For sale by the Superintendent of Documents, U.S. Government Printing 
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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 49:
    Subtitle B--Other Regulations Relating to Transportation--
      (Continued):
          Chapter II--Federal Railroad Administration, 
          Department of Transportation                               5
          Chapter III--Federal Motor Carrier Safety 
          Administration, Department of Transportation             751
  Finding Aids:
      Material Approved for Incorporation by Reference........    1231
      Table of CFR Titles and Chapters........................    1235
      Alphabetical List of Agencies Appearing in the CFR......    1253
      List of CFR Sections Affected...........................    1263



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                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 49 CFR 200.1 refers 
                       to title 49, part 200, 
                       section 1.

                     ----------------------------

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                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, October 1, 2003), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

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Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate 
volumes. For the period beginning January 1, 2001, a ``List of CFR 
Sections Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 741-6010.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

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REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
[email protected].

SALES

    The Government Printing Office (GPO) processes all sales and 
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Government Manual, the Federal Register, Public Laws, Public Papers, 
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Compilation are available in electronic format at www.access.gpo.gov/
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Phone 202-512-1530, or 888-293-6498 (toll-free). E-mail, 
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    The Office of the Federal Register also offers a free service on the 
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site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.archives.gov/federal--
register. The NARA site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

October 1, 2003.



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                               THIS TITLE

    Title 49--Transportation is composed of eight volumes. The parts in 
these volumes are arranged in the following order: Parts 1-99, parts 
100-185, parts 186-199, parts 200-399, parts 400-599, parts 600-999, 
parts 1000-1199, part 1200 to End. The first volume (parts 1-99) 
contains current regulations issued under subtitle A--Office of the 
Secretary of Transportation; the second volume (parts 100-185) and the 
third volume (parts 186-199) contain the current regulations issued 
under chapter I--Research and Special Programs Administration (DOT); the 
fourth volume (parts 200-399) contains the current regulations issued 
under chapter II--Federal Railroad Administration (DOT) and chapter III-
-Federal Motor Carrier Safety Administration (DOT); the fifth volume 
(parts 400-599) contains the current regulations issued under chapter 
IV--Coast Guard (DHS) and chapter V--National Highway Traffic Safety 
Administration (DOT); the sixth volume (parts 600-999) contains the 
current regulations issued under chapter VI--Federal Transit 
Administration (DOT), chapter VII--National Railroad Passenger 
Corporation (AMTRAK), and chapter VIII--National Transportation Safety 
Board; the seventh volume (parts 1000-1199) contains the current 
regulations issued under chapter X--Surface Transportation Board (DOT); 
and the eighth volume (part 1200 to End) contains the current 
regulations issued under chapter X--Surface Transportation Board, 
chapter XI--Bureau of Transportation Statistics, and chapter XII--
Transportation Security Administration, Department of Homeland Security. 
The contents of these volumes represent all current regulations codified 
under this title of the CFR as of October 1, 2003.

    In the volume containing parts 100-185, see Sec. 172.101 for the 
Hazardous Materials Table. The Federal Motor Vehicle Safety Standards 
appear in part 571.

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

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                        TITLE 49--TRANSPORTATION




                  (This book contains parts 200 to 399)

  --------------------------------------------------------------------
                                                                    Part

  SUBTITLE B--Other Regulations Relating To Transportation--(Continued)

chapter ii--Federal Railroad Administration, Department of 
  Transportation............................................         200

chapter iii--Federal Motor Carrier Safety Administration, 
  Department of Transportation..............................         301

[[Page 3]]

  Subtitle B--Other Regulations Relating To Transportation (Continued)

[[Page 5]]



       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 
                             TRANSPORTATION




  --------------------------------------------------------------------
Part                                                                Page
200             Informal rules of practice for passenger 
                    service.................................           7
201             Formal rules of practice for passenger 
                    service.................................           9
207             Railroad police officers....................          15
209             Railroad safety enforcement procedures......          16
210             Railroad noise emission compliance 
                    regulations.............................          58
211             Rules of practice...........................          64
212             State safety participation regulations......          82
213             Track safety standards......................          92
214             Railroad workplace safety...................         143
215             Railroad freight car safety standards.......         171
216             Special notice and emergency order 
                    procedures: Railroad track, locomotive 
                    and equipment...........................         186
217             Railroad operating rules....................         190
218             Railroad operating practices................         193
219             Control of alcohol and drug use.............         207
220             Railroad communications.....................         248
221             Rear end marking device--passenger, commuter 
                    and freight trains......................         256
223             Safety glazing standards--locomotives, 
                    passenger cars and cabooses.............         261
225             Railroad accidents/incidents: Reports 
                    classification, and investigations......         267
228             Hours of service of railroad employees......         289
229             Railroad locomotive safety standards........         302
230             Steam locomotive inspection and maintenance 
                    standards...............................         331
231             Railroad safety appliance standards.........         396
232             Brake system safety standards for freight 
                    and other non-passenger trains and 
                    equipment; end-of-train devices.........         439
233             Signal systems reporting requirements.......         483
234             Grade crossing signal system safety.........         484

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235             Instructions governing applications for 
                    approval of a discontinuance or material 
                    modification of a signal system or 
                    relief from the requirements of part 236         495
236             Rules, standards, and instructions governing 
                    the installation, inspection, 
                    maintenance, and repair of signal and 
                    train control systems, devices, and 
                    appliances..............................         499
238             Passenger equipment safety standards........         535
239             Passenger train emergency preparedness......         610
240             Qualification and certification of 
                    locomotive engineers....................         621
241             United States locational requirement for 
                    dispatching of United States rail 
                    operations..............................         669
244             Regulations on safety integration plans 
                    governing railroad consolidations, 
                    mergers, and acquisitions of control....         676
245             Railroad user fees..........................         682
250             Guarantee of certificates of trustees of 
                    railroads in reorganization.............         687
256             Financial assistance for railroad passenger 
                    terminals...............................         692
260             Regulations governing loans and loan 
                    guarantees under the railroad 
                    rehabilitation and improvement financing 
                    program.................................         702
261             Credit assistance for surface transportation 
                    projects................................         715
265             Nondiscrimination in federally assisted 
                    railroad programs.......................         715
266             Assistance to States for local rail service 
                    under section 5 of the Department of 
                    Transportation Act......................         727
268             Magnetic levitation transportation 
                    technology deployment program...........         742

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PART 200--INFORMAL RULES OF PRACTICE FOR PASSENGER SERVICE--Table of Contents




Sec.
200.1 Genera1.
200.3 Definitions.
200.5 Applications.
200.7 Objections.
200.9 Hearings.
200.11 Orders, approvals, and determinations.
200.13 Publication.

    Authority: Secs. 402(e) and 406 of Pub. L. 91-518, 84 Stat. 1327, as 
amended by sec. 10(2) of Pub. L. 93-146, 87 Stat. 548 and sec. 121 of 
Pub. L. 96-73, 93 Stat. 537 (45 U.S.C. 562(e), 566); 49 CFR 1.49.

    Source: 45 FR 64192, Sept. 29, 1980, unless otherwise noted.



Sec. 200.1  General.

    This part prescribes procedures under which applications will be 
received and heard and by which rules and orders will be issued under 
subsection 402(e) and section 406 of the Rail Passenger Service Act (45 
U.S.C. 562(e) and 566).



Sec. 200.3  Definitions.

    (a) Act means the Rail Passenger Service Act (45 U.S.C. 500 et 
seq.).
    (b) Administrator means the Federal Railroad Administrator, the 
Deputy Administrator of FRA, or the delegate of either.
    (c) Amtrak means the National Railroad Passenger Corporation.
    (d) Amtrak trains means trains operated by or on behalf of Amtrak.
    (e) Chief Counsel means the Chief Counsel or Acting Chief Counsel of 
the FRA.
    (f) Downgrading of a facility means a reduction in track 
classification as specified in FRA track safety standards (49 CFR part 
213), or any other change in facilities which may increase the time 
required for a passenger train to operate over the route on which such 
facility is located.
    (g) Facility means railroad tracks, right-of-way, fixed equipment 
and facilities, real-property appurtenant thereto, and includes signal 
systems, passenger station and repair tracks, station buildings, 
platforms, and adjunct facilities such as water, fuel, steam, electric, 
and air lines.
    (h) FRA means the Federal Railroad Administration.
    (i) Railroad means a person providing railroad transportation for 
compensation.
    (j) Shipper means a person contracting with one or more railroads 
for freight transportation.



Sec. 200.5  Applications.

    (a) Each application and objection under this part shall be 
submitted in writing to: Docket Clerk, Office of the Chief Counsel, 
Federal Railroad Administration, 400 7th Street, SW., Washington, DC 
20590.
    (b) Any procedural issues arising from the submission or 
consideration of applications under this part, such as timeliness and 
adequacy, shall be heard and decided by the Administration's panel 
established under Sec. 200.9.
    (c) Any railroad adversely affected by the preference requirement of 
subsection 402(e) of the Act may apply to the Administrator for an order 
altering that requirement. Each application shall:
    (1) List by endpoints the routes that are so affected; and
    (2) Explain for every route listed how the preference requirement of 
subsection 402(e) will materially lessen the quality of freight service 
afforded by the applicant to its shippers, including information, data 
or documents sufficient to support that explanation; and
    (3) Include an analysis of whether and by how much Amtrak's 
compensation to the railroad should be reduced if the preference 
requirement is altered.
    (d) In accordance with section 406 of the Act, any railroad may 
apply to the Administrator for approval to downgrade or dispose of its 
facilities. Each application shall:
    (1) List the facilities for proposed downgrading or disposal;
    (2) Describe and give the location of each such facility and 
identify the most recent passenger service that made use of such 
facilities; and
    (3) Contain for each facility an analysis of the costs the railroad 
could avoid if it were not required to maintain or retain the facility 
in the condition requested by Amtrak, including

[[Page 8]]

information, data and documents sufficient to support the analysis.
    (e) In addition to the data provided with their applications, 
applicants shall furnish the Administrator with any other information 
that the Administrator finds necessary in order to make the 
determinations required by the Act.
    (f) Each applicant shall promptly notify, by registered or certified 
mail, any party affected by any application, whether Amtrak or a 
railroad, of the submission of such application under this part, and 
shall provide a copy of the application with such notice. An official 
United States Postal Service receipt from the registered or certified 
mailing constitutes prima facie evidence of notice.



Sec. 200.7  Objections.

    (a) Amtrak or any other party shall have 30 days from the date an 
application is received by FRA pursuant to section 402(e) of the Act to 
object to the proposed alteration of the preference requirement. Such 
objections shall be in writing and shall reference, by date, railroad, 
and former passenger routes, the application to which it pertains.
    (b) Amtrak shall have 30 days from the date an application is 
received by FRA pursuant to section 406 of the Act to object to any or 
all of the facility downgradings or disposals proposed in such 
application. Such objections shall be in writing and shall reference, by 
date, railroad, and former passenger routes, the application to which it 
pertains and shall list, by facility description and location, the 
specific downgradings or disposals to which Amtrak objects.



Sec. 200.9  Hearings.

    (a) Pursuant to any application under this part, a prehearing 
conference will be held if found necessary or desirable by the 
Administrator.
    (b) Pursuant to any application under this part, an oral hearing 
will be held if required by statute or if found necessary or desirable 
by the Administrator.
    (c) Hearings shall be conducted by a panel designated by the 
Administrator, consisting of three FRA employees, including the Chief 
Counsel or a member of his or her staff who shall serve as chairman of 
the panel and the Associate Administrator for Intercity Programs or his 
or her delegate.
    (d) Hearings shall be informal fact-finding proceedings, limited to 
the issues identified by the panel. Sections 556 and 557 of title 5, 
U.S.C., shall not apply.
    (e) All direct evidence shall be reduced to writing and submitted to 
the Docket Clerk thirty days in advance of the hearing unless this 
requirement is expressly waived by the panel. Copies shall be furnished 
to all parties concurrently with the submission to the Docket Clerk.
    (f) The panel may provide for oral presentations and cross-
examination, and shall apply rules of evidence as it finds necessary.
    (g) To the extent deemed appropriate by the panel, interested 
persons, including members of the public, may participate in the 
hearings through the submission of written data, oral presentations, or 
arguments.



Sec. 200.11  Orders, approvals, and determinations.

    (a) The Administrator shall promptly approve the downgrading or 
disposal of any facility to which Amtrak does not submit a timely 
objection under this part.
    (b) Orders, approvals, and determinations issued by the 
Administrator's panel under this part constitute the Administrator's 
action and shall be final.
    (c) Determinations under this part are not required to be based 
exclusively on the record of a hearing.



Sec. 200.13  Publication.

    (a) General notice of any hearing under this subpart shall be 
published in the Federal Register not less than 10 days before the 
hearing, and shall include (1) a statement of the time, place, and 
nature of the hearing, (2) a reference to the legal authority under 
which the hearing is being held and (3) a description of the subject and 
issues involved.
    (b) Any order, approval, or determination resulting from any hearing

[[Page 9]]

held under this part shall be published in the Federal Register.



PART 201--FORMAL RULES OF PRACTICE FOR PASSENGER SERVICE--Table of Contents




Sec.
201.1 General.
201.3 Definitions.
201.4 Scope of regulations.
201.5 Applications.
201.6 Notice of hearing.
201.7 Notification by interested persons.
201.8 Presiding officer.
201.9 Direct testimony submitted as written documents.
201.10 Mailing address.
201.11 Inspection and copying of documents.
201.12 Ex parte communications.
201.13 Prehearing conference.
201.14 Final agenda of the hearing.
201.15 Determination to cancel the hearing.
201.16 Rebuttal testimony and new issues of fact in final agenda.
201.17 Waiver of right to participate.
201.18 Conduct of the hearing.
201.19 Direct testimony.
201.20 Cross-examination.
201.21 Oral and written arguments.
201.22 Recommended decision, certification of the transcript, and 
          submission of comments on the recommended decision.
201.23 Administrator's decision.

    Authority: Secs. 402(f) and (h) of Pub. L. 91-518, 84 Stat. 1327, as 
amended by sec. 10(2) of Pub. L. 93-146, 87 Stat. 548 and sec. 216 of 
Pub. L 96-254, 94 Stat. 418 (45 U.S.C. 562 (f) and (h)); sec. 1.49 of 
Title 49, Code of Federal Regulations.

    Source: 46 FR 2614, Jan. 12, 1981, unless otherwise noted.



Sec. 201.1  General.

    This part prescribes procedures under which applications will be 
received and heard and by which rules and orders will be issued under 
subsections 402(f) and (h) of the Rail Passenger Service Act (45 U.S.C. 
562 (f) and (h)).



Sec. 201.3  Definitions.

    (a) The definitions set forth in Sec. 200.3 shall apply to this 
part.
    (b) The following definitions shall also apply to this part:
    (1) Party means--
    (i) The Administrator or his representative; or
    (ii) A person who has notified the Administrator by specified dates 
of his or her intent to participate in the hearing pursuant to 
Secs. 201.7 and 201.16(b).
    (2) Witness means any person who submits written direct testimony on 
an application to the Secretary under this part. A person may be both a 
party and a witness.



Sec. 201.4  Scope of regulations.

    The procedural regulations in this part govern the practice and 
procedure in hearings held under subsections 402(f) and (h) of the Act. 
These hearings will be governed by the provisions of 5 U.S.C. 556 and 
557 of the Administrative Procedure Act. The regulations shall be 
construed to secure the just, speedy, and inexpensive determination of 
all issues raised with respect to any proposal to increase speeds or to 
add trains pursuant to subsections 402(f) and (h) of the Act with full 
protection for the rights of all persons affected thereby.



Sec. 201.5  Applications.

    (a) Each application and objection under this part shall be 
submitted in writing to: Docket Clerk, Office of the Chief Counsel, 
Federal Railroad Administration, 400 7th Street, SW., Washington, DC 
20590.
    (b) Any procedural issues arising from the submission or 
consideration of applications under this part, such as timeliness and 
adequacy, shall be heard and decided by the presiding officer appointed 
under Sec. 201.8.
    (c) In accordance with subsection 402(f) of the Act, Amtrak may 
apply to the Administrator for an order requiring a railroad to permit 
accelerated speeds by Amtrak trains. Each application shall:
    (1) List by endpoints the routes for which Amtrak desires such 
acceleration;
    (2) Not list routes of more than one railroad;
    (3) Indicate by route and train the maximum speeds for Amtrak trains 
permitted by the railroad and the maximum speeds desired by Amtrak;
    (4) Indicate for each route listed the track classification as 
specified in FRA track safety standards (49 CFR part 213); and

[[Page 10]]

    (5) Explain why the maximum speeds Amtrak desires are safe and 
practicable, or what track, signal system, or other facility 
improvements would make such speeds safe and practicable.
    (d) In accordance with subsection 402(h) of the Act, Amtrak may 
apply to the Administrator for an order to require a railroad to permit 
or provide the operation of additional passenger trains on its rail 
lines. Each application shall:
    (1) List the railroad, the endpoints of the proposed additional 
train or trains, and the proposed schedule for such additional train or 
trains, and
    (2) Describe and give the background of all prior efforts and 
negotiations to obtain a satisfactory voluntary agreement with the 
railroad for the operation of the proposed additional train or trains.
    (e) In addition to the data provided with their applications, 
applicants shall furnish the Administrator with any other information 
that the Administrator finds necessary in order to make the 
determinations required by the Act.
    (f) Each applicant shall promptly notify, by registered or certified 
mail, any party affected by any application, whether Amtrak or a 
railroad, of the submission of each application under this part, and 
shall provide a copy of the application with such notice. An official U. 
S. Postal Service return receipt from the registered or certified 
mailing constitutes prima facie evidence of notice.



Sec. 201.6  Notice of hearing.

    (a) A notice of hearing on an application shall be published in the 
Federal Register.
    (b) The notice shall state:
    (1) The nature of the hearing;
    (2) The place and date of the hearing. The date shall not be less 
than 60 days after publication of notice of the hearing;
    (3) The legal authority under which the hearing is to be held;
    (4) Issues of fact which may be involved in the hearing;
    (5) If a draft Environmental Impact Statement is required, the date 
of publication of the draft and the place(s) where the draft and 
comments thereon may be viewed and copied;
    (6) The place(s) where records and submitted direct testimony will 
be kept for public inspection;
    (7) The final date for filing a notice of intent to participate in 
the hearing;
    (8) The final date for submission of direct testimony on the 
application, and the number of copies required;
    (9) The docket number assigned to the case, which shall be used in 
all subsequent proceedings; and
    (10) The place and date of the prehearing conference.



Sec. 201.7  Notification by interested persons.

    Any person desiring to participate as a party shall notify the 
Administrator, by registered or certified mail, on or before the date 
specified in the notice.



Sec. 201.8  Presiding officer.

    (a) Upon publication of the notice of hearing pursuant to 
Sec. 201.6, the Administrator shall appoint a presiding officer pursuant 
to 5 U.S.C. 3105. No individual who has any conflict of interest, 
financial or otherwise, shall serve as presiding officer in such 
proceeding.
    (b) The presiding officer, in any proceeding under this part, shall 
have power to:
    (1) Change the time and place of the hearing and adjourn the 
hearing;
    (2) Evaluate direct testimony submitted pursuant to these 
regulations, make a preliminary determination of the issues, conduct a 
prehearing conference to determine the issues for the hearing agenda, 
and cause to be published in the Federal Register a final hearing 
agenda;
    (3) Rule upon motions, requests, and admissibility of direct 
testimony;
    (4) Administer oaths and affirmations, question witnesses, and 
direct witnesses to testify;
    (5) Modify or waive any rule (after notice) upon determining that no 
party will be prejudiced;
    (6) Receive written comments and hear oral agruments;
    (7) Render a recommended decision; and
    (8) Do all acts and take all measures, including regulation of media 
coverage, for the maintenance of order at

[[Page 11]]

and the efficient conduct of the proceeding.
    (c) In case of the absence of the original presiding officer or his 
inability to act, the Administrator may assign to a successor the powers 
and duties of the original presiding officer without abatement of the 
proceeding unless otherwise ordered by the Administrator.
    (d) The presiding officer may upon his own motion withdraw as 
presiding officer in a proceeding if he deems himself to be 
disqualified.
    (e) A presiding officer may be requested to withdraw at any time 
prior to the recommended decision. Upon the filing by an interested 
person in good faith of a timely and sufficient affidavit alleging the 
presiding officer's personal bias, malice, conflict of interest, or 
other basis which might result in prejudice to a party, the hearing 
shall recess. The Administrator shall immediately act upon such 
allegation as a part of the record and decision in the proceeding, after 
making such investigation or holding such hearings, or both, as he may 
deem appropriate in the circumstances.



Sec. 201.9  Direct testimony submitted as written documents.

    (a) Unless otherwise specified, all direct testimony, including 
accompanying exhibits, shall be submitted to the presiding officer in 
writing no later than the dates specified in the notice of the hearing, 
the final hearing agenda, or within 15 days after the conclusion of the 
prehearing conference, as the case may be. All direct testimony shall be 
in affidavit form, and exhibits constituting part of such testimony, 
referred to in the affidavit and made a part thereof, shall be attached 
to the affidavit. Direct testimony submitted with exhibits shall state 
the issue to which the exhibit relates; if no such statement is made, 
the presiding officer shall determine the relevance of the exhibit to 
the issues published in the Federal Register.
    (b) The direct testimony submitted shall contain:
    (1) A concise statement of the witness' interest in the proceeding 
and his position regarding the issues presented. If the direct testimony 
is presented by a witness who is not a party, the witness shall state 
his relationship to the party;
    (2) Facts that are relevant and material; and
    (3) Any proposed issues of fact not stated in the notice of the 
hearing and the reason(s) why such issues should be considered at the 
hearing.
    (c) Ten copies of all direct testimony shall be submitted unless the 
notice of the hearing specifies otherwise.
    (d) Upon receipt, direct testimony shall be assigned a number and 
stamped with that number and the docket number.
    (e) Contemporaneous with the publication of the notice of hearing, 
Amtrak's direct testimony in support of its application shall be 
available for public inspection as specified in the notice of hearing. 
Amtrak may submit additional direct testimony during the time periods 
allowed for submission of such testimony by witnesses.



Sec. 201.10  Mailing address.

    Unless otherwise specified in the notice of hearing, all direct 
testimony shall be addressed to the Docket Clerk, Office of the Chief 
Counsel, Federal Railroad Administration, 400 7th Street, SW., 
Washington, DC 20590. All affidavits and exhibits shall be clearly 
marked with the docket number of the proceeding.



Sec. 201.11  Inspection and copying of documents.

    (a) If confidential financial information is not involved, any 
document in a file pertaining to any hearing authorized by this part or 
any document forming part of the record of such a hearing may be 
inspected or copied in the Office of the Chief Counsel, Federal Railroad 
Administration, 400 7th Street, SW., Washington, DC 20590, unless the 
file is in the care and custody of the presiding officer in which case 
he shall notify the parties as to where and when the record may be 
inspected.
    (b) If confidential financial information is involved, the presiding 
officer, at his discretion, upon the request of any party, may deny the 
public inspection and copying of such information.

[[Page 12]]



Sec. 201.12  Ex parte communications.

    (a) After notice of a hearing is published in the Federal Register, 
all communications, whether oral or written, involving any substantive 
or procedural issue and directed either to the presiding officer or to 
the Administrator, without reference to these rules of procedure, shall 
be deemed ex parte communications and shall not be considered part of 
the record for decision. A record of oral ex parte communications shall 
be made by the persons contacted. All written ex parte communications 
shall be available for public viewing at the places(s) specified in the 
notice of hearing.
    (b) The presiding officer shall not consult any person or party on 
any fact in issue or on the merits of the matter unless notice and 
opportunity is given for all parties to participate.



Sec. 201.13  Prehearing conference.

    (a) After an examination of all the direct testimony submitted, the 
presiding officer shall make a preliminary determination of issues of 
fact to be addressed at the hearing.
    (b) The presiding officer's preliminary determination shall be made 
available at the place or places provided in the notice of the hearing 
at least five days before the prehearing conference is held.
    (c) The purpose of the prehearing conference shall be to enable the 
presiding officer to determine, on the basis of the direct testimony 
submitted and prehearing discussions:
    (1) Whether the presiding officer's preliminary determination of 
issues of fact for the hearing has omitted or misconstrued any 
significant issues, and
    (2) The nature of the interest of each party and which parties' 
interests are adverse.
    (d) Only parties may participate in the prehearing conference. A 
party may appear in person or be represented by counsel.
    (e) Parties who do not appear at the prehearing conference shall be 
bound by the conference's determinations.



Sec. 201.14  Final agenda of the hearing.

    (a) After the prehearing conference, the presiding officer shall 
prepare a final agenda which shall be published in the Federal Register 
within ten days after the conclusion of the conference. A copy of the 
final agenda shall be mailed to all parties.
    (b) The final agenda shall list:
    (1) All the issues the hearing shall address, the order in which 
those issues shall be presented, and the direct testimony submitted on 
those issues; and
    (2) A final date for submission of direct testimony on issues of 
fact not included in the notice of hearing if such issues are presented.

The final agenda may also specify a final date for submission of direct 
testimony to rebut testimony previously submitted during the time 
specified in the notice of the hearing.
    (c) The presiding officer shall publish with the final agenda a list 
of witnesses who may appear at the hearing, a list of parties, the 
nature of the interest of each party, and which parties' interests are 
adverse on the issues presented.



Sec. 201.15  Determination to cancel the hearing.

    (a) If the presiding officer concludes that no issues of fact are 
presented by the direct testimony submitted, he shall publish such 
conclusion in the Federal Register with a notice that a hearing shall 
not be held. The notice shall set forth a date for filing written 
comments on the proposed recommended decision. Written comments may 
include proposed findings and conclusions, arguments, or briefs.
    (b) A person need not be a party to submit written comments.
    (c) Promptly after expiration of the period for receiving written 
comments, the presiding officer shall make a recommended decision based 
on the record, which in this case shall consist of the testimony, 
exhibits, and written comments submitted. He shall transfer to the 
Administrator his recommended decision, the record, and a certificate 
stating that the record contains all the written direct testimony and 
comments submitted. The Administrator shall then make a final decision 
in accordance with these regulations.

[[Page 13]]



Sec. 201.16  Rebuttal testimony and new issues of fact in final agenda.

    (a) Direct testimony to rebut testimony offered during the time 
period specified in the notice of hearing may be submitted pursuant to 
these regulations within fifteen days after the conclusion of the 
prehearing conference unless the presiding officer otherwise specifies 
in the final agenda.
    (b) If the final agenda presents issues not included in the notice 
of the hearing published pursuant to Sec. 201.6,
    (1) Any person interested in participating at the hearing on such 
issues presented shall notify the Administrator by certified mail of an 
intent to participate not later than ten days after publication of the 
final agenda. Such person may present direct testimony or cross-examine 
witnesses only on such issues presented unless he previously notified 
the Administrator pursuant to Sec. 201.7, and
    (2) Additional written direct testimony concerning such issues may 
be submitted within the time provided in the final agenda. Such direct 
testimony will comply with the requirements of Sec. 201.9.



Sec. 201.17  Waiver of right to participate.

    Persons who fail to notify the Administrator pursuant to Secs. 201.7 
and 201.16 shall be deemed to have waived their right to participate as 
parties in any part of the hearing.



Sec. 201.18  Conduct of the hearing.

    (a) The hearing shall be held at the time and place fixed in the 
notice of hearing, unless the presiding officer changes the time or 
place. If a change occurs, the presiding officer shall publish the 
change in the Federal Register and shall expeditiously notify all 
parties by telephone or by mail; provided, that if the change in time or 
place of hearing is made less than five days before the date previously 
fixed for the hearing, the presiding officer shall also announce, or 
cause to be announced, the change at the time and place previously fixed 
for the hearing.
    (b) The presiding officer shall, at the commencement of the hearing, 
introduce into the record. The notice of hearing as published in the 
Federal Register; all subsequent notices published in the Federal 
Register; the draft Environmental Impact Statement if it is required, 
and the comments thereon and agency responses to the comments; and a 
list of all parties. Direct testimony shall then be received with 
respect to the matters specified in the final agenda in such order as 
the presiding officer shall announce. With respect to direct testimony 
submitted as rebuttal testimony or in response to new issues presented 
by the prehearing conference, the presiding officer shall determine the 
relevance of such testimony.
    (c) The hearing shall be publicly conducted and reported verbatim by 
an offical reporter.
    (d) If a party objects to the admission or rejection of any direct 
testimony or to any other ruling of the presiding officer during the 
hearing, he shall state briefly the grounds of such objection, whereupon 
an automatic exception will follow if the objection is overruled by the 
presiding officer. The transcript shall not include argument or debate 
thereon except as ordered by the presiding officer. The ruling of the 
presiding officer on any objection shall be a part of the transcript and 
shall be subject to review at the same time and in the same manner as 
the Administrator's final decision. Only objections made before the 
presiding officer may subsequently be relied upon in the proceedings.
    (e) All motions and requests shall be addressed to, and ruled on by, 
the presiding officer if made prior to his certification of the 
transcript, or by the Administrator if made thereafter.



Sec. 201.19  Direct testimony.

    (a) Direct testimony shall be submitted by affidavit as provided in 
these regulations and introduced at the hearing by a witness in order to 
be considered part of the record. Such direct testimony shall not be 
read into evidence but shall become a part of the record subject to 
exclusion of irrelevant and immaterial parts thereof.
    (b) The witness introducing direct testimony shall:
    (1) State his name, address, and occupation;

[[Page 14]]

    (2) State his qualifications for introducing the direct testimony. 
If an expert, the witness shall briefly state the scientific or 
technical training that qualifies him as an expert;
    (3) Identify the direct testimony previously submitted in accordance 
with these regulations; and
    (4) Submit to appropriate direct and cross examination. Cross-
examination shall be by a party whose interests are adverse to those of 
the witness on the issue presented if the witness is a party, or adverse 
to the interests of the party who presented the witness if the witness 
is not a party.
    (c) A party shall be deemed to have waived the right to introduce 
direct testimony if such party fails to present a witness to introduce 
the direct testimony.
    (d) Offical notice may be taken of such matters as are judicially 
noticed by the courts of the United States, provided, that parties shall 
be given adequate notice by the presiding officer at the hearing of 
matters so noticed and shall be given adequate opportunity to show that 
such facts are inaccurate or are erroneously noticed.



Sec. 201.20  Cross-examination.

    (a) The presiding officer may:
    (1) Require the cross-examiner to outline the intended scope of the 
cross-examination;
    (2) Prohibit parties from cross-examining witnesses unless the 
presiding officer has determined that the cross-examiner has an adverse 
interest on the facts at issue to the party-witness. For the purposes of 
this subsection, the Administrator's or his representative's interest 
shall be considered adverse to all parties;
    (3) Limit the number of times any party or parties having a common 
interest may cross-examine an ``adverse'' witness on the same matter; 
and
    (4) Exclude cross-examination questions that are immaterial, 
irrelevant, or unduly repetitious.
    (b) Any party shall be given an opportunity to appear, either in 
person or through an authorized counsel or representative, to cross-
examine witnesses. Before cross-examining a witness, the party or 
counsel shall state his name, address, and occupation. If counsel cross-
examines the witness, counsel shall state for the record the authority 
to act as counsel. Cross-examiners shall be assumed to be familiar with 
the direct testimony.
    (c) Any party or party's counsel who fails to appear at the hearing 
to cross-examine an ``adverse'' witness shall be deemed to have waived 
the right to cross-examine that witness.
    (d) Scientific, technical, or commercial publications may be used 
only for the limited purpose of impeaching witnesses under cross-
examination unless previously submitted and introduced in accordance 
with these regulations.



Sec. 201.21  Oral and written arguments.

    (a) The presiding officer may, in his discretion, provide for oral 
argument at the end of the hearing. Such argument, when permitted, may 
be limited by the presiding officer to the extent necessary for the 
expeditious disposition of the proceeding.
    (b) The presiding officer shall announce at the hearing a reasonable 
period of time within which any interested person may file with the 
presiding officer any written comments on the application, including 
proposed findings and conclusions or written arguments or brief based 
upon the record, citing where practicable the relevant page or pages of 
the transcript. If a party filing a brief desires the presiding officer 
to reconsider any objection made by such party to a ruling of the 
presiding officer, he shall specifically identify such rulings by 
reference to the pertinent pages of the transcript and shall state his 
arguments thereon as a part of the brief.
    (c) Oral or written arguments shall be limited to issues arising 
from direct testimony on the record.



Sec. 201.22  Recommended decision, certification of the transcript, and submission of comments on the recommended decision.

    (a) Promptly after expiration of the period for receiving written 
briefs, the presiding officer shall make a recommended decision based on 
the record and transmit the decision to the Administrator. The 
recommended decision shall include:

[[Page 15]]

    (1) A statement containing a description of the history of the 
proceedings;
    (2) Findings on issues of fact with the reasons therefor; and
    (3) Rulings on issues of law.
    (b) The presiding officer shall also transmit to the Administrator 
the transcript of the hearing, the original and all copies of the direct 
testimony, and written comments. The presiding officer shall attach to 
the original transcript of the hearing a certificate stating that, to 
the best of his knowledge and belief, the transcript is a true 
transcript of the testimony given at the hearing except in such 
particulars as are specified.
    (c) Immediately after receipt of the recommended decision, the 
Administrator shall give notice thereof in the Federal Register, send 
copies of the recommended decision to all parties, and provide 
opportunity for the submission of comments. The recommended decision may 
be reviewed and/or copied in the Office of the Chief Counsel, Federal 
Railroad Administration, 400 7th Street, SW., Washington, DC 20590.
    (d) Within twenty days after the notice of receipt of the 
recommended decision has been published in the Federal Register, any 
interested person may file with the Administrator any written comments 
on the recommended decision. All comments shall be submitted during the 
twenty-day period to the Administrator at the above address.



Sec. 201.23  Administrator's decision.

    (a) Upon receipt of the recommended decision and transcript and 
after the twenty-day period for receiving written comments on the 
recommended decision has passed, the Administrator's decision may 
affirm, modify, or set aside, in whole or in part, the recommended 
findings, conclusions, and decision of the presiding officer. The 
Administrator may also remand the hearing record to the presiding 
officer for a fuller development of the record.
    (b) The Administrator's decision shall include:
    (1) A statement containing a description of the history of the 
proceeding;
    (2) Findings on issues of fact with the reasons therefor; and
    (3) Rulings on issues of law.
    (c) The Administrator's decision shall be published in the Federal 
Register. If the Amtrak application is approved in whole or in part, the 
final order shall be promulgated with the decision.



PART 207--RAILROAD POLICE OFFICERS--Table of Contents




Sec.
207.1 Application.
207.2 Definitions.
207.3 Designation and commissioning.
207.4 Notice to State officials.
207.5 Authority in States where officer not commissioned.

    Authority: 45 U.S.C. 446; 49 CFR 1.49(ff).

    Source: 59 FR 6587, Feb. 11, 1994, unless otherwise noted.



Sec. 207.1  Application.

    This part applies to all railroads, as such term is defined in 
section 202(e) of the Federal Railroad Safety Act of 1970, as amended, 
Public Law 91-458 (45 U.S.C. 431(e)).



Sec. 207.2  Definitions.

    As used in this part:
    (a) Railroad police officer means a peace officer who is 
commissioned in his or her state of legal residence or state of primary 
employment and employed by a railroad to enforce state laws for the 
protection of railroad property, personnel, passengers, and/or cargo.
    (b) Commissioned means that a state official has certified or 
otherwise designated a railroad employee as qualified under the 
licensing requirements of that state to act as a railroad police officer 
in that state.
    (c) Property means rights-of-way, easements, appurtenant property, 
equipment, cargo, facilities, and buildings and other structures owned, 
leased, operated, maintained, or transported by a railroad.



Sec. 207.3  Designation and commissioning.

    (a) A railroad may designate employees to be commissioned by a state 
authority as railroad police officers to serve in the states in which 
the railroad owns property.

[[Page 16]]

    (b) The designated railroad police officer shall be commissioned by 
the railroad police officer's state of legal residence or the railroad 
police officer's state of primary employment.



Sec. 207.4  Notice to State officials.

    (a) After the designated railroad police officer is commissioned by 
a state or states, the railroad shall send, by certified mail, written 
notice to appropriate officials of every other state in which the 
railroad police officer shall protect the railroad's property, 
personnel, passengers, and cargo. The notice of commission shall contain 
the following information:
    (1) The name of the railroad police officer;
    (2) The badge number, identification number, rank, code, or other 
identifying information assigned to the railroad police officer;
    (3) The date of commission;
    (4) The state or states where the railroad police officer is 
commissioned;
    (5) The date the railroad police officer received training or 
retraining regarding the laws of such state or states;
    (6) The name of the railroad official who designated the employee as 
a railroad police officer; and
    (7) Color photographs of the types of badges, identification cards, 
and other identifying materials the railroad uses to identify its 
railroad police officers.
    (b) The railroad shall keep copies of all such notices at a central 
location.
    (c) The authority set forth in Sec. 207.5 shall be effective upon 
receipt by such state(s) of written notice conforming to the 
requirements of this section.



Sec. 207.5  Authority in States where officer not commissioned.

    (a) A railroad police officer who is designated by a railroad and 
commissioned under the laws of any state is authorized to enforce the 
laws (as specified in paragraph (b) of this section) of any state in 
which the railroad owns property and to which the railroad has provided 
notice in accordance with Sec. 207.4.
    (b) Under the authority of paragraph (a) of this section, a railroad 
police officer may enforce only relevant laws for the protection of--
    (1) The railroad's employees, passengers, or patrons;
    (2) The railroad's property or property entrusted to the railroad 
for transportation purposes;
    (3) The intrastate, interstate, or foreign movement of cargo in the 
railroad's possession or in possession of another railroad or non-rail 
carrier while on the railroad property; and
    (4) The railroad movement of personnel, equipment, and materials 
vital to the national defense.
    (c) The authority exercised under this part by an officer for whom 
the railroad has provided notice in accordance with Sec. 207.4 shall be 
the same as that of a railroad police officer commissioned under the 
laws of that state.
    (d) The railroad police officer's law enforcement powers shall apply 
only on railroad property, except that an officer may pursue off 
railroad property a person suspected of violating the law on railroad 
property, and an officer may engage off railroad property in law 
enforcement activities, including, without limitation, investigation and 
arrest, if permissible under state law.



PART 209--RAILROAD SAFETY ENFORCEMENT PROCEDURES--Table of Contents




                           Subpart A--General

Sec.
209.1 Purpose.
209.3 Definitions.
209.5 Service.
209.6 Requests for admission.
209.7 Subpoenas; witness fees.
209.8 Depositions in formal proceedings.
209.9 Filing.
209.11 Request for confidential treatment.
209.13 Consolidation.
209.15 Rules of evidence.
209.17 Motions.

                Subpart B--Hazardous Materials Penalties

                             Civil Penalties

209.101 Civil penalties generally.
209.103 Minimum and maximum penalties.
209.105 Notice of probable violation.
209.107 Reply.
209.109 Payment of penalty; compromise.
209.111 Informal response and assessment.
209.113 Request for hearing.
209.115 Hearing.
209.117 Presiding officer's decision.
209.119 Assessment considerations.
209.121 Appeal.

[[Page 17]]

                           Criminal Penalties

209.131 Criminal penalties generally.
209.133 Referral for prosecution.

                      Subpart C--Compliance Orders

209.201 Compliance orders generally.
209.203 Notice of investigation.
209.205 Reply.
209.207 Consent order.
209.209 Hearing.
209.211 Presiding officer's decision.
209.213 Appeal.
209.215 Time limitation.

                 Subpart D--Disqualification Procedures

209.301 Purpose and scope.
209.303 Coverage.
209.305 Notice of proposed disqualification.
209.307 Reply.
209.309 Informal response.
209.311 Request for hearing.
209.313 Discovery.
209.315 Subpoenas.
209.317 Official record.
209.319 Prehearing conference.
209.321 Hearing.
209.323 Initial decision.
209.325 Finality of decision.
209.327 Appeal.
209.329 Assessment considerations.
209.331 Enforcement of disqualification order.
209.333 Prohibitions.
209.335 Penalties.
209.337 Information collection.

                Subpart E--Reporting of Remedial Actions

209.401 Purpose and scope.
209.403 Applicability.
209.405 Reporting of remedial actions.
209.407 Delayed reports.
209.409 Penalties.

Appendix A to Part 209--Statement of Agency Policy Concerning 
          Enforcement of the Federal Railroad Safety Laws
Appendix B to Part 209--Federal Railroad Administration Guidelines for 
          Initial Hazardous Materials Assessments
Appendix C to Part 209--FRA's Policy Statement Concerning Small Entities

    Authority: 49 U.S.C. 20103, 20107, 20111, 20112, 20114, and 49 CFR 
1.49.

    Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.



                           Subpart A--General



Sec. 209.1  Purpose.

    Appendix A to this part contains a statement of agency policy 
concerning enforcement of those laws. This part describes certain 
procedures employed by the Federal Railroad Administration in its 
enforcement of statutes and regulations related to railroad safety. By 
delegation from the Secretary of Transportation, the Administrator has 
responsibility for:
    (a) Enforcement of subchapters B and C of chapter I, subtitle B, 
title 49, CFR, with respect to the transportation or shipment of 
hazardous materials by railroad (49 CFR 1.49(s));
    (b) Exercise of the authority vested in the Secretary by the Federal 
Railroad Safety Act of 1970, 45 U.S.C. 421, 431-441, as amended by the 
Rail Safety Improvement Act of 1988, Public Law 100-342 (June 22, 1988) 
(49 CFR 1.49(m)); and
    (c) Exercise of the authority vested in the Secretary pertaining to 
railroad safety as set forth in the statutes transferred to the 
Secretary by section 6(e) of the Department of Transportation Act, 49 
App. U.S.C. 1655(e) (49 CFR 1.49 (c), (d), (f), and (g)).

[42 FR 56742, Oct. 28, 1977, as amended at 53 FR 52920, Dec. 29, 1988; 
54 FR 42905, Oct. 18, 1989]



Sec. 209.3  Definitions.

    As used in this part--
    Administrator means the Administrator of FRA, the Deputy 
Administrator of FRA, or the delegate of either.
    Chief Counsel means the Chief Counsel of FRA or his or her delegate.
    Day means calendar day.
    Federal railroad safety laws means the provisions of law generally 
at 49 U.S.C. subtitle V, part A or 49 U.S.C. chap. 51 or 57 and the 
rules, regulations, orders, and standards issued under any of those 
provisions. See Pub. L. 103-272 (1994). Before recodification, these 
statutory provisions were contained in the following statutes: (i) the 
Federal Railroad Safety Act of 1970 (Safety Act) (49 U.S.C. 20101-20117, 
20131, 20133-20141, 20143, 21301, 21302, 21304, 21311, 24902, and 24905, 
and sections 4(b)(1), (i), and (t) of Pub. L. 103-272, formerly codified 
at 45 U.S.C. 421, 431 et seq.); (ii) the Hazardous Materials 
Transportation Act (Hazmat Act) (49 U.S.C. 5101 et seq., formerly 
codified at 49 App. U.S.C. 1801 et seq.); (iii) the Sanitary Food 
Transportation Act of 1990 (SFTA) (49 U.S.C.

[[Page 18]]

5713, formerly codified at 49 App. U.S.C. 2801 (note)); and those laws 
transferred to the jurisdiction of the Secretary of Transportation by 
subsection (e)(1), (2), and (6)(A) of section 6 of the Department of 
Transportation Act (DOT Act), as in effect on June 1, 1994 (49 U.S.C. 
20302, 21302, 20701-20703, 20305, 20502-20505, 20901, 20902, and 80504, 
formerly codified at 49 App. U.S.C. 1655(e)(1), (2), and (6)(A)). 49 
U.S.C. 20111 and 20109, formerly codified at 45 U.S.C. 437 (note) and 
441(e). Those laws transferred by the DOT Act include, but are not 
limited to, the following statutes: (i) the Safety Appliance Acts (49 
U.S.C. 20102, 20301, 20302, 20304, 21302, and 21304, formerly codified 
at 45 U.S.C. 1-14, 16); (ii) the Locomotive Inspection Act (49 U.S.C. 
20102, 20701-20703, 21302, and 21304, formerly codified at 45 U.S.C. 22-
34); (iii) the Accident Reports Act (49 U.S.C. 20102, 20701, 20702, 
20901-20903, 21302, 21304, and 21311, formerly codified at 45 U.S.C. 38-
43); (iv) the Hours of Service Act (49 U.S.C. 20102, 21101-21107, 21303, 
and 21304, formerly codified at 45 U.S.C. 61-64b); and (v) the Signal 
Inspection Act (49 U.S.C. 20102, 20502-20505, 20902, 21302, and 21304, 
formerly codified at 49 App. U.S.C. 26).
    FRA means the Federal Railroad Administration, U.S. Department of 
Transportation.
    FRA Safety Inspector means an FRA safety inspector, a state 
inspector participating in railroad safety investigative and 
surveillance activities under part 212 of this chapter, or any other 
official duly authorized by FRA.
    Motion means a request to a presiding officer to take a particular 
action.
    Person generally includes all categories of entities covered under 1 
U.S.C. 1, including but not limited to the following: a railroad; any 
manager, supervisor, official, or other employee or agent of a railroad; 
any owner, manufacturer, lessor, or lessee of railroad equipment, track, 
or facilities; any independent contractor providing goods or services to 
a railroad; and any employee of such owner, manufacturer, lessor, 
lessee, or independent contractor; however, person, when used to 
describe an entity that FRA alleges to have committed a violation of the 
provisions of law formerly contained in the Hazardous Materials 
Transportation Act or contained in the Hazardous Materials Regulations, 
has the same meaning as in 49 U.S.C. 5102(9) (formerly codified at 49 
App. U.S.C. 1802(11)), i.e., an individual, firm, copartnership, 
corporation, company, association, joint-stock association, including 
any trustee, receiver, assignee, or similar representative thereof, or 
government, Indian tribe, or authority of a government or tribe when 
offering hazardous material for transportation in commerce or 
transporting hazardous material to further a commercial enterprise, but 
such term does not include the United States Postal Service or, for the 
purposes of 49 U.S.C. 5123-5124 (formerly contained in sections 110 and 
111 of the Hazardous Materials Transportation Act and formerly codified 
at 49 App. U.S.C. 1809-1810), a department, agency, or instrumentality 
of the Federal Government.
    Pleading means any written submission setting forth claims, 
allegations, arguments, or evidence.
    Presiding Officer means any person authorized to preside over any 
hearing or to make a decision on the record, including an administrative 
law judge.
    Railroad means any form of nonhighway ground transportation that 
runs on rails or electro-magnetic guideways, including (i) commuter or 
other short-haul railroad passenger service in a metropolitan or 
suburban area and commuter railroad service that was operated by the 
Consolidated Rail Corporation on January 1, 1979; and (ii) high speed 
ground transportation systems that connect metropolitan areas, without 
regard to whether those systems use new technologies not associated with 
traditional railroads; but does not include rapid transit operations in 
an urban area that are not connected to the general railroad system of 
transportation.
    Respondent means a person upon whom FRA has served a notice of 
probable violation, notice of investigation, or notice of proposed 
disqualification.

[59 FR 43676, Aug. 24, 1994]



Sec. 209.5  Service.

    (a) Each order, notice, or other document required to be served 
under this part shall be served personally or by

[[Page 19]]

registered or certified mail, except as otherwise provided herein.
    (b) Service upon a person's duly authorized representative 
constitutes service upon that person.
    (c) Service by registered or certified mail is complete upon 
mailing. An official United States Postal Service receipt from the 
registered or certified mailing constitutes prima facie evidence of 
service.
    (d) Service of requests for admission and motions may be made by 
first-class mail, postage prepaid.
    (e) Each pleading must be accompanied by a certificate of service 
specifying how and when service was made.

[42 FR 56742, Oct. 28, 1977, as amended at 54 FR 42906, Oct. 18, 1989]



Sec. 209.6  Requests for admission.

    (a) A party to any proceeding under subpart B, C, or D of this part 
may serve upon any other party written requests for the admission of the 
genuineness of any relevant documents identified within the request, the 
truth of any relevant matters of fact, and the application of law to the 
facts as set forth in the request.
    (b) Each matter of which an admission is requested shall be deemed 
to be admitted unless, within 30 days after receipt of the request, the 
party to whom the request is directed serves upon the party requesting 
the admission a written answer under oath or objection addressed to the 
matter, signed by the party.
    (c) The sworn answer shall specifically admit or deny the matter or 
set forth in detail the reasons why the answering party cannot 
truthfully admit or deny the matter. If an objection is made, the 
reasons therefor shall be stated.
    (d) Any matter admitted under this section is conclusively 
established unless the presiding official permits withdrawal or 
amendment of the admission for good cause shown.
    (e) Upon motion, the presiding officer may order any party to 
respond to a request for admission.

[54 FR 42906, Oct. 18, 1989]



Sec. 209.7  Subpoenas; witness fees.

    (a) The Chief Counsel may issue a subpoena on his or her own 
initiative in any matter related to enforcement of the railroad safety 
laws. However, where a proceeding under subpart B, C, or D of this part 
has been initiated, only the presiding officer may issue subpoenas, and 
only upon the written request of any party to the proceeding who makes 
an adequate showing that the information sought will materially advance 
the proceeding.
    (b) A subpoena may require attendance of a witness at a deposition 
or hearing or the production of documentary or other tangible evidence 
in the possession or control of the person served, or both.
    (c) A subpoena may be served personally by any person who is not an 
interested person and is not less than eighteen (18) years of age, or by 
certified or registered mail.
    (d) Service of a subpoena shall be made by delivering a copy of the 
subpoena in the appropriate manner, as set forth below. Service of a 
subpoena requiring attendance of a person is not complete unless 
delivery is accompanied by tender of fees for one day's attendance and 
mileage as specified by paragraph (f) of this section. However, when a 
subpoena is issued upon the request of any officer or agency of the 
United States, fees and mileage need not be tendered at the time of 
service but will be paid by FRA at the place and time specified in the 
subpoena for attendance.

Delivery of a copy of the subpoena may be made:
    (1) To a natural person by:
    (i) Handing it to the person;
    (ii) Leaving it at his or her office with the person in charge 
thereof;
    (iii) Leaving it at his or her dwelling place or usual place of 
abode with some person of suitable age and discretion then residing 
therein;
    (iv) Mailing it by registered or certified mail to him or her at his 
or her last known address; or
    (v) Any method whereby actual notice of the issuance and content is 
given (and the fees are made available) prior to the return date.
    (2) To an entity other than a natural person by:

[[Page 20]]

    (i) Handing a copy of the subpoena to a registered agent for service 
or to any officer, director, or agent in charge of any office of the 
person;
    (ii) Mailing it by registered or certified mail to any 
representative listed in paragraph (d)(2)(i) of this section at his or 
her last known address; or
    (iii) Any method whereby actual notice is given to such 
representative (and the fees are made available) prior to the return 
date.
    (e) The original subpoena bearing a certificate of service shall be 
filed in accordance with Sec. 209.9.
    (f) A witness subpoenaed by the FRA shall be entitled to the same 
fees and mileage as would be paid to a witness in a proceeding in the 
district courts of the United States. See 28 U.S.C. 1821. The witness 
fees and mileage shall be paid by the person requesting that the 
subpoena be issued. In an appropriate case, the Chief Counsel or the 
hearing officer may direct the person requesting issuance of a subpoena 
for the production of documentary or other tangible evidence to 
reimburse the responding person for actual costs of producing and/or 
transporting such evidence.
    (g) Notwithstanding the provisions of paragraph (f) of this section, 
and upon request, witness fees and mileage or the costs of producing 
other evidence may be paid by the FRA if the official who issued the 
subpoena determines on the basis of good cause shown that:
    (1) The presence of the subpoenaed witness or evidence will 
materially advance the proceedings; and
    (2) The party at whose instance the subpoena was issued would suffer 
a serious financial hardship if required to pay the witness fees and 
mileage.
    (h) Any person to whom a subpoena is directed may, prior to the time 
specified therein for compliance, but in no event more than ten (10) 
days after the date of service of such subpoena, apply in writing to the 
official who issued the subpoena, or if that person is unavailable, to 
the Chief Counsel, to quash or modify the subpoena. The application 
shall contain a brief statement of the reasons relied upon in support of 
the action sought therein. The issuing official or the Chief Counsel, as 
the case may be, may:
    (1) Deny the application;
    (2) Quash or modify the subpoena; or
    (3) In the case of subpoena to produce documentary or other tangible 
evidence, condition denial of the application upon the advancement by 
the party in whose behalf the subpoena is issued of the reasonable cost 
of producing the evidence.
    (i) If there is a refusal to obey a subpoena served upon any person 
under the provisions of this section, the FRA may request the Attorney 
General to seek the aid of the United States District Court for any 
district in which the person is found to compel that person, after 
notice, to appear and give testimony, or to appear and produce the 
subpoenaed documents before the FRA, or both.
    (j) Attendance of any FRA employee engaged in an investigation which 
gave rise to a proceeding under subpart B or C of this part for the 
purpose of eliciting factual testimony may be assured by filing a 
request with the Chief Counsel at least fifteen (15) days before the 
date of the hearing. The request must indicate the present intent of the 
requesting person to call the employee as a witness and state generally 
why the witness will be required.

[42 FR 56742, Oct. 28, 1977, as amended at 54 FR 42906, Oct. 18, 1989]



Sec. 209.8  Depositions in formal proceedings.

    (a) Any party to a proceeding under subpart B, C, or D of this part 
may take the testimony of any person, including a party, by deposition 
upon oral examination on order of the presiding officer following the 
granting of a motion under paragraph (b) of this section. Depositions 
may be taken before any disinterested person who is authorized by law to 
administer oaths. The attendance of witnesses may be compelled by 
subpoena as provided in Sec. 209.7 and, for proceedings under subpart D 
of this part, Sec. 209.315.
    (b) Any party desiring to take the deposition of a witness shall 
file and serve a written motion setting forth the name of the witness; 
the date, time, and place of the deposition; the subject matter of the 
witness' expected testimony; whether any party objects to the taking of 
the deposition; and the

[[Page 21]]

reasons for taking such deposition. Such motion shall be granted only 
upon a showing of good cause. Good cause exists to take a person's 
deposition when the information sought is relevant to the subject matter 
involved in the proceeding and:
    (1) The information is not obtainable from some other source that is 
more convenient, less burdensome, and less expensive; or
    (2) The request is not unreasonably cumulative, unduly burdensome, 
or unduly expensive, taking into account the needs of the case, 
limitations on the parties' resources, and the importance of the issues 
in the case.
    (c) Such notice as the presiding officer shall order will be given 
for the taking of a deposition, but this shall not be less than 10 days' 
written notice unless the parties agree to a shorter period.
    (d) Each witness testifying upon deposition shall be sworn and the 
adverse party shall have the right to cross-examine. The questions 
propounded and the answers thereto, together with all objections made, 
shall be reduced to writing, subscribed by the witness, and certified by 
the reporter.
    (e) Depositions taken under this section may be used for discovery, 
to contradict or impeach the testimony of the deponent as a witness, or 
as evidence in the proceeding as permitted by paragraph (f) of this 
section and in accordance with the limitations of Fed. R. Civ. Pro. 32 
as though it were applicable to these proceedings.
    (f) Subject to such objections to the questions and answers as were 
noted at the time of taking the deposition and as would be valid were 
the witness personally present and testifying, such deposition may be 
offered in evidence by any party to the proceeding.

[54 FR 42906, Oct. 18, 1989]



Sec. 209.9  Filing.

    All materials filed with FRA or any FRA officer in connection with a 
proceeding under subpart B, C, or D of this part shall be submitted in 
duplicate to the Assistant Chief Counsel for Safety, (RCC-30), Office of 
Chief Counsel, Federal Railroad Administration, 400 Seventh Street, SW., 
Washington, DC 20590, except that documents produced in accordance with 
a subpoena shall be presented at the place and time specified by the 
subpoena.

[54 FR 42906, Oct. 18, 1989]



Sec. 209.11  Request for confidential treatment.

    (a) This section governs the procedures for requesting confidential 
treatment of any document filed with or otherwise provided to FRA in 
connecton with its enforcement of statutes related to railroad safety. 
For purposes of this section, ``enforcement'' shall include all 
investigative and compliance activities, in addition to the development 
of violation reports and recommendations for prosecution.
    (b) A request for confidential treatment with respect to a document 
or portion thereof may be made on the basis that the information is--
    (1) Exempt from the mandatory disclosure requirements of the Freedom 
of Information Act (5 U.S.C. 552);
    (2) Required to be held in confidence by 18 U.S.C. 1905; or
    (3) Otherwise exempt by law from public disclosure.
    (c) Any document containing information for which confidential 
treatment is requested shall be accompanied at the time of filing by a 
statement justifying nondisclosure and referring to the specific legal 
authority claimed.
    (d) Any document containing any information for which confidential 
treatment is requested shall be marked ``CONFIDENTIAL'' or ``CONTAINS 
CONFIDENTIAL INFORMATION'' in bold letters. If confidentiality is 
requested as to the entire document, or if it is claimed that 
nonconfidential information in the document is not reasonably segregable 
from confidential information, the accompanying statement of 
justification shall so indicate. If confidentiality is requested as to a 
portion of the document, then the person filing the document shall file 
together with the document a second copy of the document from which the 
information for which confidential treatment is requested has been 
deleted. If the person filing a document of which only a portion is 
requested to be held in confidence does not submit a second copy of the 
document with the confidential information deleted. FRA

[[Page 22]]

may assume that there is no objection to public disclosure of the 
document in its entirety.
    (e) FRA retains the right to make its own determination with regard 
to any claim of confidentiality. Notice of a decision by the FRA to deny 
a claim, in whole or in part, and an opportunity to respond shall be 
given to a person claiming confidentiality of information no less than 
five days prior to its public disclosure.



Sec. 209.13  Consolidation.

    At the time a matter is set for hearing under subpart B, C, or D of 
this part, the Chief Counsel may consolidate the matter with any similar 
matter(s) pending against the same respondent or with any related 
matter(s) pending against other respondent(s) under the same subpart. 
However, on certification by the presiding officer that a consolidated 
proceeding is unmanageable or otherwise undesirable, the Chief Counsel 
will rescind or modify the consolidation.

[54 FR 42906, Oct. 18, 1989]



Sec. 209.15  Rules of evidence.

    The Federal Rules of Evidence for United States Courts and 
Magistrates shall be employed as general guidelines for proceedings 
under subparts B, C, and D of this part. However, all relevant and 
material evidence shall be received into the record.

[54 FR 42907, Oct. 18, 1989]



Sec. 209.17  Motions.

    Motions shall be in writing, filed with the presiding officer, and 
copies served upon the parties in accordance with Sec. 209.5, except 
that oral motions may be made during the course of any hearing or 
appearance before the presiding officer. Each motion shall state the 
particular order, ruling, or action desired and the grounds therefor. 
Unless otherwise specified by the presiding officer, any objection to a 
written motion must be filed within 10 days after receipt of the motion.

[54 FR 42907, Oct. 18, 1989]



                Subpart B--Hazardous Materials Penalties

                             Civil Penalties



Sec. 209.101  Civil penalties generally.

    (a) Sections 209.101 through 209.121 prescribe rules of procedure 
for the assessment of civil penalties pursuant to the Federal hazardous 
materials transportation safety law, 49 U.S.C. Chapter 51.
    (b) When the FRA has reason to believe that a person has knowingly 
committed an act which is a violation of any provision of subchapter B 
or C of chapter I, subtitle B of this title for which the FRA exercises 
enforcement responsibility or any waiver or order issued thereunder, it 
may conduct a proceeding to assess a civil penalty.

[42 FR 56742, Oct. 28, 1977, as amended at 61 FR 38646, July 25, 1996]



Sec. 209.103  Minimum and maximum penalties.

    A person who knowingly violates a requirement of subchapter A or C 
of chapter I, Subtitle B of this title is liable for a civil penalty of 
at least $250 but not more than $27,500 for each violation. When the 
violation is a continuing one, each day of the violation constitutes a 
separate offense. 49 U.S.C. 5123.

[61 FR 38646, July 25, 1996, as amended at 63 FR 11619, Mar. 10, 1998]



Sec. 209.105  Notice of probable violation.

    (a) FRA, through the Chief Counsel, begins a civil penalty 
proceeding by serving a notice of probable violation on a person 
charging him or her with having violated one or more provisions of 
subchapter A or C of chapter I, subtitle B of this title. Appendix B to 
this part contains guidelines used by the chief counsel in making 
initial penalty assessments.
    (b) A notice of probable violation issued under this section 
includes:
    (1) A statement of the provision(s) which the respondent is believed 
to have violated;
    (2) A statement of the factual allegations upon which the proposed 
civil penalty is being sought;

[[Page 23]]

    (3) Notice of the maximum amount of civil penalty for which the 
respondent may be liable;
    (4) Notice of the amount of the civil penalty proposed to be 
assessed;
    (5) A description of the manner in which the respondent should make 
payment of any money to the United States;
    (6) A statement of the respondent's right to present written 
explanations, information or any materials in answer to the charges or 
in mitigation of the penalty; and
    (7) A statement of the respondent's right to request a hearing and 
the procedures for requesting a hearing.
    (c) The FRA may amend the notice of probable violation at any time 
prior to the entry of an order assessing a civil penalty. If the 
amendment contains any new material allegation of fact, the respondent 
is given an opportunity to respond. In an amended notice, FRA may change 
the penalty amount proposed to be assessed up to and including the 
maximum penalty amount of $25,000 for each violation.

[42 FR 56742, Oct. 28, 1977, as amended at 61 FR 38646, July 25, 1996]



Sec. 209.107  Reply.

    (a) Within thirty (30) days of the service of a notice of probable 
violation issued under Sec. 209.105, the respondent may--
    (1) Pay as provided in Sec. 209.109(a) and thereby close the case;
    (2) Make an informal response as provided in Sec. 209.111; or
    (3) Request a hearing as provided in Sec. 209.113.
    (b) The Chief Counsel may extend the thirty (30) days period for 
good cause shown.
    (c) Failure of the respondent to reply by taking one of the three 
actions described in paragraph (a) of this section within the period 
provided constitutes a waiver of his or her right to appear and contest 
the allegations and authorizes the Chief Counsel, without further notice 
to the respondent, to find the facts to be as alleged in the notice of 
probable violation and to assess an appropriate civil penalty.



Sec. 209.109  Payment of penalty; compromise.

    (a) Payment of a civil penalty should be made by certified check or 
money order payable to the Federal Railroad Administration and sent to 
the Accounting Division, Federal Railroad Administration, Department of 
Transportation, Washington, DC 20590.
    (b) At any time before an order assessing a penalty is referred to 
the Attorney General for collection, the respondent may offer to 
compromise for a specific amount by contracting the Chief Counsel.



Sec. 209.111  Informal response and assessment.

    (a) If a respondent elects to make an informal response to a notice 
of probable violation, respondent shall submit to the Chief Counsel such 
written explanations, information or other materials as respondent may 
desire in answer to the charges or in mitigation of the proposed 
penalty.
    (b) The respondent may include in his or her informal written 
response a request for a conference. Upon receipt of such a request, the 
Chief Counsel arranges for a conference as soon as practicable at a time 
and place of mutual convenience.
    (c) Written explanations, information or materials, submitted by the 
respondent and relevant information presented during any conference held 
under this section are considered by the Chief Counsel in reviewing the 
notice of proposed violation and determining the fact of violation and 
the amount of any penalty to be assessed.
    (d) After consideration of an informal response, including any 
relevant information presented at a conference, the Chief Counsel may 
dismiss the notice of probable violation in whole or in part. If he or 
she does not dismiss it in whole, he or she may issue an order assessing 
a civil penalty.



Sec. 209.113  Request for hearing.

    (a) If a respondent elects to request a hearing, he or she must 
submit a written request to the Chief Counsel referring to the case 
number which appeared on the notice of the probable violation. The 
request must--

[[Page 24]]

    (1) State the name and address of the respondent and of the person 
signing the request if different from the respondent;
    (2) State with respect to each allegation whether it is admitted or 
denied; and
    (3) State with particularity the issues to be raised by the 
respondent at the hearing.
    (b) After a request for hearing which complies with the requirements 
of paragraph (a) of this section, the Chief Counsel schedules a hearing 
for the earliest practicable date.
    (c) The Chief Counsel or the hearing officer appointed under 
Sec. 209.115 may grant extensions of the time of the commencement of the 
hearing for good cause shown.



Sec. 209.115  Hearing.

    (a) When a hearing is requested and scheduled under Sec. 209.113, a 
hearing officer designated by the Chief Counsel convenes and presides 
over the hearing. If requested by respondent and if practicable, the 
hearing is held in the general vicinity of the place where the alleged 
violation occurred, or at a place convenient to the respondent. 
Testimony by witnesses shall be given under oath and the hearing shall 
be recorded verbatim.
    (b) The presiding official may:
    (1) Administer oaths and affirmations;
    (2) Issue subpoenas as provided by Sec. 209.7;
    (3) Adopt procedures for the submission of evidence in written form;
    (4) Take or cause depositions to be taken;
    (5) Rule on offers of proof and receive relevant evidence;
    (6) Examine witnesses at the hearing;
    (7) Convene, recess, reconvene, and adjourn and otherwise regulate 
the course of the hearing;
    (8) Hold conferences for settlement, simplification of the issues or 
any other proper purpose; and
    (9) Take any other action authorized by or consistent with the 
provisions of this subpart pertaining to civil penalties and permitted 
by law which may expedite the hearing or aid in the disposition of an 
issue raised, therein.
    (c) The Chief Counsel has the burden of providing the facts alleged 
in the notice of proposed violation and may offer such relevant 
information as may be necessary fully to inform the presiding officer as 
to the matter concerned.
    (d) The respondent may appear and be heard on his or her own behalf 
or through counsel of his or her choice. The respondent or his or her 
counsel may offer relevant information including testimony which he or 
she believes should be considered in defense of the allegations or which 
may bear on the penalty proposed to be assessed and conduct such cross-
examination as may be required for a full disclosure of the material 
facts.
    (e) At the conclusion of the hearing or as soon thereafter as the 
hearing officer shall provide, the parties may file proposed findings 
and conclusions, together with supporting reasons.

[42 FR 56742, Oct. 28, 1977; 42 FR 59755, Nov. 21, 1977]



Sec. 209.117  Presiding officer's decision.

    (a) After consideration of the evidence of record, the presiding 
officer may dismiss the notice of probable violation in whole or in 
part. If the presiding officer does not dismiss it in whole, he or she 
will issue and serve on the respondent an order assessing a civil 
penalty. The decision of the presiding officer will include a statement 
of findings and conclusions as well as the reasons therefor on all 
material issues of fact, law, and discretion.
    (b) If, within twenty (20) days after service of an order assessing 
a civil penalty, the respondent does not pay the civil penalty or file 
an appeal as provided in Sec. 209.121, the case may be referred to the 
Attorney General with a request that an action to collect the penalty be 
brought in the appropriate United States District Court.



Sec. 209.119  Assessment considerations.

    The assessment of a civil penalty under Sec. 209.117 is made only 
after considering:
    (a) The nature and circumstances of the violation;
    (b) The extent and gravity of the violation;

[[Page 25]]

    (c) The degree of the respondent's culpabilty;
    (d) The respondent's history of prior offenses;
    (e) The respondent's ability to pay;
    (f) The effect on the respondent's ability to continue in business; 
and
    (g) Such other matters as justice may require.



Sec. 209.121  Appeal.

    (a) Any party aggrieved by a presiding officer's decision or order 
issued under Sec. 209.117 assessing a civil penalty may file an appeal 
with the Administrator. The appeal must be filed within twenty (20) days 
of service of the presiding officer's order.
    (b) Prior to rendering a final determination on an appeal, the 
Administrator may remand the case for further proceedings before the 
hearing officer.
    (c) In the case of an appeal by a respondent, if the Administrator 
affirms the assessment and the respondent does not pay the civil penalty 
within twenty (20) days after service of the Administrator's decision on 
appeal, the matter may be referred to the Attorney General with a 
request that an action to collect the penalty be brought in the 
appropriate United States District Court.

                           Criminal Penalties



Sec. 209.131  Criminal penalties generally.

    The Federal hazardous materials transportation safety laws (49 
U.S.C. 5124) provide a criminal penalty of a fine under title 18, United 
States Code, and imprisonment for not more than 5 years, or both, for 
any person who knowingly violates 49 U.S.C. 5104(b) or who willfully 
violates chapter 51 of title 49, United States Code, or a regulation 
prescribed or order issued under that chapter.

[61 FR 38647, July 25, 1996]



Sec. 209.133  Referral for prosecution.

    If an inspector, including a certified state inspector under Part 
212 of this chapter, or other employee of FRA becomes aware of a 
possible willful violation of the Federal hazardous materials 
transportation safety laws (49 U.S.C. Chapter 51) or a regulation issued 
under those laws for which FRA exercises enforcement responsibility, he 
or she reports it to the Chief Counsel. If evidence exists tending to 
establish a prima facie case, and if it appears that assessment of a 
civil penalty would not be an adequate deterrent to future violations, 
the Chief Counsel refers the report to the Department of Justice for 
criminal prosecution of the offender.

[61 FR 38647, July 25, 1996]



                      Subpart C--Compliance Orders



Sec. 209.201  Compliance orders generally.

    (a) This subpart prescribes rules of procedure leading to the 
issuance of compliance orders pursuant to the Federal railroad safety 
laws at 49 U.S.C. 5121(a) and/or 20111(b).
    (b) The FRA may commence a proceeding under this subpart when FRA 
has reason to believe that a person is engaging in conduct or a pattern 
of conduct that involves one or more violations of the Federal railroad 
safety laws or any regulation or order issued under those laws for which 
FRA exercises enforcement authority.

[61 FR 38647, July 25, 1996]



Sec. 209.203  Notice of investigation.

    (a) FRA begins a compliance order proceeding by serving a notice of 
investigation on the respondent.
    (b) The notice of investigation contains:
    (1) A statement of the legal authority for the proceeding;
    (2) A statement of the factual allegations upon which the remedial 
action is being sought; and
    (3) A statement of the remedial action being sought in the form of a 
proposed compliance order.
    (c) The FRA may amend the notice of investigation at any time prior 
to the entry of a final compliance order. If an amendment includes any 
new material allegation of fact or seeks new or additional remedial 
action, the respondent is given an opportunity to respond.



Sec. 209.205  Reply.

    (a) Within thirty (30) days of service of a notice of investigation, 
the respondent may file a reply with the FRA. The Chief Counsel may 
extend

[[Page 26]]

the time for filing for good cause shown.
    (b) The reply must be in writing, signed by the person filing it, 
and state with respect to each factual allegation whether it is admitted 
or denied. Even though formally denied, a factual allegation set forth 
in a notice of investigation is considered to be admitted for purposes 
of the proceeding unless:
    (1) Opposed by the affidavit of an individual having personal 
knowledge of the subject matter;
    (2) Challenged as defective on its face together with a supporting 
explanation as to why it is believed to be defective; or
    (3) Otherwise actively put at issue through the submission of 
relevant evidence.
    (c) The reply must set forth any affirmative defenses and include a 
statement of the form and nature of proof by which those defenses are to 
be established.
    (d) If it is necessary to respond to an amendment to the notice of 
investigation, the respondent may amend the reply concerning the 
substance of matters contained in the amendment to the notice at any 
time before the issuance of an order under Sec. 209.211.
    (e) If the respondent elects not to contest one or more factual 
allegations, he or she should so state in the reply. An election not to 
contest a factual allegation is an admission of that allegation solely 
for the purpose of issuing a compliance order. That election constitutes 
a waiver of hearing as to that allegation but does not, by itself, 
constitute a waiver of the right to be heard on other issues. In 
connection with a statement of election not to contest a factual 
allegation, the respondent may propose an appropriate order for issuance 
by the Administrator or propose the negotiation of a consent order.
    (f) Failure of the respondent to file a reply within the period 
provided constitutes a waiver of his or her right to appear and contest 
the allegation and authorizes the Administrator, without further notice 
to the respondent, to find the facts to be as alleged in the notice of 
proposed violation and to issue an appropriate order directing 
compliance.



Sec. 209.207  Consent order.

    (a) At any time before the issuance of an order under Sec. 209.211, 
the Chief Counsel and the respondent may execute an agreement proposing 
the entry by consent of an order directing compliance. The Administrator 
may accept the proposed order by signing it. If the Administrator 
rejects the proposed order, he or she directs that the proceeding 
continue.
    (b) An agreement submitted to the Administrator under this section 
must include:
    (1) A proposed compliance order suitable for the Administrator's 
signature;
    (2) An admission of all jurisdictional facts;
    (3) An express waiver of further procedural steps and of all right 
to seek judicial review or otherwise challenge or contest the validity 
of the order; and
    (4) An acknowledgment that the notice of investigation may be used 
to construe the terms of the order.



Sec. 209.209  Hearing.

    (a) When a respondent files a reply contesting allegations in a 
notice of investigation issued under Sec. 209.203 or when the FRA and 
the respondent fail to agree upon an acceptable consent order, the 
hearing officer designated by the Chief Counsel convenes and presides 
over a hearing on the proposed compliance order.
    (b) The presiding official may:
    (1) Administer oaths and affirmations;
    (2) Issue subpoenas as provided by Sec. 209.7;
    (3) Adopt procedures for the submission of evidence;
    (4) Take or cause depositions to be taken;
    (5) Rule on offers of proof and receive relevant evidence;
    (6) Examine witnesses at the hearing;
    (7) Convene, recess, reconvene, ad- journ and otherwise regulate the 
course of the hearing;
    (8) Hold conferences for settlement, simplification of the issues or 
any other proper purpose; and
    (9) Take any other action authorized by or consistent with the 
provisions of this subpart pertaining to compliance orders and permitted 
by law which may

[[Page 27]]

expedite the hearing or aid in the disposition of an issue raised 
therein.
    (c) The Chief Counsel has the burden of providing the facts alleged 
in the notice of investigation and may offer such relevant information 
as may be necessary fully to inform the presiding officer as to the 
matter concerned.
    (d) The respondent may appear and be heard on his or her own behalf 
or through counsel of his or her choice. The respondent or his or her 
counsel may offer relevant information, including testimony which he or 
she believes should be considered in defense of the allegations or which 
may bear on the remedial action being sought, and conduct such cross-
examination as may be required for a full disclosure of the material 
facts.
    (e) At the conclusion of the hearing or as soon thereafter as the 
hearing officer shall provide, the parties may file proposed findings 
and conclusions, together with supporting reasons therefor.



Sec. 209.211  Presiding officer's decision.

    (a) After consideration of evidence, the presiding officer may 
dismiss the notice of investigation or issue a compliance order. The 
decision of the presiding officer will include a statement of findings 
and conclusions as well as the reasons therefor on all material issues 
of fact, law, and discretion.
    (b) A compliance order issued under this section is effective twenty 
(20) days from service on the respondent unless otherwise provided 
therein.



Sec. 209.213  Appeal.

    (a) Any party aggrieved by a presiding officer's decision may file 
an appeal with the Administrator. The appeal must be filed within twenty 
(20) days after service of the presiding officer's decision.
    (b) Prior to rendering a final determination on an appeal, the 
Administrator may remand the case for further proceedings before the 
hearing officer.
    (c) The filing of an appeal does not stay the effectiveness of a 
compliance order unless the Administrator expressly so provides.



Sec. 209.215  Time limitation.

    A proceeding for the issuance of a compliance order under the 
Federal Railroad Safety Act of 1970, as amended, shall be completed 
within twelve (12) months after issuance of the notice of investigation.



                 Subpart D--Disqualification Procedures

    Source: 54 FR 42907, Oct. 18, 1989, unless otherwise noted.



Sec. 209.301  Purpose and scope.

    (a) This subpart prescribes the rules of practice for administrative 
proceedings relating to the determination of an individual's fitness for 
performing safety-sensitive functions under section 209(f) of the 
Federal Railroad Safety Act of 1970 (45 U.S.C. 438(f)).
    (b) The purpose of this subpart is to prevent accidents and 
casualties in railroad operations that result from the presence in the 
work force of railroad employees, including managers and supervisors, 
and agents of railroads who have demonstrated their unfitness to perform 
the safety-sensitive functions described in Sec. 209.303 by violating 
any rule, regulation, order or standard prescribed by FRA. Employees and 
agents who evidence such unfitness may be disqualified, under specified 
terms and conditions, temporarily or permanently, from performing such 
safety-sensitive functions.
    (c) This subpart does not preempt a railroad from initiating 
disciplinary proceedings and imposing disciplinary sanctions against its 
employees, including managers and supervisors, under its collective 
bargaining agreements or in the normal and customary manner. 
Disqualification determinations made under this subpart shall have no 
effect on prior or subsequent disciplinary actions taken against such 
employees by railroads.



Sec. 209.303  Coverage.

    This subpart applies to the following individuals:
    (a) Railroad employees who are assigned to perform service subject 
to the Hours of Service Act (45 U.S.C. 61-64b)

[[Page 28]]

during a duty tour, whether or not the person has performed or is 
currently performing such service, and any person who performs such 
service.
    (b) Railroad employees or agents who:
    (1) Inspect, install, repair, or maintain track and roadbed;
    (2) Inspect, repair or maintain, locomotives, passenger cars, and 
freight cars;
    (3) Conduct training and testing of employees when the training or 
testing is required by the FRA's safety regulations; or
    (c) Railroad managers, supervisors, or agents when they:
    (1) Perform the safety-sensitive functions listed in paragraphs (a) 
and (b) of this section;
    (2) Supervise and otherwise direct the performance of the safety-
sensitive functions listed in paragraphs (a) and (b) of this section; or
    (3) Are in a position to direct the commission of violations of any 
of the requirements of parts 213 through 236 of this title.



Sec. 209.305  Notice of proposed disqualification.

    (a) FRA, through the Chief Counsel, begins a disqualification 
proceeding by serving a notice of proposed disqualification on the 
respondent charging him or her with having violated one or more rules, 
regulations, orders, or standards promulgated by FRA, which render the 
respondent unfit to perform safety-sensitive functions described in 
Sec. 209.303.
    (b) The notice of proposed disqualification issued under this 
section shall contain:
    (1) A statement of the rule(s), regulation(s), order(s), or 
standard(s) that the respondent is alleged to have violated;
    (2) A statement of the factual allegations that form the basis of 
the initial determination that the respondent is not fit to perform 
safety-sensitive functions;
    (3) A statement of the effective date, duration, and other 
conditions, if any, of the disqualification order;
    (4) A statement of the respondent's right to answer the charges in 
writing and furnish affidavits and any other documentary evidence in 
support of the answer;
    (5) A statement of the respondent's right to make an informal 
response to the Chief Counsel;
    (6) A statement of the respondent's right to request a hearing and 
the procedures for requesting a hearing;
    (7) A statement of the respondent's right to counsel or other 
designated representative; and
    (8) Notice of the consequences of the respondent's failure to take 
any of the actions described in Sec. 209.307(a).
    (c) The Chief Counsel shall enclose with the notice of proposed 
disqualification a copy of the material that is relied on in support of 
the charges. Nothing in this section precludes the Chief Counsel from 
presenting at a subsequent hearing under Sec. 209.321 any evidence of 
the charges set forth in the notice that the Chief Counsel acquires 
after service thereof on the respondent. The Chief Counsel, however, 
shall serve a copy of any such evidence on the respondent at or before 
the prehearing conference required under Sec. 209.319. Failure to 
furnish such evidence to respondent at or before the prehearing 
conference bars its introduction at the hearing.
    (d) The Chief Counsel shall provide a copy of the notice of proposed 
disqualification to the railroad that employs the respondent.



Sec. 209.307  Reply.

    (a) Within 30 days after receipt of the notice of proposed 
disqualification issued under Sec. 209.305, the respondent shall reply 
in writing to the charges. The respondent may furnish affidavits and any 
other documentary evidence in support of the reply. Further, the 
respondent may elect to--
    (1) Stipulate to the charges and consent to the imposition of the 
disqualification order under the conditions set forth in the notice;
    (2) Make an informal response as provided in Sec. 209.309; or
    (3) Request a hearing as provided in Sec. 209.311.
    (b) The Chief Counsel may extend the reply period for good cause 
shown, provided the request for extension is

[[Page 29]]

served before the expiration of the period provided in paragraph (a) of 
this section.
    (c) Failure of the respondent to reply to the notice of proposed 
disqualification within the period provided in paragraph (a) of this 
section or an extension thereto provided under paragraph (b) of this 
section constitutes a waiver of the respondent's right to appear and 
contest the charges or the proposed disqualification. Respondent's 
failure to reply authorizes the Chief Counsel, without further notice to 
the respondent, to find the respondent unfit for the performance of the 
safety-sensitive functions described in Sec. 209.303 and to order the 
respondent disqualified from performing them for the period and under 
the other conditions described in the notice of proposed 
disqualification. The Chief Counsel shall serve respondent with the 
disqualification order and provide a copy of the order to the railroad 
by which the respondent is employed.



Sec. 209.309  Informal response.

    (a) If the respondent elects to make an informal response to a 
notice of proposed disqualification, he or she shall submit to the Chief 
Counsel such written explanations, information, or other materials as 
respondent may desire in answer to the charges or in mitigation of the 
proposed disqualification.
    (b) The respondent may include in an informal written response a 
request for a conference. Upon receipt of such a request, the Chief 
Counsel shall arrange for a conference at a time and place designated by 
the Chief Counsel.
    (c) Written explanations, information, or materials submitted by the 
respondent and relevant information presented during any conference held 
under this section shall be considered by the Chief Counsel in reviewing 
the notice of proposed disqualification, including the question of the 
respondent's fitness and the conditions of any disqualification that may 
be imposed.
    (d) After consideration of an informal response, including any 
relevant information presented at a conference, the Chief Counsel shall 
take one of the following actions:
    (1) Dismiss all the charges and terminate the notice of proposed 
disqualification;
    (2) Dismiss some of the charges and mitigate the proposed 
disqualification;
    (3) Mitigate the proposed disqualification; or
    (4) Sustain the charges and proposed disqualification.
    (e) Should the Chief Counsel sustain, in whole or in part, the 
charges and proposed disqualification and reach settlement with the 
respondent, the Chief Counsel shall issue an appropriate 
disqualification order reflecting the settlement and shall provide a 
copy of that order to the railroad by which the respondent is employed. 
The duration of the disqualification period may be less than, but shall 
be no greater than, the period set forth in the notice. Any settlement 
reached shall be evidenced by a written agreement, which shall include 
declarations from the respondent stipulating to the charges contained in 
the disqualification order, consenting to the imposition of the 
disqualification under the conditions set forth in the disqualification 
order, and waiving his or her right to a hearing.
    (f) If settlement of the charges against the respondent is not 
achieved, the Chief Counsel shall terminate settlement discussions no 
later than 30 days from service of the informal response upon the Chief 
Counsel by serving respondent written notice of termination of 
settlement negotiations.
    (g) By electing to make an informal response to a notice of proposed 
disqualification, the respondent does not waive the right to a hearing. 
However, the respondent must submit the hearing request required by 
Sec. 209.311(a) within l0 days after receipt of the notice of 
termination of settlement negotiations from the Chief Counsel. Failure 
to submit such a request constitutes a waiver of the respondent's right 
to appear and contest the charges or the proposed disqualification.
    (h) The Chief Counsel may extend the period for requesting a hearing 
for good cause shown, provided the request for extension is served 
before the expiration of the period provided in paragraph (g) of this 
section.

[[Page 30]]



Sec. 209.311  Request for hearing.

    (a) If the respondent elects to request a hearing, he or she must 
submit a written request within the time periods specified in 
Sec. 209.307(a) or Sec. 209.309(g) to the Chief Counsel referring to the 
case number that appears on the notice of proposed disqualification. The 
request must contain the following:
    (1) The name, address, and telephone number of the respondent and of 
the respondent's designated representative, if any;
    (2) A specific response admitting, denying, or explaining each 
allegation of the notice of disqualification order.
    (3) A description of the claims and defenses to be raised by the 
respondent at the hearing; and
    (4) The signature of the respondent or the representative, if any.
    (b) Upon receipt of a request for a hearing complying with the 
requirements of paragraph (a) of this section, the Chief Counsel shall 
arrange for the appointment of a presiding officer and transmit the 
disqualification file to the presiding officer, who shall schedule the 
hearing for the earliest practicable date within the time period set by 
Sec. 209.321(a) of this subpart.
    (c) Upon assignment of a presiding officer, further matters in the 
proceeding generally are conducted by and through the presiding officer, 
except that the Chief Counsel and respondent may settle or voluntarily 
dismiss the case without order of the presiding officer. The Chief 
Counsel shall promptly notify the presiding officer of any settlement or 
dismissal of the case.



Sec. 209.313  Discovery.

    (a) Disqualification proceedings shall be conducted as expeditiously 
as possible with due regard to the rights of the parties. Discovery is 
designed to enable a party to obtain relevant information needed for 
preparation of the party's case. These regulations are intended to 
provide a simple, timely, and relatively economical system for 
discovery. They shall be interpreted and applied so as to avoid delay 
and facilitate adjudication of the case.
    (b) Discovery may be obtained by requests for admission under 
Sec. 209.6, requests for production of documentary or other tangible 
evidence under Sec. 209.7, and depositions under Sec. 209.8.
    (c) A party may initiate the methods of discovery permitted under 
paragraph (b) of this section at any time after respondent requests a 
hearing under Sec. 209.311.
    (d) Discovery shall be completed within 90 days after receipt of 
respondent's request for a hearing under Sec. 209.311. Upon motion for 
good cause shown, the presiding officer may extend this time period for 
an additional 30 days. The presiding officer may grant an additional 30 
day extension only when the party requesting the extension shows by 
clear and convincing evidence that the party was unable to complete 
discovery within the prescribed time period through no fault or lack of 
due diligence of such party, and that denial of the request would result 
in irreparable prejudice.
    (e) If a party fails to comply with a discovery order or an order to 
compel, the presiding officer may:
    (1) Strike any appropriate part of the pleadings or other 
submissions of the party failing to comply with such order;
    (2) Prohibit the party failing to comply with such order from 
introducing evidence relating to the information sought;
    (3) Draw an inference in favor of the requesting party with regard 
to the information sought; and
    (4) Permit the requesting party to introduce secondary evidence 
concerning the information sought.



Sec. 209.315  Subpoenas.

    Once a notice of proposed disqualification has been issued in a 
particular matter, only the presiding officer may issue, deny, quash, or 
modify subpoenas under this subpart in accordance with Sec. 209.7.



Sec. 209.317  Official record.

    The notice of proposed disqualification, respondent's reply, 
exhibits, and verbatim record of testimony, if a hearing is held, and 
all pleadings, stipulations, and admissions filed and rulings and orders 
entered in the course of the proceeding shall constitute the exclusive 
and official record.

[[Page 31]]



Sec. 209.319  Prehearing conference.

    (a) The parties shall confer with the presiding officer, either in 
person or by telephone, for a conference at least 10 days before the 
hearing to consider:
    (1) Formulation and simplification of the issues;
    (2) Stipulations, admissions of fact, and admissions of the contents 
and authenticity of documents;
    (3) Advance rulings from the presiding officer on the admissibility 
of evidence;
    (4) Identification of witnesses, including the scope of their 
testimony, and of hearing exhibits;
    (5) Possibility of settlement; and
    (6) Such other matters as the presiding officer deems necessary to 
expedite the disposition of the proceeding.
    (b) The record shall show the matters disposed of by order and by 
agreement in such a prehearing conference. The subsequent course of the 
hearing shall be controlled by such action.
    (c) The prehearing conference shall be held within 150 days after 
receipt of respondent's request for a hearing under Sec. 209.311.



Sec. 209.321  Hearing.

    (a) Upon receipt of a hearing request complying with Sec. 209.311, 
an administrative hearing for review of a notice of proposed 
disqualification shall be conducted by a presiding officer, who can be 
any person authorized by the FRA Administrator, including an 
administrative law judge. The hearing shall begin within 180 days from 
receipt of respondent's hearing request. Notice of the time and place of 
the hearing shall be given to the parties at least 20 days before the 
hearing. Testimony by witnesses shall be given under oath and the 
hearing shall be recorded verbatim. The hearing shall be open to the 
public, unless the presiding official determines that it would be in the 
best interests of the respondent, a witness, or other affected persons, 
to close all or any part of it. If the presiding official makes such a 
determination, an appropriate order, which sets forth the reasons 
therefor, shall be entered.
    (b) The presiding officer may:
    (1) Administer oaths and affirmations;
    (2) Issue subpoenas as provided by Sec. 209.7;
    (3) Adopt procedures for the submission of evidence in written form;
    (4) Take or cause depositions to be taken as provided in Sec. 209.8;
    (5) Rule on offers of proof and receive relevant evidence;
    (6) Examine witnesses at the hearing;
    (7) Convene, recess, reconvene, adjourn, and otherwise regulate the 
course of the hearing;
    (8) Hold conferences for settlement, simplification of the issues, 
or any other proper purpose; and
    (9) Take any other action authorized by or consistent with the 
provisions of this subpart and permitted by law that may expedite the 
hearing or aid in the disposition of an issue raised therein.
    (c) FRA has the burden of proof, by a preponderance of the evidence, 
as to the facts alleged in the notice of proposed disqualification, the 
reasonableness of the conditions of the qualification proposed, and, 
except as provided in Sec. 209.329(a), the respondent's lack of fitness 
to perform safety-sensitive functions. The Chief Counsel may offer 
relevant evidence, including testimony, in support of the allegations 
contained in the notice of proposed disqualification and conduct such 
cross-examination as may be required for a full disclosure of the 
material facts.
    (d) The respondent may appear and be heard on respondent's own 
behalf or through respondent's designated representative. The respondent 
may offer relevant evidence, including testimony, in defense of the 
allegations or in mitigation of the proposed disqualification and 
conduct such cross-examination as may be required for a full disclosure 
of the material facts. Respondent has the burden of proof, by a 
preponderance of the evidence, as to any affirmative defense, including 
that respondent's actions were in obedience to the direct order of a 
railroad supervisor or higher level official.
    (e) The record shall be closed at the conclusion of the hearing, 
unless the parties request the opportunity to submit proposed findings 
and conclusions. When the presiding officer allows the parties to submit 
proposed findings and conclusions, documents previously

[[Page 32]]

identified for introduction into evidence, briefs, or other posthearing 
submissions the record shall be left open for such time as the presiding 
officer grants for that purpose.

[54 FR 42907, Oct. 18, 1989, as amended at 60 FR 53136, Oct. 12, 1995]



Sec. 209.323  Initial decision.

    (a) The presiding officer shall prepare an initial decision after 
the closing of the record. The initial decision may dismiss the notice 
of proposed disqualification, in whole or in part, sustain the charges 
and proposed disqualification, or sustain the charges and mitigate the 
proposed disqualification.
    (b) If the presiding officer sustains the charges and the proposed 
disqualification, dismisses some of the charges, or mitigates the 
proposed disqualification, the presiding officer shall issue and serve 
an appropriate order disqualifying respondent from engaging in the 
safety-sensitive functions described in Sec. 209.303. If the presiding 
officer dismisses all of the charges set forth in notice of proposed 
disqualification, a dismissal order shall be issued and served.
    (c) Each initial decision shall contain:
    (1) Findings of fact and conclusions of law, as well as the reasons 
or bases therefor, upon all the material issues of fact and law 
presented on the record;
    (2) An order, as described in paragraph (b) of this section;
    (3) The dates any disqualification is to begin and end and other 
conditions, if any, that the respondent must satisfy before the 
disqualification order is discharged;
    (4) The date upon which the decision will become final, as 
prescribed in Sec. 209.325; and
    (5) Notice of the parties' appeal rights, as prescribed in 
Sec. 209.327.
    (d) The decision shall be served upon the FRA Chief Counsel and the 
respondent. The Chief Counsel shall provide a copy of the 
disqualification order to the railroad by which the respondent is 
employed.



Sec. 209.325  Finality of decision.

    (a) The initial decision of the presiding officer shall become final 
35 days after issuance. Such decisions are not precedent.
    (b) Exception. The initial decision shall not become final if, 
within 35 days after issuance of the decision, any party files an appeal 
under Sec. 209.327. The timely filing of such an appeal shall stay the 
order in the initial decision.



Sec. 209.327  Appeal.

    (a) Any party aggrieved by an initial decision issued under 
Sec. 209.323 may file an appeal. The appeal must be filed within 35 days 
of issuance of the initial decision with the Federal Railroad 
Administrator, 400 Seventh Street, SW., Washington, DC 20590. A copy of 
the appeal shall be served on each party. The appeal shall set forth 
objections to the initial decision, supported by reference to applicable 
laws and regulations, and with specific reference to the record. If the 
Administrator has played any role in investigating, prosecuting, or 
deciding to prosecute the particular case, the Administrator shall 
recuse him or herself and delegate his or her authority under this 
section to a person not so involved.
    (b) A party may file a reply to an appeal within 25 days of service 
of the appeal. If the party relies on evidence contained in the record 
for the reply, the party shall specifically refer to the pertinent 
evidence in the record.
    (c) The Administrator may extend the period for filing an appeal or 
a response for good cause shown, provided the written request for 
extension is served before the expiration of the applicable period 
provided in paragraph (c) or (d) of this section.
    (d) The Administrator has sole discretion to permit oral argument on 
the appeal. On the Administrator's own initiative or upon written motion 
by any party, the Administrator may determine that oral argument will 
contribute substantially to the development of the issues on appeal and 
may grant the parties an opportunity for oral argument.
    (e) The Administrator may affirm, reverse, alter, or modify the 
decision of the presiding officer, or may remand the case for further 
proceedings before

[[Page 33]]

the presiding officer. The Administrator shall inform the parties and 
the presiding officer of his or her decision.
    (f) The decision of the Administrator is final, constitutes final 
agency action, and is not subject to further administrative review.



Sec. 209.329  Assessment considerations.

    (a) Proof of a respondent's willful violation of one of the 
requirements of parts 213 through 236 (excluding parts 225, 228, and 
233) of this title establishes a rebuttable presumption that the 
respondent is unfit to perform the safety-sensitive functions described 
in Sec. 209.303. Where such presumption arises, the respondent has the 
burden of establishing that, taking account of the factors in paragraph 
(b) of this section, he or she is fit to perform the foregoing safety-
sensitive functions for the period and under the other conditions, if 
any, proposed in the notice of proposed disqualification.
    (b) In determining respondent's lack of fitness to perform safety-
sensitive functions and the duration and other conditions, if any, of 
appropriate disqualification orders under Secs. 209.309, 209.323, and 
209.327, the factors to be considered, to the extent: Each is pertinent 
to the respondent's case, include but are not limited to the following:
    (1) The nature and circumstances of the violation, including whether 
the violation was intentional, technical, or inadvertent, was committed 
willfully, or was frequently repeated;
    (2) The adverse impact or the potentially adverse impact of the 
violation on the health and safety of persons and the safety of 
property;
    (3) The railroad's operating rules, safety rules, and repair and 
maintenance standards;
    (4) Repair and maintenance standards adopted by the industry;
    (5) The consistency of the conditions of the proposed 
disqualification with disqualification orders issued against other 
employees for the same or similar violations;
    (6) Whether the respondent was on notice of any safety regulations 
that were violated or whether the respondent had been warned about the 
conduct in question;
    (7) The respondent's past record of committing violations of safety 
regulations, including previous FRA warnings issued, disqualifications 
imposed, civil penalties assessed, railroad disciplinary actions, and 
criminal convictions therefor;
    (8) The civil penalty scheduled for the violation of the safety 
regulation in question;
    (9) Mitigating circumstances surrounding the violation, such as the 
existence of an emergency situation endangering persons or property and 
the need for the respondent to take immediate action; and
    (10) Such other factors as may be warranted in the public interest.



Sec. 209.331  Enforcement of disqualification order.

    (a) A railroad that employs or formerly employed an individual 
serving under a disqualification order shall inform prospective or 
actual employers of the terms and conditions of the order upon receiving 
notice that the disqualified employee is being considered for employment 
with or is employed by another railroad to perform any of the safety-
sensitive functions described in Sec. 209.303.
    (b) A railroad that is considering hiring an individual to perform 
the safety-sensitive functions described in Sec. 209.303 shall ascertain 
from the individual's previous employer, if such employer was a 
railroad, whether the individual is subject to a disqualification order.
    (c) An individual subject to a disqualification order shall inform 
his or her employer of the order and provide a copy thereof within 5 
days after receipt of the order. Such an individual shall likewise 
inform any prospective employer who is considering hiring the individual 
to perform any of the safety-sensitive functions described in 
Sec. 209.303 of the order and provide a copy thereof within 5 days after 
receipt of the order or upon application for the position, whichever 
first occurs.



Sec. 209.333  Prohibitions.

    (a) An individual subject to a disqualification order shall not work 
for any railroad in any manner inconsistent with the order.

[[Page 34]]

    (b) A railroad shall not employ any individual subject to a 
disqualification order in any manner inconsistent with the order.



Sec. 209.335  Penalties.

    (a) Any individual who violates Sec. 209.331(c) or Sec. 209.333(a) 
may be permanently disqualified from performing the safety-sensitive 
functions described in Sec. 209.303. Any individual who willfully 
violates Sec. 209.331(c) or Sec. 209.333(a) may also be assessed a civil 
penalty of at least $1,000 and not more than $5,000 per violation.
    (b) Any railroad that violates Sec. 209.331 (a) or (b) or 
Sec. 209.333(b) may be assessed a civil penalty of at least $5,000 and 
not more than $11,000 per violation.
    (c) Each day a violation continues shall constitute a separate 
offense.

[54 FR 42907, Oct. 18, 1989, as amended at 63 FR 11619, Mar. 10, 1998]



Sec. 209.337  Information collection.

    The information collection requirements in Sec. 209.331 of this part 
have been reviewed by the Office of Management and Budget pursuant to 
the Paperwork Reduction Act of 1980, (44 U.S.C. 3501 et seq.) and have 
been assigned OMB control number 2130-0529.

[56 FR 66791, Dec. 26, 1991]



                Subpart E--Reporting of Remedial Actions

    Source: 59 FR 43676, Aug. 24, 1994, unless otherwise noted.



Sec. 209.401  Purpose and scope.

    (a) The purpose of this subpart is to prevent accidents and 
casualties arising from the operation of a railroad that result from a 
railroad's failure to remedy certain violations of the Federal railroad 
safety laws for which assessment of a civil penalty has been 
recommended.
    (b) To achieve this purpose, this subpart requires that if an FRA 
Safety Inspector notifies a railroad both that assessment of a civil 
penalty will be recommended for its failure to comply with a provision 
of the Federal railroad safety laws and that a remedial actions report 
must be submitted, the railroad shall report to the FRA Safety 
Inspector, within 30 days after the end of the calendar month in which 
such notification is received, actions taken to remedy that failure.
    (c) This subpart does not relieve the railroad of the underlying 
responsibility to comply with a provision of the Federal railroad safety 
laws. The 30-day period after the end of the calendar month in which 
notification is received is intended merely to provide the railroad with 
an opportunity to prepare its report to FRA, and does not excuse 
continued noncompliance.
    (d) This subpart requires the submission of remedial actions reports 
for the general categories of physical defects, recordkeeping and 
reporting violations, and filing violations, where the railroad can 
literally and specifically correct a failure to comply with a provision 
of the Federal railroad safety laws, as reasonably determined by the FRA 
Safety Inspector. No railroad is required to submit a report for a 
failure involving either a completed or past transaction or a 
transaction that it can no longer remedy.



Sec. 209.403  Applicability.

    This subpart applies to any railroad that receives written 
notification from an FRA Safety Inspector both (i) that assessment of a 
civil penalty will be recommended for its failure to comply with a 
provision of the Federal railroad safety laws and (ii) that it must 
submit a remedial actions report.



Sec. 209.405  Reporting of remedial actions.

    (a) Except as provided in Sec. 209.407, each railroad that has 
received written notification on Form FRA F 6180.96 from an FRA Safety 
Inspector both that assessment of a civil penalty will be recommended 
for the railroad's failure to comply with a provision of the Federal 
railroad safety laws and that it must submit a remedial actions report, 
shall report on this form all actions that it takes to remedy that 
failure. The railroad shall submit the completed form to the FRA Safety 
Inspector within 30 days after the end of the calendar month in which 
the notification is received.
    (1) Date of receipt of notification. If the FRA Safety Inspector 
provides written

[[Page 35]]

notification to the railroad by first class mail, then for purposes of 
determining the calendar month in which notification is received, the 
railroad shall be presumed to have received the notification five 
business days following the date of mailing.
    (2) Completion of Form FRA F 6180.96, including selection of 
railroad remedial action code. Each railroad shall complete the remedial 
actions report in the manner prescribed on the report form. The railroad 
shall select the one remedial action code on the reporting form that 
most accurately reflects the action or actions that it took to remedy 
the failure, such as, repair or replacement of a defective component 
without movement, movement of a locomotive or car for repair (where 
permitted) and its subsequent repair, completion of a required test or 
inspection, removal of a noncomplying item from service but not for 
repair (where permitted), reduction of operating speed (where sufficient 
to achieve compliance), or any combination of actions appropriate to 
remedy the noncompliance cited. Any railroad selecting the remedial 
action code ``other remedial actions'' shall also furnish FRA with a 
brief narrative description of the action or actions taken.
    (3) Submission of Form FRA F 6180.96. The railroad shall return the 
form by first class mail to the FRA Safety Inspector whose name and 
address appear on the form.
    (b) Any railroad concluding that the violation alleged on the 
inspection report may not have occurred may submit the remedial actions 
report with an appropriate written explanation. Failure to raise all 
pertinent defenses does not foreclose the railroad from doing so in 
response to a penalty demand.



Sec. 209.407  Delayed reports.

    (a) If a railroad cannot initiate or complete remedial actions 
within 30 days after the end of the calendar month in which the 
notification is received, it shall--
    (1) Prepare, in writing, an explanation of the reasons for such 
delay and a good faith estimate of the date by which it will complete 
the remedial actions, stating the name and job title of the preparer and 
including either:
    (i) A photocopy of both sides of the Form FRA F 6180.96 on which the 
railroad received notification; or
    (ii) The following information:
    (A) The inspection report number;
    (B) The inspection date; and
    (C) The item number; and
    (2) Sign, date, and submit such written explanation and estimate, by 
first class mail, to the FRA Safety Inspector whose name and address 
appear on the notification, within 30 days after the end of the calendar 
month in which the notification is received.
    (b) Within 30 days after the end of the calendar month in which all 
such remedial actions are completed, the railroad shall report in 
accordance with the remedial action code procedures referenced in 
Sec. 209.405(a). The additional time provided by this section for a 
railroad to submit a delayed report shall not excuse it from liability 
for any continuing violation of a provision of the Federal railroad 
safety laws.



Sec. 209.409  Penalties.

    Any person who violates any requirement of this subpart or causes 
the violation of any such requirement is subject to a civil penalty of 
at least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. A person may also be subject to the 
criminal penalties provided for in 49 U.S.C. 21311 (formerly codified in 
45 U.S.C. 438(e)) for knowingly and willfully falsifying reports 
required by this subpart.

[59 FR 43676, Aug. 24, 1994, as amended at 63 FR 11619, Mar. 10, 1998]

     Appendix A to Part 209--Statement of Agency Policy Concerning 
             Enforcement of the Federal Railroad Safety Laws

    The Federal Railroad Administration (``fra'') enforces the federal 
railroad safety

[[Page 36]]

statutes under delegation from the Secretary of Transportation. See 49 
CFR 1.49 (c), (d), (f), (g), and (m). Those statutes include the Federal 
Railroad Safety Act of 1970 (``Safety Act''), 45 U.S.C. 421 et seq., and 
a group of statutes enacted prior to 1970 referred to collectively 
herein as the ``older safety statutes'': The Safety Appliance Acts, 45 
U.S.C. 1-16; the Locomotive Inspection Act, 45 U.S.C. 22-34; the 
Accident Reports Act, 45 U.S.C. 38-43; the Hours of Service Act, 45 
U.S.C. 61-64b; and the Signal Inspection Act, 49 App. U.S.C. 26. 
Regulations implementing those statutes are found at 49 CFR parts 213 
through 236. The Rail Safety Improvement Act of 1988 (Pub. L. No. 100-
342, enacted June 22, 1988) (``RSIA'') raised the maximum civil 
penalties available under the railroad safety laws and made individuals 
liable for willful violations of those laws. FRA also enforces the 
Hazardous Materials Transportation Act, 49 App. U.S.C. 1801 et seq., as 
it pertains to the shipment or transportation of hazardous materials by 
rail.

                        The Civil Penalty Process

    The front lines in the civil penalty process are the FRA safety 
inspectors: FRA employs over 300 inspectors, and their work is 
supplemented by approximately 100 inspectors from states participating 
in enforcement of the federal rail safety laws. These inspectors 
routinely inspect the equipment, track, and signal systems and observe 
the operations of the nation's railroads. They also investigate hundreds 
of complaints filed annually by those alleging noncompliance with the 
laws. When inspection or complaint investigation reveals noncompliance 
with the laws, each noncomplying condition or action is listed on an 
inspection report. Where the inspector determines that the best method 
of promoting compliance is to assess a civil penalty, he or she prepares 
a violation report, which is essentially a recommendation to the FRA 
Office of Chief Counsel to assess a penalty based on the evidence 
provided in or with the report.
    In determining which instances of noncompliance merit penalty 
recommendations, the inspector considers:
    (1) The inherent seriousness of the condition or action;
    (2) The kind and degree of potential safety hazard the condition or 
action poses in light of the immediate factual situation;
    (3) Any actual harm to persons or property already caused by the 
condition or action;
    (4) The offending person's (i.e., railroad's or individual's) 
general level of current compliance as revealed by the inspection as a 
whole;
    (5) The person's recent history of compliance with the relevant set 
of regulations, especially at the specific location or division of the 
railroad involved;
    (6) Whether a remedy other than a civil penalty (ranging from a 
warning on up to an emergency order) is more appropriate under all of 
the facts; and
    (7) Such other factors as the immediate circumstances make relevant.
    The civil penalty recommendation is reviewed at the regional level 
by a specialist in the subject matter involved, who requires correction 
of any technical flaws and determines whether the recommendation is 
consistent with national enforcement policy in similar circumstances. 
Guidance on that policy in close cases is sometimes sought from Office 
of Safety headquarters. Violation reports that are technically and 
legally sufficient and in accord with FRA policy are sent from the 
regional office to the Office of Chief Counsel.
    The exercise of this discretion at the field and regional levels is 
a vital part of the enforcement process, ensuring that the exacting and 
time-consuming civil penalty process is used to address those situations 
most in need of the deterrent effect of penalties. FRA exercises that 
discretion with regard to individual violators in the same manner it 
does with respect to railroads.
    The Office of Chief Counsel's Safety Division reviews each violation 
report it receives from the regional offices for legal sufficiency and 
assesses penalties based on those allegations that survive that review. 
Historically, the Division has returned to the regional offices less 
than five percent of the reports submitted in a given year, often with a 
request for further work and resubmission.
    Where the violation was committed by a railroad, penalties are 
assessed by issuance of a penalty demand letter that summarizes the 
claims, encloses the violation report with a copy of all evidence on 
which FRA is relying in making its initial charge, and explains that the 
railroad may pay in full or submit, orally or in writing, information 
concerning any defenses or mitigating factors. The railroad safety 
statutes, in conjunction with the Federal Claims Collection Act, 
authorize FRA to adjust or compromise the initial penalty claims based 
on a wide variety of mitigating factors. This system permits the 
efficient collection of civil penalties in amounts that fit the actual 
offense without resort to time-consuming and expensive litigation. Over 
its history, FRA has had to request that the Attorney General bring suit 
to collect a penalty on only a very few occasions.
    Once penalties have been assessed, the railroad is given a 
reasonable amount of time to investigate the charges. Larger railroads 
usually make their case before FRA in an informal conference covering a 
number of case files that have been issued and investigated since the 
previous conference. Thus, in terms

[[Page 37]]

of the negotiating time of both sides, economies of scale are achieved 
that would be impossible if each case were negotiated separately. The 
settlement conferences, held either in Washington or another mutually 
agreed on location, include technical experts from both FRA and the 
railroad as well as lawyers for both parties. In addition to allowing 
the two sides to make their cases for the relative merits of the various 
claims, these conferences also provide a forum for addressing current 
compliance problems. Smaller railroads usually prefer to handle 
negotiations through the mail or over the telephone, often on a single 
case at a time. Once the two sides have agreed to an amount on each 
case, that agreement is put in writing and a check is submitted to FRA's 
accounting division covering the full amount agreed on.
    Cases brought under the Hazardous Materials Transportation Act, 49 
App. U.S.C. 1801 et seq., are, due to certain statutory requirements, 
handled under more formal administrative procedures. See 49 CFR part 
209, subpart B.

                   Civil Penalties Against Individuals

    The RSIA amended the penalty provisions of the railroad safety 
statutes to make them applicable to any ``person (including a railroad 
and any manager, supervisor, official, or other employee or agent of a 
railroad)'' who fails to comply with the regulations or statutes. E.g., 
section 3 of the RSIA, amending section 209 of the Safety Act. However, 
the RSIA also provided that civil penalties may be assessed against 
individuals ``only for willful violations.''
    Thus, any individual meeting the statutory description of ``person'' 
is liable for a civil penalty for a willful violation of, or for 
willfully causing the violation of, the safety statutes or regulations. 
Of course, as has traditionally been the case with respect to acts of 
noncompliance by railroads, the FRA field inspector exercises discretion 
in deciding which situations call for a civil penalty assessment as the 
best method of ensuring compliance. The inspector has a range of 
options, including an informal warning, a more formal warning letter 
issued by the Safety Division of the Office of Chief Counsel, 
recommendation of a civil penalty assessment, recommendation of 
disqualification or suspension from safety-sensitive service, or, under 
the most extreme circumstances, recommendation of emergency action.
    The threshold question in any alleged violation by an individual 
will be whether that violation was ``willful.'' (Note that section 3(a) 
of the RSIA, which authorizes suspension or disqualification of a person 
whose violation of the safety laws has shown him or her to be unfit for 
safety-sensitive service, does not require a showing of willfulness. 
Regulations implementing that provision are found at 49 CFR part 209, 
subpart D.) FRA proposed this standard of liability when, in 1987, it 
originally proposed a statutory revision authorizing civil penalties 
against individuals. FRA believed then that it would be too harsh a 
system to collect fines from individuals on a strict liability basis, as 
the safety statutes permit FRA to do with respect to railroads. FRA also 
believed that even a reasonable care standard (e.g., the Hazardous 
Materials Transportation Act's standard for civil penalty liability, 49 
U.S.C. 1809(a)) would subject individuals to civil penalties in more 
situations than the record warranted. Instead, FRA wanted the authority 
to penalize those who violate the safety laws through a purposeful act 
of free will.
    Thus, FRA considers a ``willful'' violation to be one that is an 
intentional, voluntary act committed either with knowledge of the 
relevant law or reckless disregard for whether the act violated the 
requirements of the law. Accordingly, neither a showing of evil purpose 
(as is sometimes required in certain criminal cases) nor actual 
knowledge of the law is necessary to prove a willful violation, but a 
level of culpability higher than negligence must be demonstrated. See 
Trans World Airlines, Inc. v. Thurston, 469 U.S. 111 (1985); Brock v. 
Morello Bros. Constr., Inc. 809 F.2d 161 (1st Cir. 1987); and Donovan v. 
Williams Enterprises, Inc., 744 F.2d 170 (D.C. Cir. 1984).
    Reckless disregard for the requirements of the law can be 
demonstrated in many ways. Evidence that a person was trained on or made 
aware of the specific rule involved--or, as is more likely, its 
corresponding industry equivalent--would suffice. Moreover, certain 
requirements are so obviously fundamental to safe railroading (e.g., the 
prohibition against disabling an automatic train control device) that 
any violation of them, regardless of whether the person was actually 
aware of the prohibition, should be seen as reckless disregard of the 
law. See Brock, supra, 809 F.2d 164. Thus, a lack of subjective 
knowledge of the law is no impediment to a finding of willfulness. If it 
were, a mere denial of the content of the particular regulation would 
provide a defense. Having proposed use of the word ``willful,'' FRA 
believes it was not intended to insulate from liability those who simply 
claim--contrary to the established facts of the case--they had no reason 
to believe their conduct was wrongful.
    A willful violation entails knowledge of the facts constituting the 
violation, but actual, subjective knowledge need not be demonstrated. It 
will suffice to show objectively what the alleged violator must have 
known of the facts based on reasonable inferences drawn from the 
circumstances. For example, a person shown to have been responsible for 
performing an initial terminal air brake test that was not in fact 
performed would not be

[[Page 38]]

able to defend against a charge of a willful violation simply by 
claiming subjective ignorance of the fact that the test was not 
performed. If the facts, taken as a whole, demonstrated that the person 
was responsible for doing the test and had no reason to believe it was 
performed by others, and if that person was shown to have acted with 
actual knowledge of or reckless disregard for the law requiring such a 
test, he or she would be subject to a civil penalty.
    This definition of ``willful'' fits squarely within the parameters 
for willful acts laid out by Congress in the RSIA and its legislative 
history. Section 3(a) of the RSIA amends the Safety Act to provide:
    For purposes of this section, an individual shall be deemed not to 
have committed a willful violation where such individual has acted 
pursuant to the direct order of a railroad official or supervisor, under 
protest communicated to the supervisor. Such individual shall have the 
right to document such protest.
    As FRA made clear when it recommended legislation granting 
individual penalty authority, a railroad employee should not have to 
choose between liability for a civil penalty or insubordination charges 
by the railroad. Where an employee (or even a supervisor) violates the 
law under a direct order from a supervisor, he or she does not do so of 
his or her free will. Thus, the act is not a voluntary one and, 
therefore, not willful under FRA's definition of the word. Instead, the 
action of the person who has directly ordered the commission of the 
violation is itself a willful violation subjecting that person to a 
civil penalty. As one of the primary sponsors of the RSIA said on the 
Senate floor:
    This amendment also seeks to clarify that the purpose of imposing 
civil penalties against individuals is to deter those who, of their free 
will, decide to violate the safety laws. The purpose is not to penalize 
those who are ordered to commit violations by those above them in the 
railroad chain of command. Rather, in such cases, the railroad official 
or supervisor who orders the others to violate the law would be liable 
for any violations his order caused to occur. One example is the 
movement of railroad cars or locomotives that are actually known to 
contain certain defective conditions. A train crew member who was 
ordered to move such equipment would not be liable for a civil penalty, 
and his participation in such movements could not be used against him in 
any disqualification proceeding brought by FRA.

133 Cong. Rec. S.15899 (daily ed. Nov. 5, 1987) (remarks of Senator 
Exon).

    It should be noted that FRA will apply the same definition of 
``willful'' to corporate acts as is set out here with regard to 
individual violations. Although railroads are strictly liable for 
violations of the railroad safety laws and deemed to have knowledge of 
those laws, FRA's penalty schedules contain, for each regulation, a 
separate amount earmarked as the initial assessment for willful 
violations. Where FRA seeks such an extraordinary penalty from a 
railroad, it will apply the definition of ``willful'' set forth above. 
In such cases--as in all civil penalty cases brought by FRA--the 
aggregate knowledge and actions of the railroad's managers, supervisors, 
employees, and other agents will be imputed to the railroad. Thus, in 
situations that FRA decides warrant a civil penalty based on a willful 
violation, FRA will have the option of citing the railroad and/or one or 
more of the individuals involved. In cases against railroads other than 
those in which FRA alleges willfulness or in which a particular 
regulation imposes a special standard, the principles of strict 
liability and presumed knowledge of the law will continue to apply.
    The RSIA gives individuals the right to protest a direct order to 
violate the law and to document the protest. FRA will consider such 
protests and supporting documentation in deciding whether and against 
whom to cite civil penalties in a particular situation. Where such a 
direct order has been shown to have been given as alleged, and where 
such a protest is shown to have been communicated to the supervisor, the 
person or persons communicating it will have demonstrated their lack of 
willfulness. Any documentation of the protest will be considered along 
with all other evidence in determining whether the alleged order to 
violate was in fact given.
    However, the absence of such a protest will not be viewed as 
warranting a presumption of willfulness on the part of the employee who 
might have communicated it. The statute says that a person who 
communicates such a protest shall be deemed not to have acted willfully; 
it does not say that a person who does not communicate such a protest 
will be deemed to have acted willfully. FRA would have to prove from all 
the pertinent facts that the employee willfully violated the law. 
Moreover, the absence of a protest would not be dispositive with regard 
to the willfulness of a supervisor who issued a direct order to violate 
the law. That is, the supervisor who allegedly issued an order to 
violate will not be able to rely on the employee's failure to protest 
the order as a complete defense. Rather, the issue will be whether, in 
view of all pertinent facts, the supervisor intentionally and 
voluntarily ordered the employee to commit an act that the supervisor 
knew would violate the law or acted with reckless disregard for whether 
it violated the law.
    FRA exercises the civil penalty authority over individuals through 
informal procedures very similar to those used with respect to railroad 
violations. However, FRA varies

[[Page 39]]

those procedures somewhat to account for differences that may exist 
between the railroad's ability to defend itself against a civil penalty 
charge and an individual's ability to do so. First, when the field 
inspector decides that an individual's actions warrant a civil penalty 
recommendation and drafts a violation report, the inspector or the 
regional director informs the individual in writing of his or her 
intention to seek assessment of a civil penalty and the fact that a 
violation report has been transmitted to the Office of Chief Counsel. 
This ensures that the individual has the opportunity to seek counsel, 
preserve documents, or take any other necessary steps to aid his or her 
defense at the earliest possible time.
    Second, if the Office of Chief Counsel concludes that the case is 
meritorious and issues a penalty demand letter, that letter makes clear 
that FRA encourages discussion, through the mail, over the telephone or 
in person, of any defenses or mitigating factors the individual may wish 
to raise. That letter also advises the individual that he or she may 
wish to obtain representation by an attorney and/or labor 
representative. During the negotiation stage, FRA considers each case 
individually on its merits and gives due weight to whatever information 
the alleged violator provides.
    Finally, in the unlikely event that a settlement cannot be reached, 
FRA sends the individual a letter warning of its intention to request 
that the Attorney General sue for the initially proposed amount and 
giving the person a sufficient interval (e.g., 30 days) to decide if 
that is the only alternative.
    FRA believes that the intent of Congress would be violated if 
individuals who agree to pay a civil penalty or are ordered to do so by 
a court are indemnified for that penalty by the railroad or another 
institution (such as a labor organization). Congress intended that the 
penalties have a deterrent effect on individual behavior that would be 
lessened, if not eliminated, by such indemnification.
    Although informal, face-to-face meetings are encouraged during the 
negotiation of a civil penalty charge, the RSIA does not require that 
FRA give individuals or railroads the opportunity for a formal, trial-
type administrative hearing as part of the civil penalty process. FRA 
does not provide that opportunity because such administrative hearings 
would be likely to add significantly to the costs an individual would 
have to bear in defense of a safety claim (and also to FRA's enforcement 
expenses) without shedding any more light on what resolution of the 
matter is fair than would the informal procedures set forth here. Of 
course, should an individual or railroad decide not to settle, that 
person would be entitled to a trial de novo when FRA, through the 
Attorney General, sued to collect the penalty in the appropriate United 
States district court.

           Penalty Schedules; Assessment of Maximum Penalties

    As recommended by the Department of Transportation in its initial 
proposal for rail safety legislative revisions in 1987, the RSIA raised 
the maximum civil penalties for violations of the safety regulations. 
Under the Hours of Service Act, the penalty was changed from a flat $500 
to a penalty of ``up to $1,000, as the Secretary of Transportation deems 
reasonable.'' Under all the other statutes, the maximum penalty was 
raised from $2,500 to $10,000 per violation, except that ``where a 
grossly negligent violation or pattern of repeated violations has 
created an imminent hazard of death or injury to persons, or has caused 
death or injury,'' a penalty of up to $20,000 per violation may be 
assessed.
    The Rail Safety Enforcement and Review Act of 1992 (RSERA) increased 
the maximum penalty from $1,000 to $10,000 and in some cases, $20,000 
for a violation of the Hours of Service Laws, making these penalty 
amounts uniform with those of FRA's other regulatory provisions. RSERA 
also increased the minimum civil monetary penalty from $250 to $500 for 
all of FRA's regulatory provisions. The Federal Civil Penalties 
Inflation Adjustment Act of 1990, Public Law 101-410, 104 Stat. 890, 
note, as amended by Section 31001(s)(1) of the Debt Collection 
Improvement Act of 1996 Public Law 104-134, 110 Stat. 1321-373, April 
26, 1996 required that agencies adjust by regulation each maximum civil 
monetary penalty within the agency's jurisdiction for inflation and make 
subsequent adjustments once every four years after the initial 
adjustment. Accordingly, FRA's maximum civil monetary penalties have 
been adjusted.
    FRA's traditional practice has been to issue penalty schedules 
assigning to each particular regulation specific dollar amounts for 
initial penalty assessments. The schedule (except where issued after 
notice and an opportunity for comment) constitutes a statement of agency 
policy, and is ordinarily issued as an appendix to the relevant part of 
the Code of Federal Regulations. For each regulation, the schedule shows 
two amounts within the $500 to $11,000 range in separate columns, the 
first for ordinary violations, the second for willful violations 
(whether committed by railroads or individuals). In one instance--part 
231--the schedule refers to sections of the relevant FRA defect code 
rather than to sections of the CFR text. Of course, the defect code, 
which is simply a reorganized version of the CFR text used by FRA to 
facilitate computerization of inspection data, is substantively 
identical to the CFR text.
    The schedule amounts are meant to provide guidance as to FRA's 
policy in predictable situations, not to bind FRA from using

[[Page 40]]

the full range of penalty authority where extraordinary circumstances 
warrant. The Senate report on the bill that became the RSIA stated:
    It is expected that the Secretary would act expeditiously to set 
penalty levels commensurate with the severity of the violations, with 
imposition of the maximum penalty reserved for violation of any 
regulation where warranted by exceptional circumstances. S. Rep. No. 
100-153, 10th Cong., 2d Sess. 8 (1987).
    Accordingly, under each of the schedules (ordinarily in a footnote), 
and regardless of the fact that a lesser amount might be shown in both 
columns of the schedule, FRA reserves the right to assess the statutory 
maximum penalty of up to $22,000 per violation where a grossly negligent 
violation has created an imminent hazard of death or injury. This 
authority to assess a penalty for a single violation above $11,000 and 
up to $22,000 is used only in very exceptional cases to penalize 
egregious behavior. Where FRA avails itself of this right to use the 
higher penalties in place of the schedule amount it so indicates in its 
penalty demand letter.

          The Extent And Exercise Of FRA's Safety Jurisdiction

    The Safety Act and, as amended by the RSIA, the older safety 
statutes apply to ``railroads.'' Section 202(e) of the Safety Act 
defines railroad as follows:
    The term ``railroad'' as used in this title means all forms of non-
highway ground transportation that run on rails or electromagnetic 
guideways, including (1) commuter or other short-haul rail passenger 
service in a metropolitan or suburban area, as well as any commuter rail 
service which was operated by the Consolidated Rail Corporation as of 
January 1, 1979, and (2) high speed ground transportation systems that 
connect metropolitan areas, without regard to whether they use new 
technologies not associated with traditional railroads. Such term does 
not include rapid transit operations within an urban area that are not 
connected to the general railroad system of transportation.
    Prior to 1988, the older safety statutes had applied only to common 
carriers engaged in interstate or foreign commerce by rail. The Safety 
Act, by contrast, was intended to reach as far as the Commerce Clause of 
the Constitution (i.e., to all railroads that affect interstate 
commerce) rather than be limited to common carriers actually engaged in 
interstate commerce. In reporting out the bill that became the 1970 
Safety Act, the House Committee on Interstate and Foreign Commerce 
stated:
    The Secretary's authority to regulate extends to all areas of 
railroad safety. This legislation is intended to encompass all those 
means of rail transportation as are commonly included within the term. 
Thus, ``railroad'' is not limited to the confines of ``common carrier by 
railroad'' as that language is defined in the Interstate Commerce Act.

H.R. Rep. No. 91-1194, 91st Cong., 2d Sess. at 16 (1970).
    FRA's jurisdiction was bifurcated until, in 1988, the RSIA amended 
the older safety statutes to make them coextensive with the Safety Act 
by making them applicable to railroads and incorporating the Safety 
Act's definition of the term (e.g., 45 U.S.C. 16, as amended). The RSIA 
also made clear that FRA's safety jurisdiction is not confined to 
entities using traditional railroad technology. The new definition of 
``railroad'' emphasized that all non-highway high speed ground 
transportation systems--regardless of technology used--would be 
considered railroads.
    Thus, with the exception of self-contained urban rapid transit 
systems, FRA's statutory jurisdiction extends to all entities that can 
be construed as railroads by virtue of their providing non-highway 
ground transportation over rails or electromagnetic guideways, and will 
extend to future railroads using other technologies not yet in use. For 
policy reasons, however, FRA does not exercise jurisdiction under all of 
its regulations to the full extent permitted by statute. Based on its 
knowledge of where the safety problems were occurring at the time of its 
regulatory action and its assessment of the practical limitations on its 
role, FRA has, in each regulatory context, decided that the best option 
was to regulate something less than the total universe of railroads.
    For example, all of FRA's regulations exclude from their reach 
railroads whose entire operations are confined to an industrial 
installation (i.e., ``plant railroads''), such as those in steel mills 
that do not go beyond the plant's boundaries. E.g., 49 CFR 225.3(a)(1) 
(accident reporting regulations). Some rules exclude passenger 
operations that are not part of the general railroad system (such as 
some tourist railroads) only if they meet the definition of ``insular.'' 
E.g., 49 CFR 225.3(a)(3) (accident reporting) and 234.3(c) (grade 
crossing signal safety). Other regulations exclude not only plant 
railroads but all other railroads that are not operated as a part of, or 
over the lines of, the general railroad system of transportation. E.g., 
49 CFR 214.3 (railroad workplace safety).
    By ``general railroad system of transportation,'' FRA refers to the 
network of standard gage track over which goods may be transported 
throughout the nation and passengers may travel between cities and 
within metropolitan and suburban areas. Much of this network is 
interconnected, so that a rail vehicle can travel across the nation 
without leaving the system. However, mere physical connection to the 
system does not bring trackage within it. For example, trackage

[[Page 41]]

within an industrial installation that is connected to the network only 
by a switch for the receipt of shipments over the system is not a part 
of the system.
    Moreover, portions of the network may lack a physical connection but 
still be part of the system by virtue of the nature of operations that 
take place there. For example, the Alaska Railroad is not physically 
connected to the rest of the general system but is part of it. The 
Alaska Railroad exchanges freight cars with other railroads by car float 
and exchanges passengers with interstate carriers as part of the general 
flow of interstate commerce. Similarly, an intercity high speed rail 
system with its own right of way would be part of the general system 
although not physically connected to it. The presence on a rail line of 
any of these types of railroad operations is a sure indication that such 
trackage is part of the general system: the movement of freight cars in 
trains outside the confines of an industrial installation, the movement 
of intercity passenger trains, or the movement of commuter trains within 
a metropolitan or suburban area. Urban rapid transit operations are 
ordinarily not part of the general system, but may have sufficient 
connections to that system to warrant exercise of FRA's jurisdiction 
(see discussion of passenger operations, below). Tourist railroad 
operations are not inherently part of the general system and, unless 
operated over the lines of that system, are subject to few of FRA's 
regulations.
    The boundaries of the general system are not static. For example, a 
portion of the system may be purchased for the exclusive use of a single 
private entity and all connections, save perhaps a switch for receiving 
shipments, severed. Depending on the nature of the operations, this 
could remove that portion from the general system. The system may also 
grow, as with the establishment of intercity service on a brand new 
line. However, the same trackage cannot be both inside and outside of 
the general system depending upon the time of day. If trackage is part 
of the general system, restricting a certain type of traffic over that 
trackage to a particular portion of the day does not change the nature 
of the line--it remains the general system.
    Of course, even where a railroad operates outside the general 
system, other railroads that are definitely part of that system may have 
occasion to enter the first railroad's property (e.g., a major railroad 
goes into a chemical or auto plant to pick up or set out cars). In such 
cases, the railroad that is part of the general system remains part of 
that system while inside the installation; thus, all of its activities 
are covered by FRA's regulations during that period. The plant railroad 
itself, however, does not get swept into the general system by virtue of 
the other railroad's activity, except to the extent it is liable, as the 
track owner, for the condition of its track over which the other 
railroad operates during its incursion into the plant. Of course, in the 
opposite situation, where the plant railroad itself operates beyond the 
plant boundaries on the general system, it becomes a railroad with 
respect to those particular operations, during which its equipment, 
crew, and practices would be subject to FRA's regulations.
    In some cases, the plant railroad leases track immediately adjacent 
to its plant from the general system railroad. Assuming such a lease 
provides for, and actual practice entails, the exclusive use of that 
trackage by the plant railroad and the general system railroad for 
purposes of moving only cars shipped to or from the plant, the lease 
would remove the plant railroad's operations on that trackage from the 
general system for purposes of FRA's regulations, as it would make that 
trackage part and parcel of the industrial installation. (As explained 
above, however, the track itself would have to meet FRA's standards if a 
general system railroad operated over it. See 49 CFR 213.5 for the rules 
on how an owner of track may assign responsibility for it.) A lease or 
practice that permitted other types of movements by general system 
railroads on that trackage would, of course, bring it back into the 
general system, as would operations by the plant railroad indicating it 
was moving cars on such trackage for other than its own purposes (e.g., 
moving cars to neighboring industries for hire).
    FRA exercises jurisdiction over tourist, scenic, and excursion 
railroad operations whether or not they are conducted on the general 
railroad system. There are two exceptions: (1) operations of less than 
24-inch gage (which, historically, have never been considered railroads 
under the Federal railroad safety laws); and (2) operations that are off 
the general system and ``insular'' (defined below).
    Insularity is an issue only with regard to tourist operations over 
trackage outside of the general system used exclusively for such 
operations. FRA considers a tourist operation to be insular if its 
operations are limited to a separate enclave in such a way that there is 
no reasonable expectation that the safety of any member of the 
public'except a business guest, a licensee of the tourist operation or 
an affiliated entity, or a trespasser'would be affected by the 
operation. A tourist operation will not be considered insular if one or 
more of the following exists on its line:
    [sbull]A public highway-rail crossing that is in use;
    [sbull]An at-grade rail crossing that is in use;
    [sbull]A bridge over a public road or waters used for commercial 
navigation; or

[[Page 42]]

    [sbull]A common corridor with a railroad, i.e., its operations are 
within 30 feet of those of any railroad.
    When tourist operations are conducted on the general system, FRA 
exercises jurisdiction over them, and all of FRA's pertinent regulations 
apply to those operations unless a waiver is granted or a rule 
specifically excepts such operations (e.g., the passenger equipment 
safety standards contain an exception for these operations, 49 CFR 
238.3(c)(3), even if conducted on the general system). When a tourist 
operation is conducted only on track used exclusively for that purpose 
it is not part of the general system. The fact that a tourist operation 
has a switch that connects it to the general system does not make the 
tourist operation part of the general system if the tourist trains do 
not enter the general system and the general system railroad does not 
use the tourist operation's trackage for any purpose other than 
delivering or picking up shipments to or from the tourist operation 
itself.
    If a tourist operation off the general system is insular, FRA does 
not exercise jurisdiction over it, and none of FRA's rules apply. If, 
however, such an operation is not insular, FRA exercises jurisdiction 
over the operation, and some of FRA's rules (i.e., those that 
specifically apply beyond the general system to such operations) will 
apply. For example, FRA's rules on accident reporting, steam 
locomotives, and grade crossing signals apply to these non-insular 
tourist operations (see 49 CFR 225.3, 230.2 amd 234.3), as do all of 
FRA's procedural rules (49 CFR parts 209, 211, and 216) and the Federal 
railroad safety statutes themselves.
    In drafting safety rules, FRA has a specific obligation to consider 
financial, operational, or other factors that may be unique to tourist 
operations. 49 U.S.C. 20103(f). Accordingly, FRA is careful to consider 
those factors in determining whether any particular rule will apply to 
tourist operations. Therefore, although FRA asserts jurisdiction quite 
broadly over these operations, we work to ensure that the rules we issue 
are appropriate to their somewhat special circumstances.
    It is important to note that FRA's exercise of its regulatory 
authority on a given matter does not preclude it from subsequently 
amending its regulations on that subject to bring in railroads 
originally excluded. More important, the self-imposed restrictions on 
FRA's exercise of regulatory authority in no way constrain its exercise 
of emergency order authority under section 203 of the Safety Act. That 
authority was designed to deal with imminent hazards not dealt with by 
existing regulations and/or so dangerous as to require immediate, ex 
parte action on the government's part. Thus, a railroad excluded from 
the reach of any of FRA's regulations is fully within the reach of FRA's 
emergency order authority, which is coextensive with FRA's statutory 
jurisdiction over all railroads.

         FRA's Policy on Jurisdiction Over Passenger Operations

    Under the Federal railroad safety laws, FRA has jurisdiction over 
all railroads except ``rapid transit operations in an urban area that 
are not connected to the general railroad system of transportation.'' 49 
U.S.C. 20102. Within the limits imposed by this authority, FRA exercises 
jurisdiction over all railroad passenger operations, regardless of the 
equipment they use, unless FRA has specifically stated below an 
exception to its exercise of jurisdiction for a particular type of 
operation. This policy is stated in general terms and does not change 
the reach of any particular regulation under its applicability section. 
That is, while FRA may generally assert jurisdiction over a type of 
operation here, a particular regulation may exclude that kind of 
operation from its reach. Therefore, this statement should be read in 
conjunction with the applicability sections of all of FRA's regulations.

                     Intercity Passenger Operations

    FRA exercises jurisdiction over all intercity passenger operations. 
Because of the nature of the service they provide, standard gage 
intercity operations are all considered part of the general railroad 
system, even if not physically connected to other portions of the 
system. Other intercity passenger operations that are not standard gage 
(such as a magnetic levitation system) are within FRA's jurisdiction 
even though not part of the general system.

                           Commuter Operations

    FRA exercises jurisdiction over all commuter operations. Congress 
apparently intended that FRA do so when it enacted the Federal Railroad 
Safety Act of 1970, and made that intention very clear in the 1982 and 
1988 amendments to that act. FRA has attempted to follow that mandate 
consistently. A commuter system's connection to other railroads is not 
relevant under the rail safety statutes. In fact, FRA considers commuter 
railroads to be part of the general railroad system regardless of such 
connections.
    FRA will presume that an operation is a commuter railroad if there 
is a statutory determination that Congress considers a particular 
service to be commuter rail. For example, in the Northeast Rail Service 
Act of 1981, 45 U.S.C. 1104(3), Congress listed specific commuter 
authorities. If that presumption does not apply, and the operation does 
not meet the description of a system that is presumptively urban rapid 
transit (see below), FRA will determine whether a system is

[[Page 43]]

commuter or urban rapid transit by analyzing all of the system's 
pertinent facts. FRA is likely to consider an operation to be a commuter 
railroad if:
    [sbull]The system serves an urban area, its suburbs, and more 
distant outlying communities in the greater metropolitan area,
    [sbull]The system's primary function is moving passengers back and 
forth between their places of employment in the city and their homes 
within the greater metropolitan area, and moving passengers from station 
to station within the immediate urban area is, at most, an incidental 
function, and
    [sbull]The vast bulk of the system's trains are operated in the 
morning and evening peak periods with few trains at other hours.
    Examples of commuter railroads include Metra and the Northern 
Indiana Commuter Transportation District in the Chicago area; Virginia 
Railway Express and MARC in the Washington area; and Metro-North, the 
Long Island Railroad, New Jersey Transit, and the Port Authority Trans 
Hudson (PATH) in the New York area.

                   Other Short Haul Passenger Service

    The federal railroad safety statutes give FRA authority over 
``commuter or other short-haul railroad passenger service in a 
metropolitan or suburban area.'' 49 U.S.C. 20102. This means that, in 
addition to commuter service, there are other short-haul types of 
service that Congress intended that FRA reach. For example, a passenger 
system designed primarily to move intercity travelers from a downtown 
area to an airport, or from an airport to a resort area, would be one 
that does not have the transportation of commuters within a metropolitan 
area as its primary purpose. FRA would ordinarily exercise jurisdiction 
over such a system as ``other short-haul service'' unless it meets the 
definition of urban rapid transit and is not connected in a significant 
way to the general system.

                     Urban Rapid Transit Operations

    One type of short-haul passenger service requires special treatment 
under the safety statutes: ``rapid transit operations in an urban 
area.'' Only these operations are excluded from FRA's jurisdiction, and 
only if they are ``not connected to the general railroad system.'' FRA 
will presume that an operation is an urban rapid transit operation if 
the system is not presumptively a commuter railroad (see discussion 
above) the operation is a subway or elevated operation with its own 
track system on which no other railroad may operate, has no highway-rail 
crossings at grade, operates within an urban area, and moves passengers 
from station to station within the urban area as one of its major 
functions.
    Where neither the commuter railroad nor urban rapid transit 
presumptions applies, FRA will look at all of the facts pertinent to a 
particular operation to determine its proper characterization. FRA is 
likely to consider an operation to be urban rapid transit if:
    [sbull]The operation serves an urban area (and may also serve its 
suburbs),
    [sbull]Moving passengers from station to station within the urban 
boundaries is a major function of the system and there are multiple 
station stops within the city for that purpose (such an operation could 
still have the transportation of commuters as one of its major functions 
without being considered a commuter railroad), and
    [sbull]The system provides frequent train service even outside the 
morning and evening peak periods.
    Examples of urban rapid transit systems include the Metro in the 
Washington, D.C. area, CTA in Chicago, and the subway systems in New 
York, Boston, and Philadelphia. The type of equipment used by such a 
system is not determinative of its status. However, the kinds of 
vehicles ordinarily associated with street railways, trolleys, subways, 
and elevated railways are the types of vehicles most often used for 
urban rapid transit operations.
    FRA can exercise jurisdiction over a rapid transit operation only if 
it is connected to the general railroad system, but need not exercise 
jurisdiction over every such operation that is so connected. FRA is 
aware of several different ways that rapid transit operations can be 
connected to the general system. Our policy on the exercise of 
jurisdiction will depend upon the nature of the connection(s). In 
general, a connection that involves operation of transit equipment as a 
part of, or over the lines of, the general system will trigger FRA's 
exercise of jurisdiction. Below, we review some of the more common types 
of connections and their effect on the agency's exercise of 
jurisdiction. This is not meant to be an exhaustive list of connections.

   Rapid Transit Connections Sufficient to Trigger FRA's Exercise of 
                              Jurisdiction

    Certain types of connections to the general railroad system will 
cause FRA to exercise jurisdiction over the rapid transit line to the 
extent it is connected. FRA will exercise jurisdiction over the portion 
of a rapid transit operation that is conducted as a part of or over the 
lines of the general system. For example, rapid transit operations are 
conducted on the lines of the general system where the rapid transit 
operation and other railroad use the same track. FRA will exercise its 
jurisdiction over the operations conducted on the general system. In 
situations involving joint use of the same track, it does not matter 
that the rapid transit operation occupies the track only at times when 
the freight,

[[Page 44]]

commuter, or intercity passenger railroad that shares the track is not 
operating. While such time separation could provide the basis for waiver 
of certain of FRA's rules (see 49 CFR part 211), it does not mean that 
FRA will not exercise jurisdiction. However, FRA will exercise 
jurisdiction over only the portions of the rapid transit operation that 
are conducted on the general system. For example, a rapid transit line 
that operates over the general system for a portion of its length but 
has significant portions of street railway that are not used by 
conventional railroads would be subject to FRA's rules only with respect 
to the general system portion. The remaining portions would not be 
subject to FRA's rules. If the non-general system portions of the rapid 
transit line are considered a ``rail fixed guideway system'' under 49 
CFR Part 659, those rules, issued by the Federal Transit Administration 
(FTA), would apply to them.
    Another connection to the general system sufficient to warrant FRA's 
exercise of jurisdiction is a railroad crossing at grade where the rapid 
transit operation and other railroad cross each other's tracks. In this 
situation, FRA will exercise its jurisdiction sufficiently to assure 
safe operations over the at-grade railroad crossing. FRA will also 
exercise jurisdiction to a limited extent over a rapid transit operation 
that, while not operated on the same tracks as the conventional 
railroad, is connected to the general system by virtue of operating in a 
shared right-of-way involving joint control of trains. For example, if a 
rapid transit line and freight railroad were to operate over a movable 
bridge and were subject to the same authority concerning its use (e.g., 
the same tower operator controls trains of both operations), FRA will 
exercise jurisdiction in a manner sufficient to ensure safety at this 
point of connection. Also, where transit operations share highway-rail 
grade crossings with conventional railroads, FRA expects both systems to 
observe its signal rules. For example, FRA expects both railroads to 
observe the provision of its rule on grade crossing signals that 
requires prompt reports of warning system malfunctions. See 49 CFR part 
234. FRA believes these connections present sufficient intermingling of 
the rapid transit and general system operations to pose significant 
hazards to one or both operations and, in the case of highway-rail grade 
crossings, to the motoring public. The safety of highway users of 
highway-rail grade crossings can best be protected if they get the same 
signals concerning the presence of any rail vehicles at the crossing and 
if they can react the same way to all rail vehicles.

 Rapid Transit Connections Not Sufficient to Trigger FRA's Exercise of 
                              Jurisdiction

    Although FRA could exercise jurisdiction over a rapid transit 
operation based on any connection it has to the general railroad system, 
FRA believes there are certain connections that are too minimal to 
warrant the exercise of its jurisdiction. For example, a rapid transit 
system that has a switch for receiving shipments from the general system 
railroad is not one over which FRA would assert jurisdiction. This 
assumes that the switch is used only for that purpose. In that case, any 
entry onto the rapid transit line by the freight railroad would be for a 
very short distance and solely for the purpose of dropping off or 
picking up cars. In this situation, the rapid transit line is in the 
same situation as any shipper or consignee; without this sort of 
connection, it cannot receive or offer goods by rail.
    Mere use of a common right-of-way or corridor in which the 
conventional railroad and rapid transit operation do not share any means 
of train control, have a rail crossing at grade, or operate over the 
same highway-rail grade crossings would not trigger FRA's exercise of 
jurisdiction. In this context, the presence of intrusion detection 
devices to alert one or both carriers to incursions by the other one 
would not be considered a means of common train control. These common 
rights of way are often designed so that the two systems function 
completely independently of each other. FRA and FTA will coordinate with 
rapid transit agencies and railroads wherever there are concerns about 
sufficient intrusion detection and related safety measures designed to 
avoid a collision between rapid transit trains and conventional 
equipment.
    Where these very minimal connections exist, FRA will not exercise 
jurisdiction unless and until an emergency situation arises involving 
such a connection, which is a very unlikely event. However, if such a 
system is properly considered a rail fixed guideway system, FTA's rules 
(49 CFR part 659) will apply to it.

                Coordination of the FRA and FTA Programs

    FTA's rules on rail fixed guideway systems (49 CFR part 659) apply 
to any rapid transit systems or portions thereof not subject to FRA's 
rules. On rapid transit systems that are not sufficiently connected to 
the general railroad system to warrant FRA's exercise of jurisdiction 
(as explained above), FTA's rules will apply exclusively. On those rapid 
transit systems that are connected to the general system in such a way 
as warrant exercise of FRA's jurisdiction, only those portions of the 
rapid transit system that are

[[Page 45]]

connected to the general system will generally be subject to FRA's 
rules.
    A rapid transit railroad may apply to FRA for a waiver of any FRA 
regulations. See 49 CFR part 211. FRA will seek FTA's views whenever a 
rapid transit operation petitions FRA for a waiver of its safety rules. 
In granting or denying any such waiver, FRA will make clear whether its 
rules do not apply to any segments of the operation so that it is clear 
where FTA's rules do apply.

                         Extraordinary Remedies

    While civil penalties are the primary enforcement tool under the 
federal railroad safety laws, more extreme measures are available under 
certain circumstances. FRA has authority to issue orders directing 
compliance with the Federal Railroad Safety Act, the Hazardous Materials 
Transportation Act, the older safety statutes, or regulations issued 
under any of those statutes. See 45 U.S.C. 437(a) and (d), and 49 App. 
U.S.C. 1808(a). Such an order may issue only after notice and 
opportunity for a hearing in accordance with the procedures set forth in 
49 CFR part 209, subpart C. FRA inspectors also have the authority to 
issue a special notice requiring repairs where a locomotive or freight 
car is unsafe for further service or where a segment of track does not 
meet the standards for the class at which the track is being operated. 
Such a special notice may be appealed to the regional director and the 
FRA Administrator. See 49 CFR part 216, subpart B.
    FRA may, through the Attorney General, also seek injunctive relief 
in federal district court to restrain violations or enforce rules issued 
under the railroad safety laws. See 45 U.S.C. 439 and 49 App. U.S.C. 
1810.
    FRA also has the authority to issue, after notice and an opportunity 
for a hearing, an order prohibiting an individual from performing 
safety-sensitive functions in the rail industry for a specified period. 
This disqualification authority is exercised under procedures found at 
49 CFR part 209, subpart D.
    Criminal penalties are available for willful violations of the 
Hazardous Materials Transportation Act or its regulations. See 49 App. 
U.S.C. 1809(b), and 49 CFR 209.131, 133. Criminal penalties are also 
available under 45 U.S.C. 438(e) for knowingly and willfully falsifying, 
destroying, or failing to complete records or reports required to be 
kept under the various railroad safety statutes and regulations. The 
Accident Reports Act, 45 U.S.C. 39, also contains criminal penalties.
    Perhaps FRA's most sweeping enforcement tool is its authority to 
issue emergency safety orders ``where an unsafe condition or practice, 
or a combination of unsafe conditions or practices, or both, create an 
emergency situation involving a hazard of death or injury to persons * * 
*'' 45 U.S.C. 432(a). After its issuance, such an order may be reviewed 
in a trial-type hearing. See 49 CFR 211.47 and 216.21 through 216.27. 
The emergency order authority is unique because it can be used to 
address unsafe conditions and practices whether or not they contravene 
an existing regulatory or statutory requirement. Given its extraordinary 
nature, FRA has used the emergency order authority sparingly.

[53 FR 52920, Dec. 29, 1988, as amended at 63 FR 11619, Mar. 10, 1998; 
64 FR 62864, Nov. 17, 1999; 65 FR 42544, July 10, 2000]

 Appendix B to Part 209--Federal Railroad Administration Guidelines for 
                 Initial Hazardous Materials Assessments

    These guidelines establish benchmarks to be used in determining 
initial civil penalty assessments for violations of the Hazardous 
Materials Regulations (HMR). The guideline penalty amounts reflect the 
best judgment of the FRA Office of Safety Assurance and Compliance (RRS) 
and of the Safety Law Division of the Office of Chief Counsel (RCC) on 
the relative severity, on a scale of $250 to $25,000, of the various 
violations routinely encountered by FRA inspectors. (49 U.S.C. 5123) 
Unless otherwise specified, the guideline amounts refer to average 
violations, that is, violations involving a hazardous material with a 
medium level of hazard, and a violator with an average compliance 
history. In an ``average violation,'' the respondent has committed the 
acts due to a failure to exercise reasonable care under the 
circumstances (``knowingly''). For some sections, the guidelines contain 
a breakdown according to relative severity of the violation, for 
example, the guidelines for shipping paper violations at 49 CFR 
Secs. 172.200-.203. All penalties in these guidelines are subject to 
change depending upon the circumstances of the particular case. The 
general duty sections, for example Secs. 173.1 and 174.7, are not 
ordinarily cited as separate violations; they are primarily used as 
explanatory citations to demonstrate applicability of a more specific 
section where applicability is otherwise unclear.
    FRA believes that infractions of the regulations that lead to 
personal injury are especially serious; this is directly in line with 
Department of Transportation policy that hazardous materials are only 
safe for transportation when they are securely sealed in a proper 
package. (Some few containers, such as tank cars of carbon dioxide, are 
designed to vent off excess internal pressure. They are exceptions to 
the ``securely sealed'' rule.) ``Personal injury'' has become somewhat 
of a term of art, especially in the fields of occupational safety and of 
accident reporting. To avoid confusion, these penalty guidelines use the 
notion of ``human contact'' to trigger

[[Page 46]]

penalty aggravation. In essence, any contact by a hazardous material on 
a person during transportation is a per se injury and proof will not be 
required regarding the extent of the physical contact or its 
consequences. When a violation of the Hazardous Materials Regulations 
causes a death or serious injury, the maximum penalty of $25,000 shall 
always be assessed initially.
    These guidelines are a preliminary assessment tool for FRA's use. 
They create no rights in any party. FRA is free to vary from them when 
it deems appropriate and may amend them from time to time without prior 
notice. Moreover, FRA is not bound by any amount it initially proposes 
should litigation become necessary. In fact, FRA reserves the express 
authority to amend the NOPV to seek a penalty of up to $25,000 for each 
violation at any time prior to issuance of an order.

                      Penalty Assessment Guidelines
------------------------------------------------------------------------
          Emergency orders                                    Guideline
------------------------------------------------------------------------
EO16...............................  Penalties for                 5,000
                                      violations of EO16
                                      vary depending on the
                                      circumstances.
EO17...............................  Penalties for                 (\1\)
                                      violations of EO17
                                      vary depending on the
                                      circumstances.
                                     Failure to file annual        5,000
                                      report.
------------------------------------------------------------------------
\1\ Varies.


                      Penalty Assessment Guidelines
------------------------------------------------------------------------
           49 CFR section                  Description        Guideline
------------------------------------------------------------------------
                                PART 107
------------------------------------------------------------------------
107.608............................  Failure to register or        1,000
                                      to renew
                                      registration. (Note:
                                      registration--or
                                      renewal--is
                                      mitigation.).
------------------------------------
                                PART 171
------------------------------------------------------------------------
171.2(c)...........................  Representing (marking,        8,000
                                      certifying, selling,
                                      or offering) a
                                      packaging as meeting
                                      regulatory
                                      specification when it
                                      does not.
171.2(f)(2)........................  Billing, marking, etc.        2,000
                                      for the presence of
                                      HM when no HM is
                                      present. (Mitigation
                                      required for
                                      shipments smaller
                                      than a carload, i.e.,
                                      single drum penalty
                                      is 1,000).
171.12.............................  Import shipments--            4,000
                                      Importer not
                                      providing shipper and
                                      forwarding agent with
                                      US requirements.
                                      Cannot be based on
                                      inference.
                                     Import shipments--            2,000
                                      Failure to certify by
                                      shipper or forwarding
                                      agent.
171.15.............................  Failure to provide            6,000
                                      immediate notice of
                                      certain hazardous
                                      materials incidents.
171.16.............................  Failure to file               4,000
                                      incident report (form
                                      DOT 5800.1). (Note:
                                      Multiple failures
                                      will aggravate the
                                      penalty; see the
                                      expert attorney.).
------------------------------------
                                PART 172
------------------------------------------------------------------------
Shipping Papers:
    172.200--.203..................  Offering hazardous
                                      materials for
                                      transportation when
                                      the material is not
                                      properly described on
                                      the shipping paper as
                                      required by Secs.
                                      172.200--.203. (The
                                      ``shipping paper'' is
                                      the document tendered
                                      by the shipper/
                                      offeror to the
                                      carrier. The original
                                      shipping paper
                                      contains the
                                      shipper's
                                      certification at Sec.
                                       172.204.).
                                     --Information on the         15,000
                                      shipping paper is
                                      wrong to the extent
                                      that it caused or
                                      materially
                                      contributed to a
                                      reaction by emergency
                                      responders that
                                      aggravated the
                                      situation or caused
                                      or materially
                                      contributed to
                                      improper handling by
                                      the carrier that led
                                      to or materially
                                      contributed to a
                                      product release.
                                     --Total lack of               7,500
                                      hazardous materials
                                      information on
                                      shipping paper. (Some
                                      shipping names alone
                                      contain sufficient
                                      information to reduce
                                      the guideline to the
                                      next lower level, but
                                      they may be such
                                      dangerous products
                                      that aggravation
                                      needs to be
                                      considered.).
                                     --Some information is         5,000
                                      present but the
                                      missing or improper
                                      description could
                                      cause mishandling by
                                      the carrier or a
                                      delay or error in
                                      emergency response.
                                     --When the improper           2,000
                                      description is not
                                      likely to cause
                                      serious problem
                                      (technical defect).
                                     --Shipping paper              7,500
                                      includes a hazardous
                                      materials description
                                      and no hazardous
                                      materials are present.
                                     Note: Failure to
                                      include emergency
                                      response information
                                      is covered at Secs.
                                      172.600-604; while
                                      the normal unit of
                                      violation for
                                      shipping papers is
                                      the whole document,
                                      failure to provide
                                      emergency response
                                      information is a
                                      separate violation.
    172.204........................  Shipper's failure to          2,000
                                      certify.

[[Page 47]]

 
    172.205........................  Hazardous waste               4,000
                                      manifest. (Applies
                                      only to defects in
                                      the Hazardous Waste
                                      Manifest form [EPA
                                      Form 8700-22 and 8700-
                                      22A]; shipping paper
                                      defects are cited and
                                      penalized under Sec.
                                      172.200-.203.).
Marking............................  The guidelines for
                                      ``marking''
                                      violations
                                      contemplate a total
                                      lack of the
                                      prescribed mark.
                                      Obviously, where the
                                      package (including a
                                      whole car) is
                                      partially marked,
                                      mitigation should be
                                      applied.
    172.301........................  Failure to mark a non-        1,000
                                      bulk package as
                                      required (e.g., no
                                      commodity name on a
                                      55-gallon drum).
                                      (Shipment is the unit
                                      of violation.).
    172.302........................  Failure to follow             2,000
                                      standards for marking
                                      bulk packaging.
                                      (Note: If a more
                                      specific section
                                      applies, cite it and
                                      its penalty
                                      guideline.).
    172.302(a).....................  ID number missing or          2,500
                                      in improper location.
                                      (The guideline is for
                                      a portable tank; for
                                      smaller bulk
                                      packages, the
                                      guideline should be
                                      mitigated downward.).
    172.302(b).....................  Failure to use the            2,000
                                      correct size of
                                      markings. (Note: If
                                      Sec.  172.326(a) is
                                      also cited, it takes
                                      precedence and
                                      .302(b) is not cited.
                                      Note also: the
                                      guideline is for a
                                      gross violation of
                                      marking size--\1/
                                      2\ where
                                      2 is
                                      required--and
                                      mitigation should be
                                      considered for
                                      markings approaching
                                      the required size.).
    172.302(c).....................  Failure to place              2,000
                                      exemption number
                                      markings on bulk
                                      package.
    172.303........................  Prohibited marking.
                                      (Package is marked
                                      for a hazardous
                                      material and contains
                                      either another
                                      hazardous material or
                                      no hazardous
                                      material.)
                                     --The marking is wrong       10,000
                                      and caused or
                                      contributed to a
                                      wrong emergency
                                      response.
                                     --Inconsistent                5,000
                                      marking; e.g.,
                                      Shipping name and ID
                                      number do not agree.
                                     --Marked as a                 2,000
                                      hazardous material
                                      when package does not
                                      contain a hazardous
                                      material.
    172.313........................  ''Inhalation Hazard''         2,500
                                      not marked.
    172.322........................  Failure to mark for           1,500
                                      MARINE POLLUTANT
                                      where required.
    172.325(a).....................  Improper, or missing,         1,500
                                      HOT mark for elevated
                                      temperature material.
    172.326(a).....................  Failure to mark a             2,500
                                      portable tank with
                                      the commodity name.
    172.326(b).....................  Owner's/lessee's name           500
                                      not displayed.
    172.326(c).....................  Failure to mark               2,500
                                      portable tank with ID
                                      number.
    172.330(a)(1)(i)...............  Offering/transporting         2,500
                                      hazardous materials
                                      in a tank car that
                                      does not have the
                                      required shipping
                                      name or common name
                                      stenciled on the car;
                                      include reference to
                                      section requiring
                                      stenciling, such as
                                      Sec.  173.314(b) (5)
                                      or (6).
    172.330(a)(1)(ii)..............  Offering/transporting         2,500
                                      hazardous materials
                                      in a tank car that
                                      does not have the
                                      required ID number
                                      displayed on the car.
    172.331(b).....................  Offering bulk                 2,500
                                      packaging other than
                                      a portable tank,
                                      cargo tank, or tank
                                      car (e.g., a hopper
                                      car) not marked with
                                      UN/NA number. (I.e.,
                                      a hopper car carrying
                                      a hazardous
                                      substance, where a
                                      placard is not
                                      required).
    172.332........................  Improper display of           2,000
                                      identification number
                                      markings. Note:
                                      Citation of this
                                      section and Secs.
                                      172.326 (portable
                                      tanks), 172.328
                                      (cargo tanks), or
                                      172.330 (tank cars)
                                      does not create two
                                      separate violations.
    172.334(a).....................  Displaying ID numbers         4,000
                                      on a RADIOACTIVE,
                                      EXPLOSIVES
                                      1.1,1.2,1.3,1.4,1.5,
                                      or 1.6, or DANGEROUS,
                                      or subsidiary hazard
                                      placard.
    172.334(b).....................  --Improper display of        15,000
                                      ID number that caused
                                      or contributed to a
                                      wrong emergency
                                      response.
                                     --Improper display of         5,000
                                      ID number that could
                                      cause carrier
                                      mishandling or minor
                                      error in emergency
                                      response.
                                     --Technical error.....        2,000
    172.334(f).....................  Displaying ID number          1,500
                                      on orange panel not
                                      in proximity to the
                                      placard.
Labeling:
    172.400-.450...................  Failure to label              2,500
                                      properly. (See also
                                      Sec.  172.301
                                      regarding the marking
                                      of packages.).
Placarding.........................  The guidelines for
                                      ``placarding''
                                      violations
                                      contemplate a total
                                      lack of the
                                      prescribed placard.
                                      Obviously, where the
                                      package (including a
                                      whole car) is
                                      partially placarded,
                                      mitigation should be
                                      applied.
    172.502........................  --Placarded as                2,000
                                      hazardous material
                                      when car does not
                                      contain a hazardous
                                      material.
                                     --Placard does not            2,000
                                      represent hazard of
                                      the contents.
                                     --Display of sign or          2,000
                                      device that could be
                                      confused with
                                      regulatory placard.
                                      Photograph or good,
                                      clear description
                                      necessary.
    172.503........................  Improper display of ID        (\1\)
                                      number on placards.
                                      (Note: Do not cite
                                      this section; cite
                                      Sec.  172.334.).
    172.504(a).....................  Failure to placard;
                                      affixing or
                                      displaying wrong
                                      placard. (See also
                                      Secs.  172.502(a),
                                      172.504(a), 172.505,
                                      172.510(c), 172.516,
                                      174.33, 174.59,
                                      174.69; all
                                      applicable sections
                                      should be cited, but
                                      the penalty should be
                                      set at the amount for
                                      the violation most
                                      directly in point.)
                                      (Generally, the car
                                      is the unit of
                                      violation, and
                                      penalties vary with
                                      the number of errors,
                                      typically at the rate
                                      of $1,000 per
                                      placard.)

[[Page 48]]

 
                                     --Complete failure to         7,500
                                      placard.
                                     --One placard missing         1,000
                                      (add $1,000 per
                                      missing placard up to
                                      a total of three;
                                      then use the
                                      guideline above).
                                     -- Complete failure to        2,500
                                      placard, but only 2
                                      placards are required
                                      (e.g., intermediate
                                      bulk containers
                                      [IBCs]).
    172.504(b).....................  Improper use of               5,000
                                      DANGEROUS placard for
                                      mixed loads.
    172.504(c).....................  Placarded for wrong           2,000
                                      hazard class when no
                                      placard was required
                                      due to 1,001 pound
                                      exemption.
    172.504(e).....................  Use of placard other
                                      than as specified in
                                      the table:
                                     --Improper placard           15,000
                                      caused or contributed
                                      to improper reaction
                                      by emergency response
                                      forces or caused or
                                      contributed to
                                      improper handling by
                                      carrier that led to a
                                      product release.
                                     --Improper placard            5,000
                                      that could cause
                                      improper emergency
                                      response or handling
                                      by carrier.
                                     --Technical violation.        2,500
    172.505........................  Improper application          5,000
                                      of placards for
                                      subsidiary hazards.
                                      (Note: This is in
                                      addition to any
                                      violation on the
                                      primary hazard
                                      placards.).
    172.508(a).....................  Offering hazardous            7,500
                                      material for rail
                                      transportation
                                      without affixing
                                      placards. (Note: The
                                      preferred section for
                                      a total failure to
                                      placard is
                                      172.504(a); only one
                                      section should be
                                      cited to avoid a dual
                                      penalty.) (Note also:
                                      Persons offering
                                      hazardous materials
                                      for rail movement
                                      must affix placards;
                                      if offering for
                                      highway movement, the
                                      placards must be
                                      tendered to the
                                      carrier. Sec.
                                      172.506.).
                                     Placards OK, except             500
                                      they were IMDG labels
                                      instead of 10 placards. (Unit
                                      of violation is the
                                      packaging, usually a
                                      portable tank.).
                                     Placards on TOFC/COFC         (\2\)
                                      units not readily
                                      visible. (Note: Do
                                      not cite this
                                      section, cite Sec.
                                      172.516 instead.).
    172.508(b).....................  Accepting hazardous           5,000
                                      material for rail
                                      transportation
                                      without placards
                                      affixed.
    172.510(a).....................  EXPLOSIVES 1.1,               5,000
                                      EXPLOSIVES 1.2,
                                      POISON GAS, POISON
                                      GAS-RESIDUE,
                                      (Division 2.3, Hazard
                                      Zone A), POISON, or
                                      POISON-RESIDUE
                                      (Division 6.1,
                                      Packing Group I,
                                      Hazard Zone A)
                                      placards displayed
                                      without square
                                      background.
    172.510(c).....................  Improper use of
                                      RESIDUE placard.
                                     --Placarded RESIDUE           4,000
                                      when loaded.
                                     --Placarded loaded            1,000
                                      when car contains
                                      only a residue.
                                     --Placarded EMPTY when          500
                                      RESIDUE is required.
    172.514........................  Improper placarding of        2,000
                                      bulk packaging other
                                      than a tank car: For
                                      the ``exception''
                                      packages in
                                      174.514(c). Note: Use
                                      the regular
                                      placarding sections
                                      for the guideline
                                      amounts for larger
                                      bulk packages.
    172.516........................  Placard not readily           1,000
                                      visible, improperly
                                      located or displayed,
                                      or deteriorated. Good
                                      color photos
                                      ``essential'' to
                                      prove deterioration,
                                      and considerable
                                      weathering is
                                      permissible. Placard
                                      is the unit of
                                      violation.
                                     --When placards on an         2,000
                                      intermodal container
                                      are not visible, for
                                      instance, because the
                                      container is in a
                                      well car. Container
                                      is the unit of
                                      violation, and, as a
                                      matter of enforcement
                                      policy, FRA accepts
                                      the lack of
                                      visibility of the end
                                      placards.
Emergency Response Information.....  Violations of Secs.
                                      172.600-.604 are in
                                      addition to shipping
                                      paper violations. In
                                      citing a carrier, if
                                      the railroad's
                                      practice is to carry
                                      an emergency response
                                      book or to put the E/
                                      R information as an
                                      attachment to the
                                      consist, the unit of
                                      violation is
                                      generally the train
                                      (or the consist).
                                      ``Telephone number''
                                      violations are
                                      generally best cited
                                      against the shipper;
                                      if against a
                                      railroad, there
                                      should be proof that
                                      the number was given
                                      to the railroad, that
                                      is, it was on the
                                      original shipping
                                      document.
    172.600-.602...................  Where improper               15,000
                                      emergency response
                                      information has
                                      caused an improper
                                      reaction from
                                      emergency forces and
                                      the improper response
                                      has aggravated the
                                      situation. Note:
                                      Proof of this will be
                                      rigorous. For
                                      instance, if the
                                      emergency response
                                      forces had chemical
                                      information with the
                                      correct response and
                                      they relied, instead,
                                      on shipper/carrier
                                      information to their
                                      detriment; the
                                      $15,000 penalty
                                      guideline applies.
                                     Bad, missing, or              4,000
                                      improper emergency
                                      response information.
                                      (Be careful in
                                      transmitting
                                      violations of this
                                      section against a
                                      railroad; there are
                                      many sources of E/R
                                      information and it
                                      does not necessarily
                                      ``travel'' with the
                                      shipping documents.).
    172.602(c).....................  Failure to have              15,000
                                      emergency response
                                      information
                                      ``immediately
                                      accessible''.
    172.604........................  Improper or missing           2,500
                                      emergency response
                                      telephone number.
Training:
    172.702(a).....................  General failure to            5,000
                                      train hazmat
                                      employees.
    172.702(b).....................  Hazmat employee               1,000
                                      performing covered
                                      function without
                                      training. (Unit of
                                      violation is the
                                      employee; see the
                                      expert attorney if
                                      more than 10
                                      employees are
                                      involved.).
    172.704(a).....................  Failure to train in           2,500
                                      the required areas:

[[Page 49]]

 
                                     --General awareness/
                                      familiarization
                                     --Function-specific
                                     --Safety
                                     (Unit of violation is
                                      the ``area,'' and,
                                      for a total failure
                                      to train, cite
                                      172.702(a) and use
                                      that penalty instead
                                      of 172.704.)
    172.704(c).....................  Initial and recurrent         (\3\)
                                      training. (Note: Cite
                                      this and the relevant
                                      substantive section,
                                      e.g., 172.702(a), and
                                      use penalty provided
                                      there.).
    172.704(d).....................  Failure to maintain           2,500
                                      record of training.
                                      (Unit of violation is
                                      the record.).
------------------------------------
                                PART 173
------------------------------------------------------------------------
173.1..............................  General duty section          2,000
                                      applicable to
                                      shippers; also
                                      includes subparagraph
                                      (b), the requirement
                                      to train employees
                                      about applicable
                                      regulations. (Cite
                                      the appropriate
                                      section in the
                                      172.700-.704 series
                                      for training
                                      violations.).
173.9(a)...........................  Early delivery of             5,000
                                      transport vehicle
                                      that has been
                                      fumigated. (48 hours
                                      must have elapsed
                                      since fumigation.).
173.9(b)...........................  Failure to display            1,000
                                      fumigation placard.
                                      (Ordinarily cited
                                      against shipper only,
                                      not against
                                      railroad.).
173.10.............................  Delivery requirements         3,000
                                      for gases and for
                                      flammable liquids.
                                      See also 174.204 and
                                      174.304.
173.22.............................  Shipper                       (\4\)
                                      responsibility: This
                                      general duty section
                                      should ordinarily be
                                      cited only to support
                                      a more specific
                                      charge.
173.22a............................  Improper use of               2,500
                                      packagings authorized
                                      under exemption.
                                     Failure to maintain           1,000
                                      copy of exemption as
                                      required..
173.24(b)(1) & 173.24(b)(2) and      Securing closures:
 173.24(f)(1) & 173.24(f)(1)(ii).     These subsections are
                                      the general ``no
                                      leak'' standard for
                                      all packagings. Sec.
                                      173.24(b) deals
                                      primarily with
                                      packaging as a whole,
                                      while Sec.  173.24(f)
                                      focuses on closures.
                                      Cite the sections
                                      accordingly, using
                                      both the leak/non-
                                      leak criteria and the
                                      package size
                                      considerations to
                                      reach the appropriate
                                      penalty. Any actual
                                      leak will aggravate
                                      the guideline by,
                                      typically, 50%; a
                                      leak with contact
                                      with a human being
                                      will aggravate by at
                                      least 100%, up to the
                                      maximum of $25,000 if
                                      the HMR violation
                                      causes the injury.
                                      With tank cars, Sec.
                                      173.31(b) applies,
                                      and IM portable tanks
                                      [Sec.  173.32c], and
                                      other tanks of that
                                      size range, should
                                      use the tank car
                                      penalty amounts,
                                      stated in reference
                                      to that section.
                                     --Small bottle or box.        1,000
                                     --55-gallon drum......        2,500
                                     --Larger container,           5,000
                                      e.g., IBC; not
                                      portable tank or tank
                                      car.
173.24(c)..........................  Use of package not
                                      meeting
                                      specifications,
                                      including required
                                      stencils and
                                      markings. The most
                                      specific section for
                                      the package involved
                                      should be cited (see
                                      below). The penalty
                                      guideline should be
                                      adjusted for the size
                                      of the container. Any
                                      actual leak will
                                      aggravate the
                                      guideline by,
                                      typically, 50%; a
                                      leak with contact
                                      with a human being
                                      will aggravate by at
                                      least 100%, up to the
                                      maximum of $25,000 if
                                      the HMR violation
                                      causes the injury.
                                     --Small bottle or box.        1,000
                                     --55-gallon drum......        2,500
                                     --Larger container,           5,000
                                      e.g., IBC; not
                                      portable tank or tank
                                      car.
                                     For more specific
                                      sections: Tank cars--
                                      Sec.  173.31(a),
                                      portable tanks--Sec.
                                      173.32, and IM
                                      portable tanks--Secs.
                                      173.32a, .32b, and
                                      .32c, q.v
173.24a(a)(3)......................  Non-bulk packagings:          1,000
                                      Failure to secure and
                                      cushion inner
                                      packagings.
                                     --Causes leak.........        3,000
                                     --Leak with any              10,000
                                      contact between
                                      product and any human
                                      being.
173.24a(b)&(d).....................  Non-bulk packagings:          1,000
                                      Exceeding filling
                                      limits.
                                     --Causes leak.........        3,000
                                     --Leak with any              10,000
                                      contact between
                                      product and any human
                                      being.
173.24b(a).........................  Insufficient outage:          3,000
                                     --<1%
                                     --Causes leak.........        5,000
                                     --Leak with any              10,000
                                      contact between
                                      product and any human
                                      being.
173.24b(a)(3)......................  Outage <5% on PIH             5,000
                                      material.
                                     --Causes leak.........        7,500
                                     --Leak with any              10,000
                                      contact between
                                      product and any human
                                      being.
173.26.............................  Loaded beyond gross           5,000
                                      weight or capacity as
                                      stated in
                                      specification.
                                      (Applies only if
                                      quantity limitations
                                      do not appear in
                                      packaging
                                      requirements of Part
                                      173.).
173.28.............................  Improper reuse,               1,000
                                      reconditioning, or
                                      remanufacture of
                                      packagings..

[[Page 50]]

 
173.29(a)..........................  Offering residue tank
                                      car for
                                      transportation when
                                      openings are not
                                      tightly closed (Sec.
                                      174.67(k) is also
                                      usually applicable).
                                      The regulation
                                      requires offering
                                      ``in the same manner
                                      as when'' loaded and
                                      may be cited when a
                                      car not meeting
                                      specifications (see
                                      Sec.  173.31(a)(1))
                                      is released back into
                                      transportation after
                                      unloading; same
                                      guideline amount.
                                      Guidelines vary with
                                      the type of commodity
                                      involved:
                                     --Hazardous material          2,000
                                      with insignificant
                                      vapor pressure and
                                      without
                                      classification as
                                      ``poison'' or
                                      ``inhalation hazard''.
                                     --With actual leak....        5,000
                                     --With leak allowing         15,000
                                      the product to
                                      contact any human
                                      being.
                                     --Hazardous material          5,000
                                      with vapor pressure
                                      (essentially any gas
                                      or compressed gas)
                                      and/or with
                                      classification as
                                      ``poison'' or
                                      ``inhalation
                                      hazard.''.
                                     --With actual leak....        7,500
                                     --With leak allowing         15,000
                                      the product (or fumes
                                      or vapors) to contact
                                      any human being. (In
                                      the case of fumes,
                                      the ``contact'' must
                                      be substantial.).
                                     --Where only violation        1,000
                                      is failure to secure
                                      a protective housing,
                                      e.g., the covering
                                      for the gaging device.
173.30.............................  A general duty section
                                      that should be cited
                                      with the explicit
                                      statement of the
                                      duty.
173.31(a)(1).......................  Use of a tank car not
                                      meeting
                                      specifications and
                                      the ``Bulk
                                      packaging''
                                      authorization in
                                      Column 8 of the Sec.
                                      172.101 Hazardous
                                      Materials Table
                                      reference is:
                                     Sec.  173.240.........        1,000
                                     Sec.  173.241.........        2,500
                                     Sec.  173.242.........        5,000
                                     Sec.  173.243.........        5,000
                                     Sec.  173.244.........        7,500
                                     Sec.  173.245.........        7,500
                                     Sec.  173.247.........        1,000
                                     Sec.  173.314, .315...        5,000
                                     --Minor defect not              500
                                      affecting the ability
                                      of the package to
                                      contain a hazardous
                                      material, e.g., no
                                      chain on a bottom
                                      outlet closure plug.
                                     Tank meets                    1,000
                                      specification, but
                                      specification is not
                                      stenciled on car.
                                      Note: Sec.  179.1(e)
                                      implies that only the
                                      builder has the duty
                                      here, but it is the
                                      presence of the
                                      stencil that gives
                                      the shipper the right
                                      to rely on the
                                      builder. (See Sec.
                                      173.22(a)(3).).
                                     Tank car not stenciled
                                      ``Not for flammable
                                      liquids,'' and it
                                      should be. (AAR Tank
                                      Car Manual, Appendix
                                      C, C3.03(a)5.)
                                     --Most cars...........        2,500
                                     --Molten sulfur car...          500
                                     --If flammable liquid         5,000
                                      is actually in the
                                      car.
173.31(a)(4).......................  Use of a tank car             5,000
                                      stenciled for one
                                      commodity to
                                      transport another.
173.31(a)(5).......................  Use of DOT-                  10,000
                                      specification tank
                                      car without shelf
                                      couplers. (Note:
                                      prior to November 15,
                                      1992, this did not
                                      apply to a car not
                                      carrying hazardous
                                      materials.).
                                     --Against a carrier,          6,000
                                      cite Sec.  174.3 and
                                      this section.
173.31(a)(6).......................  Use of non-DOT               10,000
                                      specification car
                                      without shelf
                                      couplers to carry
                                      hazardous materials.
                                      (Applies only since
                                      November 15, 1990.).
                                     --Against a carrier,          6,000
                                      cite Sec.  174.3 and
                                      this section.
173.31(a)(7).......................  Use of tank car               5,000
                                      without air brake
                                      support attachments
                                      welded to pads.
                                      (Effective July 1,
                                      1991).
173.31(a)(15)......................  Tank car with                 7,500
                                      nonreclosing pressure
                                      relief device used to
                                      transport Class 2
                                      gases, Class 3 or 4
                                      liquids, or Division
                                      6.1 liquids, PG I or
                                      II.
173.31(a)(17)......................  Tank car with interior        7,500
                                      heating coils used to
                                      transport Division
                                      2.3 or Division 6.1,
                                      PG I, based on
                                      inhalation toxicity.
173.31(b)(1), 173.31(b)(3).........  Shipper failure to            5,000
                                      determine (to the
                                      extent practicable)
                                      that tank, safety
                                      appurtenances, and
                                      fittings are in
                                      proper condition for
                                      transportation;
                                      failure to properly
                                      secure closures.
                                      (Sections
                                      173.31(b)(1) &
                                      .31(b)(3), often
                                      cited as together for
                                      loose closure
                                      violations, are taken
                                      as one violation.)
                                      The unit of violation
                                      is the car,
                                      aggravated if
                                      necessary for truly
                                      egregious condition.
                                      Sections 173.24(b) &
                                      (f) establish a ``no-
                                      leak'' design
                                      standard, and 173.31
                                      imposes that standard
                                      on operations.
                                     --With actual leak of        10,000
                                      product.
                                     --With actual leak           15,000
                                      allowing the product
                                      (or fumes or vapors)
                                      to contact any human
                                      being. (With safety
                                      vent, be careful
                                      because carrier might
                                      be at fault.).
                                     --Minor violation,            1,000
                                      e.g., bottom outlet
                                      cap loose on tank car
                                      of molten sulfur
                                      (because product is a
                                      solid when shipped).
                                     --Failure (.31(b)(1))         1,000
                                      to have bottom outlet
                                      cap off during
                                      loading.

[[Page 51]]

 
173.31(b)(4).......................  Filling and offering          6,000
                                      for transportation a
                                      tank car overdue for
                                      retest of tank,
                                      interior heater
                                      system, and/or safety
                                      relief valve. Note
                                      that the car may be
                                      filled while in-date,
                                      held, and then
                                      shipped out-of-date.
                                      (Adjust penalty if
                                      less than one month
                                      or more than one year
                                      overdue.).
173.31(c)(1).......................  Tank, interior heater
                                      system, and/or safety
                                      valve overdue for
                                      retest. If these
                                      conditions exist, the
                                      violation is of Sec.
                                      173.31(b)(4). If the
                                      violation is for
                                      improperly conducting
                                      the test(s), see the
                                      expert attorney.
173.31(c)(10)......................  Failure to properly           1,000
                                      stencil a retest that
                                      was performed.
173.32c............................  Loose closures on an          5,000
                                      IM portable tank
                                      (Sec.  173.24
                                      establishes the
                                      ``tight closure''
                                      standard; Sec.
                                      172.32c applies it to
                                      IM portable tanks.)
                                      (The scale of
                                      penalties is the same
                                      as for tank cars.).
                                     --With actual leak of        10,000
                                      product.
                                     --With actual leak and       15,000
                                      human being contact.
                                     --Minor violation.....        1,000
173.314(b)(5)......................  No commodity stencil,         2,500
                                      compressed gas tank
                                      car. (See also Sec.
                                      172.330).
173.314(c).........................  Compressed gas loaded         6,000
                                      in excess of filling
                                      density (same basic
                                      concept as
                                      insufficient outage).
                                     --``T'' car with              5,000
                                      excessive voids in
                                      the thermal coating,
                                      such that the car no
                                      longer complies with
                                      the DOT
                                      specification.
                                      Section 173.31(a)(1)
                                      requires tank cars
                                      used to transport
                                      hazardous materials
                                      to meet the
                                      requirements of the
                                      applicable
                                      specification and
                                      this section (Sec.
                                      173..314(c)) lists
                                      112T/114T cars as
                                      allowed for
                                      compressed gases.
------------------------------------
                                PART 174
------------------------------------------------------------------------
General Requirements:
    174.3..........................  Acceptance of
                                      improperly prepared
                                      shipment. This
                                      general duty section
                                      must be accompanied
                                      by a citation to the
                                      specific section
                                      violated.
    174.7..........................  Carrier's failure to          (\5\)
                                      instruct employees;
                                      cannot be based on
                                      inference; Secs.
                                      172.700-.704 are
                                      preferred citations.
    174.8(b).......................  --Failure to inspect          4,000
                                      hazardous materials
                                      (and adjacent) cars
                                      at point where train
                                      is required to be
                                      inspected. (Unit of
                                      violation is the
                                      train.) (Note: For
                                      all ``failure to
                                      inspect'' citations,
                                      the mere presence of
                                      a nonconforming
                                      condition does not
                                      prove a failure to
                                      inspect.).
                                     --Allowing unsafe             8,000
                                      loaded placarded car
                                      to continue in
                                      transportation beyond
                                      point where
                                      inspection was
                                      required). (Unit of
                                      violation is the
                                      car.).
                                     --Failure to determine        5,000
                                      whether placards are
                                      in place and conform
                                      to shipping papers
                                      (at a required
                                      inspection point).
                                      (Unit of violation is
                                      the car.).
    174.9(a).......................  Failure to properly           4,000
                                      inspect loaded,
                                      placarded tank car at
                                      origin or interchange.
    174.9(b).......................  Loose or insecure             1,000
                                      closures on tank car
                                      containing a residue
                                      of a hazardous
                                      material. (FRA policy
                                      is that, against a
                                      railroad, this
                                      violation must be
                                      observable from the
                                      ground because, for
                                      reasons of safety,
                                      railroad inspectors
                                      do not climb on cars
                                      absent an indication
                                      of a leak.).
    174.9(c).......................  Failure to ``card'' a         3,000
                                      tank car overdue for
                                      tank retest.
    174.10(c)......................  Offering a                    3,000
                                      noncomplying shipment
                                      in interchange.
    174.10(d)......................  Offering leaking car         10,000
                                      of hazardous
                                      materials in
                                      interchange.
    174.12.........................  Improper performance          3,000
                                      of intermediate
                                      shipper/carrier
                                      duties; applies to
                                      forwarders and
                                      highway carriers
                                      delivering TOFC/COFC
                                      shipments to
                                      railroads.
    174.14.........................  Failure to expedite:          1,000
                                      violation of ``48-
                                      hour rule.'' Note:
                                      does not apply to
                                      cars ``held short''
                                      of destination or
                                      constructively placed.
General Operating Requirements.....  Note: This subpart
                                      (Subpart B) of Part
                                      174 has three
                                      sections referring to
                                      shipment
                                      documentation: Sec.
                                      174.24 relating to
                                      accepting documents,
                                      Sec.  174.25 relating
                                      to the preparation of
                                      movement documents,
                                      and Sec.  174.26
                                      relating to movement
                                      documents in the
                                      possession of the
                                      train crew. Only the
                                      most relevant section
                                      should be cited. In
                                      most cases, the unit
                                      of violation is the
                                      shipment, although
                                      where a unified
                                      consist is used to
                                      give notice to the
                                      crew, there is some
                                      justification for
                                      making it the train,
                                      especially where the
                                      discrepancy was
                                      generated using
                                      automated data
                                      processing and the
                                      error is repetitious.
    174.24.........................  Accepting hazardous
                                      materials shipment
                                      without properly
                                      prepared shipping
                                      paper. (Note: The
                                      carrier's duty
                                      extends only to the
                                      document received,
                                      that is, a shipment
                                      of hazardous
                                      materials in an
                                      unplacarded transport
                                      vehicle with a
                                      shipping paper
                                      showing other than a
                                      hazardous material is
                                      not a violation
                                      against the carrier
                                      unless knowledge of
                                      the contents of the
                                      vehicle is proved.
                                      Likewise, receipt of
                                      a tank car placarded
                                      for Class 3 with a
                                      shipping paper
                                      indicating a
                                      flammable liquid does
                                      not create a carrier
                                      violation if the car,
                                      in fact, contains a
                                      corrosive. On the
                                      other hand, receipt
                                      of a placarded
                                      trailer with a
                                      shipping paper
                                      listing only FAK
                                      (``freight-all-
                                      kinds''), imposes a
                                      duty on the carrier
                                      to inquire further
                                      and to reject the
                                      shipment if it is
                                      improperly billed.)

[[Page 52]]

 
                                     --Improper hazardous          7,500
                                      materials information
                                      that could cause
                                      delay or error in
                                      emergency response.
                                     --Total absence of            5,000
                                      hazardous materials
                                      information.
                                     --Technical errors,           1,000
                                      not likely to cause
                                      problems, especially
                                      with emergency
                                      response.
                                     --Minor errors not              500
                                      relating to hazardous
                                      materials emergency
                                      response, e.g., not
                                      listing an exemption
                                      number and the
                                      exemption is not one
                                      affecting emergency
                                      response.
    174.25.........................  Preparing improper
                                      movement documents.
                                      (Similar to the
                                      requirements in Sec.
                                      174.24, here the
                                      carrier is held
                                      responsible for
                                      preparing a movement
                                      document that
                                      accurately reflects
                                      the shipping paper
                                      tendered to it. With
                                      no hazardous
                                      materials information
                                      on the shipper's bill
                                      of lading, the
                                      carrier is not in
                                      violation--absent
                                      knowledge of
                                      hazardous contents--
                                      for preparing a
                                      nonhazardous movement
                                      document. While
                                      ``movement
                                      documents'' in the
                                      rail industry used to
                                      be waybills or switch
                                      tickets (almost
                                      exclusively),
                                      carriers are now
                                      incorporating the
                                      essential information
                                      into a consist,
                                      expanded from its
                                      former role as merely
                                      a listing of the cars
                                      in the train.)
                                     --Information on the         15,000
                                      movement document is
                                      wrong to the extent
                                      that it actually
                                      caused or materially
                                      contributed to a
                                      reaction by emergency
                                      responders that
                                      aggravated the
                                      situation or caused
                                      or materially
                                      contributed to
                                      improper handling by
                                      the carrier that led
                                      to or materially
                                      contributed to a
                                      product release.
                                     --Total lack of               7,500
                                      hazardous materials
                                      information on
                                      movement document.
                                      (Some shipping names
                                      alone contain
                                      sufficient
                                      information to reduce
                                      the guideline to the
                                      next lower level, but
                                      they may be such
                                      dangerous products
                                      that aggravation
                                      needs to be
                                      considered.).
                                     --Some information is         5,000
                                      present, but the
                                      missing or improper
                                      description could
                                      cause mishandling by
                                      the carrier or a
                                      delay or error in
                                      emergency response,
                                      including missing
                                      RESIDUE description
                                      required by Sec.
                                      174.25(c).
                                     --Missing/improper            3,500
                                      endorsement, unless
                                      on a switch ticket as
                                      allowed under Sec.
                                      174.25(b).
                                     --Movement document           2,500
                                      does not indicate,
                                      for a flatcar
                                      carrying trailers or
                                      containers, which
                                      trailers or
                                      containers contain
                                      hazardous materials.
                                      (If all trailers or
                                      containers on the
                                      flatcar contain
                                      hazardous materials,
                                      there is no
                                      violation.).
                                     --When the improper           1,000
                                      description is not
                                      likely to cause
                                      serious problem
                                      (technical defect).
                                     --Minor errors not              500
                                      related to hazardous
                                      materials emergency
                                      response, e.g., not
                                      listing an exemption
                                      number and the
                                      exemption is not one
                                      affecting emergency
                                      response.
                                     Note: Failure to
                                      include emergency
                                      response information
                                      is covered at Sec.
                                      172.600-604; while
                                      the normal unit of
                                      violation for
                                      movement documents is
                                      the whole document,
                                      failure to provide
                                      emergency response
                                      information is a
                                      separate violation.
    174.26(a)......................  Failure to execute the        5,000
                                      required POISON GAS
                                      and EXPLOSIVES 1.1/
                                      1.2 notices. (The
                                      notice is the unit of
                                      violation, because
                                      one notice can cover
                                      several shipments.).
                                     Failure to deliver the        5,000
                                      required POISON GAS
                                      and EXPLOSIVES 1.1/
                                      1.2 notices to train
                                      and engine crew.
                                      (Cite this, or the
                                      above, as
                                      appropriate.).
                                     Failure to transfer           3,000
                                      notice from crew to
                                      crew. (Note that this
                                      is very likely an
                                      individual liability
                                      situation; the
                                      penalty guideline
                                      listed here, however,
                                      presumes action
                                      against a railroad.).
                                     Failure to keep copy          1,000
                                      of notice on file.
    174.26(b)......................  Train crew does not           6,000
                                      have a document
                                      indicating position
                                      in train of each
                                      loaded, placarded
                                      car. Aggravate by 50%
                                      for Poison Gas, 2.3,
                                      and Explosives, 1.1
                                      and 1.2. (Train is
                                      the unit of
                                      violation.).
                                     --Technical violation,        1,000
                                      e.g., car is listed
                                      in correct relative
                                      order, but not in
                                      exact numerical
                                      order, usually
                                      because of addition
                                      of car or cars to
                                      head or tail of
                                      train. (Note: Applies
                                      only if the actual
                                      location is off by 10
                                      or fewer cars.).
    174.26(c)......................  Improper paperwork in
                                      possession of train
                                      crew. (If the
                                      investigation of an
                                      accident reveals a
                                      violation of this
                                      section and Sec.
                                      174.25, cite this
                                      section.) (Shipment
                                      is unit of violation,
                                      although there is
                                      justification for
                                      making it the train
                                      if a unified consist
                                      is used to carry this
                                      information and the
                                      violation is a
                                      pattern one
                                      throughout all, or
                                      almost all, of the
                                      hazardous materials
                                      shipments. For
                                      intermodal traffic,
                                      ``shipment'' can mean
                                      the container or
                                      trailer--e.g., a UPS
                                      trailer with several
                                      non-disclosed
                                      hazardous materials
                                      packages would be one
                                      unit.)

[[Page 53]]

 
                                     --Information on the         15,000
                                      document possessed by
                                      the train crew is
                                      wrong to the extent
                                      that it caused or
                                      materially
                                      contributed to a
                                      reaction by emergency
                                      responders that
                                      aggravated the
                                      situation or caused
                                      or materially
                                      contributed to
                                      improper handling by
                                      the carrier that led
                                      to or materially
                                      contributed to a
                                      product release.
                                     --Total lack of               7,500
                                      hazardous materials
                                      information on
                                      movement document.
                                      (Some shipping names
                                      alone contain
                                      sufficient
                                      information to reduce
                                      the guideline to the
                                      next lower level, but
                                      they may be such
                                      dangerous products
                                      that aggravation
                                      needs to be
                                      considered.).
                                     --Some information is         5,000
                                      present but the
                                      error(s) could cause
                                      mishandling by the
                                      carrier or a delay or
                                      error in emergency
                                      response. Includes
                                      missing RESIDUE
                                      description required
                                      by Sec.  174.25(c).
                                     --Improper                    3,500
                                      information, but the
                                      hazardous materials
                                      are small shipments
                                      (e.g., UPS moves) and
                                      PG III (e.g., the
                                      ``low hazard''
                                      materials allowed in
                                      TOFC/COFC service
                                      without an exemption
                                      since HM-197).
                                     --Technical defect not        1,000
                                      likely to cause delay
                                      or error in emergency
                                      response or carrier
                                      handling.
                                     --Minor error not               500
                                      relating to emergency
                                      response or carrier
                                      handling, e.g., not
                                      listing the exemption
                                      number on document
                                      and the exemption is
                                      not one affecting
                                      emergency response.
    174.33.........................  --Failure to maintain
                                      ``an adequate supply
                                      of placards.'' [The
                                      violation is for
                                      ``failure to
                                      replace''; if missing
                                      placards are
                                      replaced, the supply
                                      is obviously
                                      adequate, if not,
                                      failure to have a
                                      placard is not a
                                      separate violation
                                      from failure to
                                      replace it.]
                                     --Failure to replace          1,000
                                      lost or destroyed
                                      placards based on
                                      shipping paper
                                      information. (This is
                                      in addition to the
                                      basic placarding
                                      mistakes in, for
                                      instance, Sec.
                                      172.504.).
                                     Note: A railroad's
                                      placarding duties are
                                      to not accept a car
                                      without placards
                                      [Sec.  172.508(b)];
                                      to maintain an
                                      ``adequate supply''
                                      of placards and to
                                      replace them based on
                                      shipping paper
                                      information [Sec.
                                      174.33]; and to not
                                      transport a car
                                      without placards
                                      [Sec.  174.59]. At
                                      each inspection
                                      point, a railroad
                                      must determine that
                                      all placards are in
                                      place. [Sec.
                                      172.8(b)] The ``next
                                      inspection point''
                                      replacement
                                      requirement in Sec.
                                      174.59, q.v., refers
                                      to placards that
                                      disappear between
                                      inspection points; a
                                      car at an inspection
                                      point must be
                                      placarded because it
                                      is in transportation,
                                      even if held up at
                                      that point. [49
                                      U.S.C. 5102(12)]
    174.45.........................  Failure to report
                                      hazardous materials
                                      accidents or
                                      incidents. Cite Secs.
                                      171.15 or 171.16 as
                                      appropriate.
    174.50.........................  Moving leaking tank           7,500
                                      car unnecessarily.
                                     Failure to stencil            3,500
                                      leaking tank car.
                                     Loss of product              15,000
                                      resulted in human
                                      being contact because
                                      of improper carrier
                                      handling.
    174.55.........................  Failure to block and
                                      brace as prescribed.
                                      (See also Secs.
                                      174.61, .63, .101,
                                      .112, .115; where
                                      these more specific
                                      sections apply, cite
                                      them.) Note: The
                                      regulatory
                                      requirement is that
                                      hazardous materials
                                      packages be loaded
                                      and securely blocked
                                      and braced to prevent
                                      the packages from
                                      changing position,
                                      falling to the floor,
                                      or sliding into each
                                      other. If the load is
                                      tight and secure,
                                      pieces of lumber or
                                      other materials may
                                      not be necessary to
                                      achieve the ``tight
                                      load'' requirement.
                                      Be careful on these
                                      and consult freely
                                      with the expert
                                      attorney and
                                      specialists in the
                                      Hazardous Materials
                                      Division.
                                     --General failure to          5,000
                                      block and brace.
                                     --Inadequate blocking         2,500
                                      and bracing (an
                                      attempt was made but
                                      blocking/bracing was
                                      insufficient.).
                                     --Inadequate blocking         7,500
                                      and bracing leading
                                      to a leak.
                                     --Inadequate blocking        15,000
                                      and bracing leading
                                      to a leak and human
                                      being contact.

[[Page 54]]

 
    174.59.........................  Marking and
                                      placarding. Note: As
                                      stated elsewhere, a
                                      railroad's placarding
                                      duties are to not
                                      accept a car without
                                      placards [Sec.
                                      172.508(b)], to
                                      maintain an
                                      ``adequate supply''
                                      of placards and to
                                      replace them based on
                                      shipping paper
                                      information [Sec.
                                      174.33], and to not
                                      transport a car
                                      without placards
                                      [Sec.  174.59]. At
                                      each inspection
                                      point, a railroad
                                      must determine that
                                      all placards are in
                                      place. [Sec.
                                      172.8(b)] The ``next
                                      inspection point''
                                      replacement
                                      requirement in this
                                      section refers to
                                      placards that
                                      disappear between
                                      inspection points. A
                                      car at an inspection
                                      point must be
                                      placarded because it
                                      is in transportation
                                      [49 U.S.C. 5102(12)],
                                      even if held up at
                                      that point. Because
                                      the statute creates
                                      civil penalty
                                      liability only if a
                                      violation is
                                      ``knowing,'' that is,
                                      ``a reasonable person
                                      knew or should have
                                      known that an act
                                      performed by him was
                                      in violation of the
                                      HMR,'' and because
                                      railroads are not
                                      under a duty to
                                      inspect hazardous
                                      materials cars merely
                                      standing in a yard,
                                      violations written
                                      for unplacarded cars
                                      in yards must include
                                      proof that the
                                      railroad knew about
                                      the unplacarded cars
                                      and took no
                                      corrective action
                                      within a reasonable
                                      time. (Note also that
                                      the real problem with
                                      unplacarded cars in a
                                      railyard may be a
                                      lack of emergency
                                      response information,
                                      Secs.  172.600-.604,
                                      and investigation may
                                      reveal that those
                                      sections should be
                                      cited instead of this
                                      one.)
                                     --Complete failure to         7,500
                                      placard.
                                     --One placard missing         1,000
                                      (add $1,000 per
                                      missing placard up to
                                      a total of three;
                                      then use the
                                      guideline above).
                                     For other placarding
                                      violations, see Secs.
                                      172.500-.560 and
                                      determine if one of
                                      them more correctly
                                      states the violation.
    174.61.........................  Improper                      3,000
                                      transportation of
                                      transport vehicle or
                                      freight container on
                                      flat car. (Note: If
                                      improper lading
                                      restraint is the
                                      violation, see Sec.
                                      174.55; if improper
                                      restraint of a bulk
                                      packaging inside a
                                      closed transport
                                      vehicle is the
                                      violation, see Sec.
                                      174.63(b).).
    174.63(a) & (c)................  --Improper                    3,000
                                      transportation of
                                      portable tank or
                                      other bulk packaging
                                      in TOFC/COFC service.
                                     --Improper                    7,500
                                      transportation
                                      leading to a release
                                      of product.
                                     --Improper                   15,000
                                      transportation
                                      leading to a release
                                      and human being
                                      contact.
    174.63(b)......................  Improper securement of
                                      bulk packaging inside
                                      enclosed transport
                                      vehicle or freight
                                      container.
                                     --General failure to          5,000
                                      secure.
                                     --Inadequate                  2,500
                                      securement (an
                                      attempt to secure was
                                      made but the means of
                                      securement were
                                      inadequate).
                                     --Inadequate                  7,500
                                      securement leading to
                                      a leak.
                                     --Inadequate                 15,000
                                      securement leading to
                                      a leak and human
                                      being contact.
    174.63(e)......................  Transportation of             7,500
                                      cargo tank or multi-
                                      unit tank car tank
                                      without authorization
                                      and in the absence of
                                      an emergency.
    174.67(a)(1)...................  Tank car unloading            2,500
                                      operations performed
                                      by persons not
                                      properly instructed
                                      (case cannot be based
                                      on inference).
    174.67(a)(2)...................  Unloading without
                                      brakes set and/or
                                      wheels blocked. (The
                                      enforcement standard,
                                      as per 1995 Hazardous
                                      Materials Technical
                                      Resolution Committee,
                                      is that sufficient
                                      handbrakes must be
                                      applied on one or
                                      more cars to prevent
                                      movement and each car
                                      with a handbrake set
                                      must be blocked in
                                      both directions. The
                                      unloading facility
                                      must make a
                                      determination on how
                                      many brakes to set.)
                                     --No brakes set, no           5,000
                                      wheels blocked, or
                                      fewer brakes set/
                                      wheels blocked than
                                      facility's operating
                                      plan.
                                     --No brakes set, but          3,000
                                      wheels blocked.
                                     --Brakes set, but             4,000
                                      wheels not blocked.
    174.67(a)(3)...................  Unloading without             2,000
                                      cautions signs
                                      properly displayed.
                                      (See Part 218,
                                      Subpart B).
    174.67(c)(2)...................  Failure to use non-
                                      metallic block to
                                      prop manway cover
                                      open while unloading
                                      through bottom outlet.
                                     --Flammable or                3,000
                                      combustible liquid,
                                      or other product with
                                      a vapor flash point
                                      hazard.
                                     --Material with no              500
                                      vapor flammability
                                      hazard.
    174.67(h)......................  Insecure unloading           10,000
                                      connections, such
                                      that product is
                                      actually leaking.
    174.67(i)......................  Unattended unloading..        5,000
    174.67(j)......................  Discontinued unloading        2,000
                                      without disconnecting
                                      all unloading
                                      connections,
                                      tightening valves,
                                      and applying closures
                                      to all other
                                      openings. (Note: If
                                      the car is attended,
                                      this subsection does
                                      not apply.).
    174.67(k)......................  Preparation of car
                                      after unloading:
                                      Removal of unloading
                                      connections is
                                      required, as is the
                                      closing of all
                                      openings with a
                                      ``suitable tool.''
                                      Note: This subsection
                                      requires unloading
                                      connections to be
                                      ``removed'' when
                                      unloading is
                                      complete, Sec.
                                      174.67(j) requires
                                      them to be
                                      ``disconnected'' for
                                      a temporary cessation
                                      of unloading. The
                                      penalties recommended
                                      here mirror those in
                                      Sec.  173.29, dealing
                                      with insecure
                                      closures generally.

[[Page 55]]

 
                                     --Hazardous material          2,000
                                      with insignificant
                                      vapor pressure and
                                      without
                                      classification as
                                      ``poison'' or
                                      ``inhalation hazard''.
                                     --With actual leak....        5,000
                                     --With leak allowing         15,000
                                      the product to
                                      contact any human
                                      being.
                                     --Hazardous material          5,000
                                      with vapor pressure
                                      (essentially any gas
                                      or compressed gas)
                                      and/or with
                                      classification as
                                      ``poison'' or
                                      ``inhalation hazard''.
                                     --With actual leak....        7,500
                                     --With leak allowing         15,000
                                      the product (or fumes
                                      or vapors) to contact
                                      any human being).
                                      Note: Contact with
                                      fumes must be
                                      substantial.
    174.69.........................  --Complete failure to         6,000
                                      remove loaded
                                      placards and replace
                                      with RESIDUE placard
                                      on tank cars.
                                     --Partial failure.            1,000
                                      (Unit of violation is
                                      the placard; the
                                      guideline is used for
                                      each placard up to 3,
                                      then the penalty
                                      above is applicable.).
    174.81.........................  --Failure to obey             6,000
                                      segregation
                                      requirements for
                                      materials forbidden
                                      to be stored or
                                      transported together.
                                      (``X'' in the table).
                                     --Failure to obey             4,000
                                      segregation
                                      requirements for
                                      materials that must
                                      be separated to
                                      prevent commingling
                                      in the event of a
                                      leak. (``O'' in the
                                      table).
    174.83(a)......................  Improper switching of         5,000
                                      placarded rail cars.
    174.83(b)......................  Improper switching of         8,000
                                      loaded rail car
                                      containing Division
                                      1.1/1.2, 2.3 PG I
                                      Zone A, or Division
                                      6.1 PG I Zone A, or
                                      DOT 113 tank car
                                      placarded for 2.1.
    174.83(c)-(e)..................  Improper switching of         5,000
                                      placarded flatcar.
    174.83(f)......................  Switching Division 1.1/       8,000
                                      1.2 without a buffer
                                      car or placement of
                                      Division 1.1/1.2 car
                                      under a bridge or
                                      alongside a passenger
                                      train or platform.
    174.84.........................  Improper handling of          4,000
                                      Division 1.1/1.2, 2.3
                                      PG I Zone A, 6.1 PG I
                                      Zone A in relation to
                                      guard or escort cars.
    174.85.........................  Improper Train
                                      Placement (The unit
                                      of violation under
                                      this section is the
                                      car. Where more than
                                      one placarded car is
                                      involved, e.g., if 2
                                      placarded cars are
                                      too close to the
                                      engine, both are
                                      violations. Where
                                      both have a similar
                                      violation, e.g., a
                                      Division 1.1 car next
                                      to a loaded tank car
                                      of a Class 3
                                      material, each car
                                      gets the appropriate
                                      penalty as listed
                                      below.)
                                     RESIDUE car without at        3,000
                                      least 1 buffer from
                                      engine or occupied
                                      caboose.
                                     Placard Group 1--
                                      Division 1.1/1.2
                                      (Class A explosive)
                                      materials
                                     --Fewer than 6 cars           8,000
                                      (where train length
                                      permits) from engine
                                      or occupied caboose.
                                     --As above but with at        7,000
                                      least 1 buffer.
                                     --No buffer at all            8,000
                                      (where train length
                                      doesn't permit 5).
                                     --Next to open top car        7,000
                                      with lading beyond
                                      car ends or, if
                                      shifted, would be
                                      beyond car ends.
                                     --Next to loaded flat         6,000
                                      car, except closed
                                      TOFC/COFC equipment,
                                      auto carriers,
                                      specially equipped
                                      car with tie-down
                                      devices, or car with
                                      permanent bulkhead.
                                     --Next to operating           7,000
                                      temperature-control
                                      equipment or internal
                                      combustion engine in
                                      operation.
                                     --Next to placarded           7,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     Placard Group 2--
                                      Division 1.3/1.4/1.5
                                      (Class B and C
                                      explosives); Class 2
                                      (compressed gas,
                                      other than Division
                                      2.3, PG 1 Zone A;
                                      Class 3 (flammable
                                      liquids); Class 4
                                      (flammable solid);
                                      Class 5 (oxidizing
                                      materials); Class 6,
                                      (poisonous liquids),
                                      except 6.1 PG 1 Zone
                                      A; Class 8 (corrosive
                                      materials).
                                     For tank cars:
                                     --Fewer than 6 cars           6,000
                                      (where train length
                                      permits) from engine
                                      or occupied caboose.
                                     --As above but with at        5,000
                                      least 1 buffer.
                                     No buffer at all              6,000
                                      (where train length
                                      doesn't permit 5).
                                     --Next to open top car        5,000
                                      with lading beyond
                                      car ends or, if
                                      shifted, would be
                                      beyond car ends.
                                     --Next to loaded flat         4,000
                                      car, except closed
                                      TOFC/COFC equipment,
                                      auto carriers,
                                      specially equipped
                                      car with tie-down
                                      devices, or car with
                                      permanent bulkhead.
                                     --Next to operating           5,000
                                      temperature-control
                                      equipment or internal
                                      combustion engine in
                                      operation.
                                     --Next to placarded           5,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     For other rail cars:
                                     --Next to placarded           5,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     Placard Group 3--
                                      Divisions 2.3 (PG 1
                                      Zone A; poisonous
                                      gases) and 6.1 (PG 1
                                      Zone A; poisonous
                                      materials)

[[Page 56]]

 
                                     For tank cars:
                                     --Fewer than 6 cars           8,000
                                      (where train length
                                      permits) from engine
                                      or occupied caboose.
                                     --As above but with at        7,000
                                      least 1 buffer.
                                     No buffer at all              8,000
                                      (where train length
                                      doesn't permit 5).
                                     --Next to open top car        7,000
                                      with lading beyond
                                      car ends or, if
                                      shifted, would be
                                      beyond car ends.
                                     --Next to loaded flat         6,000
                                      car, except closed
                                      TOFC/COFC equipment,
                                      auto carriers,
                                      specially equipped
                                      car with tie-down
                                      devices, or car with
                                      permanent bulkhead.
                                     --Next to operating           7,000
                                      temperature-control
                                      equipment or internal
                                      combustion engine in
                                      operation.
                                     --Next to placarded           7,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     For other rail cars:
                                     --Next to placarded           5,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     Placard Group 4--Class
                                      7 (radioactive)
                                      materials.
                                     For rail cars:
                                     --Next to locomotive          8,000
                                      or occupied caboose.
                                     --Next to placarded           5,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     --Next to carload of          3,000
                                      undeveloped film.
    174.86.........................  Exceeding maximum             3,000
                                      allowable operating
                                      speed (15 mph) while
                                      transporting molten
                                      metals or molten
                                      glass.
    174.101(o)(4)..................  Failure to have proper
                                      explosives placards
                                      on flatcar carrying
                                      trailers/containers
                                      placarded for Class
                                      1. (Except for a
                                      complete failure to
                                      placard, the unit of
                                      violation is the
                                      placard.).
                                     --Complete failure to         7,500
                                      placard.
                                     --One placard missing         1,000
                                      (add $1,000 per
                                      missing placard up to
                                      a total of three,
                                      then use the
                                      guideline above).
    174.104(f).....................  Failure to retain car         1,000
                                      certificates at
                                      ``forwarding
                                      station''.
                                     Failure to attach car         1,000
                                      certificates to car.
                                      (Unit of violation is
                                      the certificate, 2
                                      are required.).
    174.204........................  Improper tank car             3,000
                                      delivery of gases
                                      (Class 2 materials).
    174.304........................  Improper tank car             3,000
                                      delivery of flammable
                                      liquids (Class 3
                                      materials).
    174.600........................  Improper tank car             5,000
                                      delivery of materials
                                      extremely poisonous
                                      by inhalation
                                      (Division 2.3 Zone A
                                      or 6.1 Zone A
                                      materials).
------------------------------------
                                PART 178
------------------------------------------------------------------------
178.2(b)...........................  Package not
                                      constructed according
                                      to specifications--
                                      also cite section not
                                      complied with.
                                     --Bulk packages,              8,000
                                      including portable
                                      tanks.
                                     --55-gallon drum......        2,500
                                     --Smaller package.....        1,000
------------------------------------
                                PART 179
------------------------------------------------------------------------
179.1(e)...........................  Tank car not                  8,000
                                      constructed according
                                      to specifications--
                                      also cite section not
                                      complied with. (Note:
                                      Part 179 violations
                                      are against the
                                      builder or repairer.
                                      Sections in this Part
                                      are often cited in
                                      conjunction with
                                      violations of Secs.
                                      172.330 and 173.31
                                      (a)&(b) by shippers.
                                      In such cases, the
                                      Part 179 sections are
                                      cited as references,
                                      not as separate
                                      alleged violations.).
179.6..............................  Repair procedures not         5,000
                                      in compliance with
                                      Appendix R of the
                                      Tank Car Manual.
------------------------------------------------------------------------
\1\ See Sec.  172.334.
\2\ See Sec.  172.516.
\3\ Varies.
\4\ See specific section.
\5\ See penalties: 172.700-.704.


[61 FR 38647, July 25, 1996]

[[Page 57]]

Appendix C to Part 209--FRA's Policy Statement Concerning Small Entities

    This policy statement required by the Small Business Regulatory 
Enforcement Fairness Act of 1996 (Pub. L. 104-121) (SBREFA) explains 
FRA's communication and enforcement policies concerning small entities 
subject to the federal railroad safety laws. These policies have been 
developed to take into account the unique concerns and operations of 
small businesses in the administration of the national railroad safety 
program, and will continue to evolve to meet the needs of the railroad 
industry. For purposes of this policy statement, the Regulatory 
Flexibility Act (5 U.S.C. 601, et seq.), and the ``excessive demand'' 
provisions of the Equal Justice Act (5 U.S.C. 504 (a)(4), and 28 U.S.C. 
2412 (d)(1)(D)), Class III railroads, contractors and hazardous 
materials shippers meeting the economic criteria established for Class 
III railroads in 49 CFR 1201.1-1, and commuter railroads or small 
governmental jurisdictions that serve populations of 50,000 or less 
constitute the class of organizations considered ``small entities'' or 
``small businesses.''
    FRA understands that small entities in the railroad industry have 
significantly different characteristics than larger carriers and 
shippers. FRA believes that these differences necessitate careful 
consideration in order to ensure that those entities receive appropriate 
treatment on compliance and enforcement matters, and enhance the safety 
of railroad operations. Therefore, FRA has developed programs to respond 
to compliance-related inquiries of small entities, and to ensure proper 
handling of civil penalty and other enforcement actions against small 
businesses.

                    Small Entity Communication Policy

    It is FRA's policy that all agency personnel respond in a timely and 
comprehensive fashion to the inquiries of small entities concerning rail 
safety statutes, safety regulations, and interpretations of these 
statutes and regulations. Also, FRA personnel provide guidance to small 
entities, as needed, in applying the law to specific facts and 
situations that arise in the course of railroad operations. These agency 
communications take many forms, and are tailored to meet the needs of 
the requesting party.
    FRA inspectors provide training on the requirements of all railroad 
safety statutes and regulations for new and existing small businesses 
upon request. Also, FRA inspectors often provide impromptu training 
sessions in the normal course of their inspection duties. FRA believes 
that this sort of preventive, rather than punitive, communication 
greatly enhances railroad safety. FRA's Office of Safety and Office of 
Chief Counsel regularly provide oral and written responses to questions 
raised by small entities concerning the plain meaning of the railroad 
safety standards, statutory requirements, and interpretations of the 
law. As required by the SBREFA, when FRA issues a final rule that has a 
significant impact on a substantial number of small entities, FRA will 
also issue a compliance guide for small entities concerning that rule.
    It is FRA's policy to maintain frequent and open communications with 
the national representatives of the primary small entity associations 
and to consult with these organizations before embarking on new policies 
that may impact the interests of small businesses. In some regions of 
the country where the concentration of small entities is particularly 
high, FRA Regional Administrators have established programs in which all 
small entities in the region meet with FRA regional specialists on a 
regular basis to discuss new regulations, persistent safety concerns, 
emerging technology, and compliance issues. Also, FRA regional offices 
hold periodic conferences, in which specific blocks of time are set 
aside to meet with small businesses and hear their concerns.
    In addition to these communication practices, FRA has instituted an 
innovative partnership program that expands the extent to which small 
entities participate in the development of policy and process. The 
Railroad Safety Advisory Committee (RSAC) has been established to advise 
the agency on the development and revision of railroad safety standards. 
The committee consists of a wide range of industry representatives, 
including organizations that represent the interests of small business. 
The small entity representative groups that sit on the RSAC may appoint 
members of their choice to participate in the development of new safety 
standards. This reflects FRA's policy that small business interests must 
be heard and considered in the development of new standards to ensure 
that FRA does not impose unnecessary economic burdens on small 
businesses, and to create more effective standards. Finally, FRA's Web 
site (http://www.fra.dot.gov) makes pertinent agency information 
available instantly to the public.
    FRA's longstanding policy of open communication with small entities 
is apparent in these practices. FRA will make every effort to develop 
new and equally responsive communication procedures as is warranted by 
new developments in the railroad industry.

                     Small Entity Enforcement Policy

    FRA has adopted an enforcement policy that addresses the unique 
nature of small entities in the imposition of civil penalties and 
resolution of those assessments. Pursuant to FRA's statutory authority, 
and as described in Appendix A to 49 CFR part 209, it is FRA's

[[Page 58]]

policy to consider a variety of factors in determining whether to take 
enforcement action against persons, including small entities, who have 
violated the safety laws and regulations. In addition to the seriousness 
of the violation and the person's history of compliance, FRA inspectors 
consider ``such other factors as the immediate circumstances make 
relevant.'' In the context of violations by small entities, those 
factors include whether the violations were made in good faith (e.g., 
based on an honest misunderstanding of the law), and whether the small 
entity has moved quickly and thoroughly to remedy the violation(s). In 
general, the presence of both good faith and prompt remedial action 
militates against taking a civil penalty action, especially if the 
violations are isolated events. On the other hand, violations involving 
willful actions and/or posing serious health, safety, or environmental 
threats should ordinarily result in enforcement actions, regardless of 
the entity's size.
    Once FRA has assessed a civil penalty, it is authorized to adjust or 
compromise the initial penalty claims based on a wide variety of 
mitigating factors, unless FRA must terminate the claim for some reason. 
FRA has the discretion to reduce the penalty as it deems fit, but not 
below the statutory minimums. The mitigating criteria FRA evaluates are 
found in the railroad safety statutes and SBREFA: The severity of the 
safety or health risk presented; the existence of alternative methods of 
eliminating the safety hazard; the entity's culpability; the entity's 
compliance history; the entity's ability to pay the assessment; the 
impacts an assessment might exact on the entity's continued business; 
and evidence that the entity acted in good faith. FRA staff attorneys 
regularly invite small entities to present any information related to 
these factors, and reduce civil penalty assessments based on the value 
and integrity of the information presented. Staff attorneys conduct 
conference calls or meet with small entities to discuss pending 
violations, and explain FRA's view on the merits of any defenses or 
mitigating factors presented that may have resulted or failed to result 
in penalty reductions. Among the ``other factors'' FRA considers at this 
stage is the promptness and thoroughness of the entity's remedial action 
to correct the violations and prevent a recurrence. Small entities 
should be sure to address these factors in communications with FRA 
concerning civil penalty cases. Long-term solutions to compliance 
problems will be given great weight in FRA's determinations of a final 
settlement offer.
    Finally, under FRA's Safety Assurance and Compliance Program (SACP), 
FRA identifies systemic safety hazards that continue to occur in a 
carrier or shipper operation, and in cooperation with the subject 
business, develops an improvement plan to eliminate those safety 
concerns. Often, the plan provides small entities with a reasonable time 
frame in which to make improvements without the threat of civil penalty. 
If FRA determines that the entity has failed to comply with the 
improvement plan, however, enforcement action is initiated.
    FRA's small entity enforcement policy is flexible and comprehensive. 
FRA's first priority in its compliance and enforcement activities is 
public and employee safety. However, FRA is committed to obtaining 
compliance and enhancing safety with reasoned, fair methods that do not 
inflict undue hardship on small entities.

[68 FR 24894, May 9, 2003]



PART 210--RAILROAD NOISE EMISSION COMPLIANCE REGULATIONS--Table of Contents




                      Subpart A--General Provisions

Sec.
210.1 Scope of part.
210.3 Applicability.
210.5 Definitions.
210.7 Responsibility for noise defective railroad equipment.
210.9 Movement of a noise defective locomotive, rail car, or consist of 
          a locomotive and rail cars.
210.11 Waivers.
210.13 Penalty.

                    Subpart B--Inspection and Testing

210.21 Scope of subpart.
210.23 Authorization.
210.25 Measurement criteria and procedures.
210.27 New locomotive certification.
210.29 Operation standards (moving locomotives and rail cars).
210.31 Operation standards (stationary locomotives at 30 meters).
210.33 Operation standards (switcher locomotives, load cell test stands, 
          car coupling operations, and retarders).

Appendix A to Part 210--Summary of Noise Standards, 40 CFR Part 201
Appendix B to Part 210--Switcher Locomotive Enforcement Policy

    Authority: Sec. 17, Pub. L. 92-574, 86 Stat. 1234 (42 U.S.C. 4916); 
sec. 1.49(o) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(o).

    Source: 48 FR 56758, Dec. 23, 1983, unless otherwise noted.

[[Page 59]]



                      Subpart A--General Provisions



Sec. 210.1  Scope of part.

    This part prescribes minimum compliance regulations for enforcement 
of the Railroad Noise Emission Standards established by the 
Environmental Protection Agency in 40 CFR part 201.



Sec. 210.3  Applicability.

    (a) Except as provided in paragraph (b) of this section, the 
provisions of this part apply to the total sound emitted by moving rail 
cars and locomotives (including the sound produced by refrigeration and 
air conditioning units that are an integral element of such equipment), 
active retarders, switcher locomotives, car coupling operations, and 
load cell test stands, operated by a railroad as defined in 45 U.S.C. 
22, under the conditions described in this part and in 40 CFR part 201.
    (b) The provisions of this part do not apply to--
    (1) Steam locomotives;
    (2) Street, suburban, or interurban electric railways unless 
operated as a part of the general railroad system of transportation;
    (3) Sound emitted by warning devices, such as horns, whistles, or 
bells when operated for the purpose of safety;
    (4) Special purpose equipment that may be located on or operated 
from rail cars;
    (5) As prescribed in 40 CFR 201.10, the provisions of 40 CFR 201.11 
(a) and (b) and (c) do not apply to gas turbinepowered locomotives or 
any locomotive type that cannot be connected by any standard method to a 
load cell; or
    (6) Inert retarders.

[48 FR 56758, Dec. 23, 1983, as amended at 54 FR 33228, Aug. 14, 1989]



Sec. 210.5  Definitions.

    (a) Statutory definitions. All terms used in this part and defined 
in the Noise Control Act of 1972 (42 U.S.C. 4901 et seq.) have the 
definition set forth in that Act.
    (b) Definitions in standards. All terms used in this part and 
defined in Sec. 201.1 of the Railroad Noise Emission Standards, 40 CFR 
201.1, have the definition set forth in that section.
    (c) Additional definitions. As used in this part--
    Administrator means the Federal Railroad Administrator, the Deputy 
Administrator, or any official of FRA to whom the Administrator has 
delegated authority to act in the Administrator's stead.
    Consist of a locomotive and rail cars means one or more locomotives 
coupled to a rail car or rail cars.
    FRA means the Federal Railroad Administration.
    Inert retarder means a device or system for holding a classified cut 
of cars and preventing it from rolling out the bottom of a railyard.
    Inspector means FRA inspectors or FRA specialists.
    Noise defective means the condition in which railroad equipment is 
found to exceed the Railroad Noise Emission Standards, 40 CFR part 201.
    Railroad equipment means rail cars, locomotives, active retarders, 
and load cell test stands.
    Standards means the Railroad Noise Emission Standards, 40 CFR part 
201. (See appendix A in this part for a listing.)



Sec. 210.7  Responsibility for noise defective railroad equipment.

    Any railroad that uses railroad equipment that is noise defective or 
engages in a car coupling operating that results in excessive noise 
according to the criteria established in this part and in the Standards 
is responsible for compliance with this part. Subject to Sec. 210.9, 
such railroad shall--
    (a) Correct the noise defect;
    (b) Remove the noise defective railroad equipment from service; or
    (c) Modify the car coupling procedure to bring it within the 
prescribed noise limits.



Sec. 210.9  Movement of a noise defective locomotive, rail car, or consist of a locomotive and rail cars.

    A locomotive, rail car, or consist of a locomotive and rail cars 
that is noise defective may be moved no farther than the nearest forward 
facility where the noise defective conditions can be eliminated only 
after the locomotive,

[[Page 60]]

rail car, or consist of a locomotive and rail cars has been inspected 
and been determined to be safe to move.



Sec. 210.11  Waivers.

    (a) Any person may petition the Administrator for a waiver of 
compliance with any requirement in this part. A waiver of compliance 
with any requirement prescribed in the Standards may not be granted 
under this provision.
    (b) Each petition for a waiver under this section must be filed in 
the manner and contain information required by 49 CFR part 211.
    (c) If the Administrator finds that a waiver of compliance applied 
for under paragraph (a) of this section is in the public interest and is 
consistent with railroad noise abatement and safety, the Administrator 
may grant a waiver subject to any condition he deems necessary. Notice 
of each waiver granted, including a statement of the reasons therefor, 
will be published in the Federal Register.



Sec. 210.13  Penalty.

    Any person who operates railroad equipment subject to the Standards 
in violation of any requirement of this part or of the Standards is 
liable to penalty as prescribed in section 11 of the Noise Control Act 
of 1972 (42 U.S.C. 4910), as amended.



                    Subpart B--Inspection and Testing



Sec. 210.21  Scope of subpart.

    This subpart prescribes the compliance criteria concerning the 
requirements for inspection and testing of railroad equipment or 
operations covered by the Standards.



Sec. 210.23  Authorization.

    (a) An inspector is authorized to perform any noise test prescribed 
in the Standards and in the procedures of this part at any time, at any 
appropriate location, and without prior notice to the railroad, for the 
purpose of determining whether railroad equipment is in compliance with 
the Standards.
    (b)(1) An inspector is authorized to request that railroad equipment 
and appropriate railroad personnel be made available for a passby or 
stationary noise emission test, as prescribed in the Standards and in 
the procedures of this part, and to conduct such test, at a reasonable 
time and location, for the purpose of determining whether the railroad 
equipment is in compliance with the Standards.
    (2) If the railroad has the capability to perform an appropriate 
noise emission test, as prescribed in the Standards and in the 
procedures of this part, an inspector is authorized to request that the 
railroad test railroad equipment. The railroad shall perform the 
appropriate test as soon as practicable.
    (3) The request referred to in this paragraph will be in writing, 
will state the grounds upon which the inspector has reason to believe 
that the railroad equipment does not conform to the Standards, and will 
be presented to an appropriate operating official of the railroad.
    (4) Testing or submission for testing is not required if the cause 
of the noise defect is readily apparent and the inspector verifies that 
it is corrected by the replacement of defective components or by 
instituting a normal maintenance or repair procedure.
    (c)(1) An inspector is authorized to inspect or examine a 
locomotive, rail car, or consist of a locomotive and rail cars operated 
by a railroad, or to request that the railroad inspect or examine the 
locomotive, rail car, or consist of a locomotive and rail cars, whenever 
the inspector has reason to believe that it does not conform to the 
requirements of the Standards.
    (2) An inspector may request that a railroad conduct an inspection 
or examination of a locomotive, rail car, or consist of a locomotive and 
rail cars on the basis of an excessive noise emission level measured by 
a passby test. If, after such inspection or examination, no mechanical 
condition that would result in a noise defect can be found and the 
inspector verifies that no such mechanical condition exists, the 
locomotive, rail car, or consist of a locomotive and rail cars may be 
continued in service.
    (3) The requests referred to in this paragraph will be in writing, 
will state the grounds upon which the inspector has reason to believe 
that the locomotive, rail car, or consist of a locomotive and rail cars 
does not conform

[[Page 61]]

to the Standards, and will be presented to an appropriate operating 
official of the railroad.
    (4) The inspection or examination referred to in this paragraph may 
be conducted only at recognized inspection points or scheduled stopping 
points.



Sec. 210.25  Measurement criteria and procedures.

    The parameters and procedures for the measurement of the noise 
emission levels are prescribed in the Standards.
    (a) Quantities measured are defined in Sec. 201.21 of the Standards.
    (b) Requirements for measurement instrumentation are prescribed in 
Sec. 201.22 of the Standards. In addition, the following calibration 
procedures shall be used:
    (1)(i) The sound level measurement system including the microphone 
shall be calibrated and appropriately adjusted at one or more nominal 
frequencies in the range from 250 through 1000 Hz at the beginning of 
each series of measurements, at intervals not exceeding 1 (one) hour 
during continual use, and immediately following a measurement indicating 
a violation.
    (ii) The sound level measurement system shall be checked not less 
than once each year by its manufacturer, a representative of its 
manufacturer, or a person of equivalent special competence to verify 
that its accuracy meets the manufacturer's design criteria.
    (2) An acoustical calibrator of the microphone coupler type designed 
for the sound level measurement system in use shall be used to calibrate 
the sound level measurement system in accordance with paragraph 
(b)(1)(i) of this section. The calibration must meet or exceed the 
accuracy requirements specified in section 5.4.1 of the American 
National Standard Institute Standards, ``Method for Measurement of Sound 
Pressure Levels,'' (ANSI S1.13-1971) for field method measurements.
    (c) Acoustical environment, weather conditions, and background noise 
requirements are prescribed in Sec. 201.23 of the Standards. In 
addition, a measurement tolerance of 2 dB(A) for a given measurement 
will be allowed to take into account the effects of the factors listed 
below and the interpretations of these effects by enforcement personnel:
    (1) The common practice of reporting field sound level measurements 
to the nearest whole decibel;
    (2) Variations resulting from commercial instrument tolerances;
    (3) Variations resulting from the topography of the noise 
measurement site;
    (4) Variations resulting from atmospheric conditions such as wind, 
ambient temperature, and atmospheric pressure; and
    (5) Variations resulting from reflected sound from small objects 
allowed within the test site.



Sec. 210.27  New locomotive certification.

    (a) A railroad shall not operate a locomotive built after December 
31, 1979, unless the locomotive has been certified to be in compliance 
with the Standards.
    (b) The certification prescribed in this section shall be determined 
for each locomotive model, by either--
    (1) Load cell testing in accordance with the criteria prescribed in 
the Standards; or
    (2) Passby testing in accordance with the criteria prescribed in the 
Standards.
    (c) If passby testing is used under paragraph (b)(2) of this 
section, it shall be conducted with the locomotive operating at maximum 
rated horsepower output.
    (d) Each new locomotive certified under this section shall be 
identified by a permanent badge or tag attached in the cab of the 
locomotive near the location of the inspection Form F 6180.49. The badge 
or tag shall state:
    (1) Whether a load cell or passby test was used;
    (2) The date and location of the test; and
    (3) The A-weighted sound level reading in decibels obtained during 
the passby test, or the readings obtained at idle throttle setting and 
maximum throttle setting during a load cell test.



Sec. 210.29  Operation standards (moving locomotives and rail cars).

    The operation standards for the noise emission levels of moving 
locomotives, rail cars, or consists of locomotives

[[Page 62]]

and rail cars are prescribed in the Standards and duplicated in appendix 
A of this part.
    (a) Measurements for compliance shall be made in compliance with the 
provisions of subpart C of the Standards and the following:
    (1) Consists of locomotives containing at least one locomotive unit 
manufactured prior to December 31, 1979, shall be evaluated for 
compliance in accordance with Sec. 201.12(a) of the Standards, unless a 
locomotive within the consist is separated by at least 10 rail car 
lengths or 500 feet from other locomotives in the consist, in which case 
such separated locomotives may be evaluated for compliance according to 
their respective built dates.
    (2) Consists of locomotives composed entirely of locomotive units 
manufactured after December 31, 1979, shall be evaluated for compliance 
in accordance with Sec. 201.12(b) of the Standards.
    (3) If the inspector cannot establish the built dates of all 
locomotives in a consist of locomotives measured under moving 
conditions, evaluation for compliance shall be made in accordance with 
Sec. 201.12(a) of the Standards.
    (b) Noise emission standards for rail cars operating under moving 
conditions are contained in Sec. 201.13 of the Standards and are stated 
in appendix A of this part. If speed measurement equipment used by the 
inspector at the time of the measurement is not operating within an 
accuracy of 5 miles per hour, evaluation for compliance shall be made in 
accordance with Sec. 201.13(2) of the Standards.
    (c) Locomotives and rail cars tested pursuant to the procedures 
prescribed in this part and in the Standards shall be considered in 
noncompliance whenever the test measurement, minus the appropriate 
tolerance (Sec. 210.25), exceeds the noise emission levels prescribed in 
appendix A of this part.



Sec. 210.31  Operation standards (stationary locomotives at 30 meters).

    (a) For stationary locomotives at load cells:
    (1) Each noise emission test shall begin after the engine of the 
locomotive has attained the normal cooling water operating temperature 
as prescribed by the locomotive manufacturer.
    (2) Noise emission testing in idle or maximum throttle setting shall 
start after a 40 second stabilization period in the throttle setting 
selected for the test.
    (3) After the stabilization period as prescribed in paragraph (a)(2) 
of this section, the A-weighted sound level reading in decibels shall be 
observed for an additional 30-second period in the throttle setting 
selected for the test.
    (4) The maximum A-weighted sound level reading in decibels that is 
observed during the 30-second period of time prescribed in paragraph 
(a)(3) of this section shall be used for test measurement purposes.
    (b) The following data determined by any locomotive noise emission 
test conducted after December 31, 1976, shall be recorded in the 
``Remarks'' section on the reverse side of Form F 6180.49:
    (1) Location of test;
    (2) Type of test;
    (3) Date of test; and
    (4) The A-weighted sound level reading in decibels obtained during 
the passby test, or the readings obtained at idle throttle setting and 
maximum throttle setting during a load cell test.
    (c) Any locomotive subject to this part that is found not to be in 
compliance with the Standards as a result of a passby test shall be 
subjected to a load cell test or another passby test prior to return to 
service, except that no such retest shall be required if the cause of 
the noise defect is readily apparent and is corrected by the replacement 
of defective components or by a normal maintenance or repair procedure.
    (d) The last entry recorded on Form F 6180.49 as required in 
paragraph (b) of this section shall be transcribed to a new Form FRA F 
6180.49 when it is posted in the locomotive cab.
    (e) Locomotives tested pursuant to the procedures prescribed in this 
part and in the Standards shall be considered in noncompliance wherever 
the test measurement, minus the appropriate tolerance (Sec. 210.25), 
exceeds the noise emission levels precribed in appendix A of this part.

[[Page 63]]



Sec. 210.33  Operation standards (switcher locomotives, load cell test stands, car coupling operations, and retarders).

    (a) Measurement on receiving property of the noise emission levels 
from switcher locomotives, load cell test stands, car coupling 
operations, and retarders shall be performed in accordance with the 
requirements of 40 CFR part 201 and Sec. 210.25 of this part.
    (b) These sources shall be considered in noncompliance whenever the 
test measurement, minus the appropriate tolerance (Sec. 210.25), exceeds 
the noise emission levels prescribed in appendix A of this part.

   Appendix A to Part 210--Summary of Noise Standards, 40 CFR Part 201

----------------------------------------------------------------------------------------------------------------
                                                        Noise
                                                     standard--
                                                     A weighted
   Paragraph and section          Noise source          sound       Noise measure \1\      Measurement location
                                                      level in
                                                         dB
----------------------------------------------------------------------------------------------------------------
                                 All Locomotives
                                Manufactured on or
                                Before 31 December
                                       1979
 
201.11(a)..................  Stationary, Idle                73  Lmax (slow)............  30 m (100 ft)
                              Throttle Setting.
201.11(a)..................  Stationary, All Other           93  ......do...............   Do.
                              Throttle Settings.
201.12(a)..................  Moving................          96  Lmax (fast)............   Do.
 
                                 All Locomotives
                              Manufactured After 31
                                  December 1979
 
201.11(b)..................  Stationary, Idle                70  Lmax (slow)............   Do.
                              Throttle Setting.
201.11(b)..................  Stationary, All Other           87  ......do...............   Do.
                              Throttle Settings.
201.12(b)..................  Moving................          90  Lmax (fast)............   Do.
201.11(c) and 201.12(c)....  Additional Requirement          65  L90 (fast) \2\.........  Receiving property
                              for Switcher
                              Locomotives
                              Manufactured on or
                              Before 31 December
                              1979 Operating in
                              Yards Where
                              Stationary Switcher
                              and other Locomotive
                              Noise Exceeds the
                              Receiving Property
                              Limit of.
201.11(c)..................  Stationary, Idle                70  Lmax (slow)............  30 m (100 ft)
                              Throttle Setting.
201.11(c)..................  Stationary, All Other           87  ......do...............   Do.
                              Throttle Settings.
201.12(c)..................  Moving................          90  Lmax (fast)............   Do.
 
                                    Rail Cars
 
201.13(1)..................  Moving at Speeds of 45          88  ......do...............   Do.
                              mph or Less.
201.13(2)..................  Moving at Speeds                93  ......do...............   Do.
                              Greater than 45 mph.
 
                              Other Yard Equipment
                                  and Facilities
 
201.14.....................  Retarders.............          83  Ladjavemax (fast)......  Receiving property
201.15.....................  Car-Coupling                    92  ......do...............   Do.
                              Operations.
201.16.....................  Locomotive Load Cell            65  L90 (fast) \2\.........   Do.
                              Test Stands, Where
                              the Noise from
                              Locomotive Load Cell
                              Operations Exceeds
                              the Receiving
                              Property Limits of.
201.16(a)..................  Primary Standard......          78  Lmax (slow)............  30 m (100 ft).
201.16(b)..................  Secondary Standard if           65  L90 (fast).............  Receiving property
                              30-m Measurement Not                                         located more than 120
                              Feasible.                                                    m from Load Cell.
----------------------------------------------------------------------------------------------------------------
\1\ Lmax=Maximum sound level; L90=Statistical sound level exceeded 90% of the time; Ladjavemax=Adjusted average
  maximum sound level.
\2\ L90 must be validated by determining that L10-L99 is less than or equal to 4dB (A).


[48 FR 56758, Dec. 23, 1983; 49 FR 1521, Jan. 12, 1984]

     Appendix B to Part 210--Switcher Locomotive Enforcement Policy

    The EPA standards require that the noise emissions from all switcher 
locomotives in a particular facility be less than prescribed levels 
measured at 30 meters, under all operating modes. This requirement is 
deemed to be met unless ``receiving property'' noise due to switcher 
locomotives exceeds 65 dB(A), when measured in accordance with subpart C 
of 40 CFR part 201. The 65 dB(A) receiving property standard is the 
``trigger'' for requiring the 30-meter test of switcher locomotives.

[[Page 64]]

    The purpose underlying FRA's enforcement of the noise standards is 
to reduce the impact of rail operations noise on receiving properties. 
In some instances, measures other than the 30-meter test approach may 
more effectively reduce the noise levels at receiving properties; 
therefore, FRA enforcement efforts will focus on abatement procedures 
that will achieve a reduction of receiving property noise levels to less 
than 65 dB(A).
    For example, a parked, idling locomotive, even if equipped with 
exhaust silencing that meets the stationary locomotive standard (30-
meter test), may cause the receiving property standard to be exceeded if 
located on trackage adjacent to the receiving property. In that case, 
application of the 30-meter test to other switcher locomotives at the 
facility may not serve to reduce the receiving property noise level. On 
the other hand, operational changes by the railroad could significantly 
reduce receiving property noise levels. In such case, FRA would consider 
retesting after abatement measures have been taken. If the receiving 
property noise level is below the trigger and the abatement action is 
adopted, FRA would not make a 30-meter test of the switcher locomotives 
at the facility.



PART 211--RULES OF PRACTICE--Table of Contents




                           Subpart A--General

Sec.
211.1 General.
211.3 Participation by interested persons.
211.5 Regulatory docket.
211.7 Filing requirements.
211.9 Content of rulemaking and waiver petitions.

                    Subpart B--Rulemaking Procedures

211.11 Processing of petitions for rulemaking.
211.13 Initiation and completion of rulemaking proceedings.
211.15 Notice and participation.
211.17 Publication and contents of notices.
211.19 Petitions for extensions of time to comment.
211.21 Consideration of comments received.
211.23 Additional public proceedings.
211.25 Hearings.
211.27 Publication of adopted rules and withdrawal of notices.
211.29 Petitions for reconsideration of a final rule.
211.31 Proceedings on petitions for reconsideration of a final rule.

                           Subpart C--Waivers

211.41 Processing of petitions for waiver of safety rules.
211.43 Processing of other waiver petitions.

                       Subpart D--Emergency Orders

211.47 Review procedures.

    Subpart E--Miscellaneous Safety-Related Proceedings and Inquiries

211.51 Tests.
211.53 Signal applications.
211.55 Special approvals.
211.57 Petitions for reconsideration.
211.59 Proceedings on petitions for reconsideration.
211.61 Informal safety inquiries.

    Subpart F--Interim Procedures for the Review of Emergency Orders

211.71 General.
211.73 Presiding officer; powers.
211.75 Evidence.
211.77 Appeal to the Administrator.

Appendix A to Part 211--Statement of Agency Policy Concerning Waivers 
          Related to Shared Use of Trackage or Rights-of-Way by Light 
          Rail and Conventional Operations

    Authority: 49 U.S.C. 20103, 20107, 20114, 20306, 20502-20504, and 49 
CFR 1.49.

    Source: 41 FR 54181, Dec. 13, 1976, unless otherwise noted.



                           Subpart A--General



Sec. 211.1  General.

    (a) This part prescribes rules of practice that apply to rulemaking 
and waiver proceedings, review of emergency orders issued under 45 
U.S.C. 432, and miscellaneous safety-related proceedings and informal 
safety inquiries. The specific time limits for disposition of 
proceedings apply only to proceedings initiated after December 31, 1976, 
under the Federal Railroad Safety Act of 1970 (45 U.S.C. 421 et seq.). 
When warranted, FRA will extend these time limits in individual 
proceedings. However, each proceeding under the Federal Railroad Safety 
Act shall be disposed of within 12 months after the date it is 
initiated. A proceeding shall be deemed to be initiated and the time 
period for its disposition shall begin on the date a petition or 
application that complies with the requirements of this chapter is 
received by the person designated in Sec. 211.7.
    (b) As used in this part--

[[Page 65]]

    (1) Administrator means the Federal Railroad Administrator or the 
Deputy Administrator or the delegate of either of them.
    (2) Waiver includes exemption.
    (3) Safety Act means the Federal Railroad Safety Act of 1970, as 
amended (45 U.S.C. 421 et seq.).
    (4) Docket Clerk means the Docket Clerk, Office of Chief Counsel, 
Federal Railroad Administration, 1120 Vermont Avenue, N.W., Mail Stop 
10, Washington, D.C. 20590 or the Docket Clerk, Department of 
Transportation Central Docket Management System, Nassif Building, Room 
Pl-401, 400 Seventh Street, S.W., Washington, D.C. 20590-0001.
    (5) Railroad Safety Board means the Railroad Safety Board, Office of 
Safety, Federal Railroad Administration, Washington, DC 20590.
    (c) Records relating to proceedings and inquiries subject to this 
part are available for inspection as provided in part 7 of this title.

[41 FR 54181, Dec. 13, 1976, as amended at 64 FR 70195, Dec. 16, 1999]



Sec. 211.3  Participation by interested persons.

    Any person may participate in proceedings and inquiries subject to 
this part by submitting written information or views. The Administrator 
may also permit any person to participate in additional proceedings, 
such as informal appearances, conferences, or hearings at which a 
transcript or minutes are kept, to assure informed administrative action 
and protect the public interest.



Sec. 211.5  Regulatory docket.

    (a)(1) Records of the Federal Railroad Administration created after 
November 1, 1998, concerning each proceeding subject to this part are 
maintained in current docket form by the DOT Docket Management System. 
These records include rulemaking and waiver petitions, emergency orders, 
notices, comments received in response to notices, hearing transcripts, 
final rules, denials of rulemaking petitions, grants and denial of 
waiver and other petitions. Also included are records pertaining to 
applications for special approval under Sec. 211.55 and Sec. 238.21 of 
this chapter, petitions for grandfathering approval under Sec. 238.203 
of this chapter, signal applications under parts 235 and 236 of this 
chapter, and informal safety inquiries under Sec. 211.61.
    (2) Any person may examine docketed material created after November 
1, 1998:
    (i) At the DOT Docket Management System, room Pl-401 (plaza level), 
400 Seventh Street, S.W. Washington, D.C. 20590. Copies of docketed 
materials may be obtained upon payment of the fees prescribed by the 
Docket Management System, or
    (ii) Through the Internet at http://dms.dot.gov. All docketed 
materials are available for viewing and may be downloaded for electronic 
storage or printing. There is no charge for this service.
    (b) Records of the Federal Railroad Administration created before 
November 1, 1998, concerning each proceeding subject to this part are 
available in FRA's Docket Office, seventh floor, 1120 Vermont Avenue, 
Washington, DC 20590. Any person may examine docketed material at that 
location during normal business hours. Copies of docketed material may 
be obtained upon payment of the fees prescribed in part 7 of this title.
    (c) Any person may examine docketed material in the office where it 
is maintained. Copies of docketed material other than commercially 
prepared transcripts may be obtained upon payment of the fees prescribed 
in part 7 of this title.

[41 FR 54181, Dec. 13, 1976, as amended at 64 FR 70195, Dec. 16, 1999]



Sec. 211.7  Filing requirements.

    (a) Any person may petition the Administrator for issuance, 
amendment, repeal or permanent or temporary waiver of any rule or 
regulation. A petition for waiver must be submitted at least 3 months 
before the proposed effective date, unless good cause is shown for not 
doing so.
    (b)(1) All petitions and applications subject to this part, 
including applications for special approval under Sec. 211.55 and 
Sec. 238.21 of this chapter, petitions for grandfathering approval under 
Sec. 238.203 of this chapter, and signal applications under parts 235 
and 236 of

[[Page 66]]

this chapter, shall be submitted in triplicate to the FRA Docket Clerk. 
Each petition received shall be acknowledged in writing. The 
acknowledgment shall contain the docket number assigned to the petition 
or application and state the date the petition or application was 
received. Within 60 days following receipt, FRA will advise the 
petitioner or applicant of any deficiencies in its petition or 
application.
    (2) All comments submitted in response to a notice and other 
material pertaining to proceedings subject to this part, including 
comments submitted in response to requests for special approval under 
Sec. 211.55 and Sec. 238.21 of this chapter, petitions for 
grandfathering approval under Sec. 238.203 of this chapter, and signal 
applications under parts 235 and 236 of this chapter, shall be submitted 
to the DOT Central Docket Management System and shall contain the 
assigned docket number for that proceeding. The form of such submissions 
may be in written or electronic form consistent with the standards and 
requirements established by the Central Docket Management System and 
posted on its web site at http://dms.dot.gov.

[64 FR 70195, Dec. 16, 1999]



Sec. 211.9  Content of rulemaking and waiver petitions.

    Each petition for rulemaking or waiver must:
    (a) Set forth the text or substance of the rule, regulation, 
standard or amendment proposed, or specify the rule, regulation or 
standard that the petitioner seeks to have repealed or waived, as the 
case may be;
    (b) Explain the interest of the petitioner, and the need for the 
action requested; in the case of a petition for waiver, explain the 
nature and extent of the relief sought, and identify and describe the 
persons, equipment, installations and locations to be covered by the 
waiver;
    (c) Contain sufficient information to support the action sought 
including an evaluation of anticipated impacts of the action sought; 
each evaluation shall include an estimate of resulting costs to the 
private sector, to consumers, and to Federal, State and local 
governments as well as an evaluation of resulting benefits, quantified 
to the extent practicable. Each petition pertaining to safety 
regulations must also contain relevant safety data.



                    Subpart B--Rulemaking Procedures



Sec. 211.11  Processing of petitions for rulemaking.

    (a) General. Each petition for rulemaking filed as prescribed in 
Secs. 211.7 and 211.9 is referred to the head of the office responsible 
for the subject matter of the petition to review and recommend 
appropriate action to the Administrator. No public hearing or oral 
argument is held before the Administrator decides whether the petition 
should be granted. However, a notice may be published in the Federal 
Register inviting written comments concerning the petition. Each 
petition shall be granted or denied not later than six months after its 
receipt by the Docket Clerk.
    (b) Grants. If the Administrator determines that a rulemaking 
petition complies with the requirements of Sec. 211.9 and that 
rulemaking is justified, he initiates a rulemaking proceeding by 
publishing an advance notice or notice of proposed rulemaking in the 
Federal Register.
    (c) Denials. If the Administrator determines that a rulemaking 
petition does not comply with the requirements of Sec. 211.9 or that 
rulemaking is not justified, he denies the petition. If the petition 
pertains to railroad safety, the Administrator may also initiate an 
informal safety inquiry under Sec. 211.61.
    (d) Notification; closing of docket. Whenever the Administrator 
grants or denies a rulemaking petition, a notice of the grant or denial 
is mailed to the petitioner. If the petition is denied, the proceeding 
is terminated and the docket for that petition is closed.



Sec. 211.13  Initiation and completion of rulemaking proceedings.

    The Administrator initiates all rulemaking proceedings on his own 
motion by publishing an advance notice of proposed rulemaking or a 
notice of proposed rulemaking in the Federal Register. However, he may 
consider the recommendations of interested persons

[[Page 67]]

or other agencies of the United States. A separate docket is established 
and maintained for each rulemaking proceeding. Each rulemaking 
proceeding shall be completed not later than 12 months after the initial 
notice in that proceeding is published in the Federal Register. However, 
if it was initiated as the result of the granting of a rulemaking 
petition, the rulemaking proceeding shall be completed not later than 12 
months after the petition was filed as prescribed in Secs. 211.7 and 
211.9.



Sec. 211.15  Notice and participation.

    (a) Except as provided in paragraph (c) of this section, or when the 
Administrator finds for good cause that notice is impractical, 
unnecessary, or contrary to the public interest (and incorporates the 
findings and a brief statement of the reasons therefore in the rules 
issued), an advance notice or notice of proposed rulemaking is published 
in the Federal Register and interested persons are invited to 
participate in the rulemaking proceedings with respect to each 
substantive rule.
    (b) Unless the Administrator determines that notice and public 
rulemaking proceedings are necessary or desirable, interpretive rules, 
general statements of policy, and rules relating to organization, 
procedure, or practice, including those relating to agency management or 
personnel, are prescribed as final without notice or other public 
rulemaking proceedings.
    (c) An advance notice or notice of proposed rulemaking is issued and 
interested persons are invited to participate in rulemaking proceedings 
with respect only to those procedural and substantive rules of general 
applicability relating to public property, loans, grants, benefits, or 
contracts which the Administrator has determined to be of substantial 
public interest.



Sec. 211.17  Publication and contents of notices.

    Each advance notice or notice of proposed rulemaking is published in 
the Federal Register and includes--
    (a) A statement of the time, place and nature of the proposed 
rulemaking proceeding;
    (b) A reference to the authority under which it is issued;
    (c) A description of the subjects or issues involved or the 
substance or terms of the proposed rule;
    (d) A statement of the time within which written comments must be 
submitted and the required number of copies; and
    (e) A statement of how and to what extent interested persons may 
participate in the proceeding.



Sec. 211.19  Petitions for extensions of time to comment.

    (a) Any person may petition the Administrator for an extension of 
time to submit comments in response to an advance notice or notice of 
proposed rulemaking. The petition must be received by the FRA Docket 
Clerk not later than 10 days before expiration of the time stated in the 
notice and must contain reference to the FRA docket number for the 
proceeding involved. The filing of the petition does not automatically 
extend the time for petitioner's comments.
    (b) The Administrator grants the petition only if the petitioner 
shows a substantive interest in the proposed rule and good cause for the 
extension, and if time permits and the extension is in the public 
interest. Extensions will not be granted unless time permits and will 
not exceed one month. If an extension is granted, it is granted as to 
all persons and a notice of the extension is published in the Federal 
Register.

[41 FR 54181, Dec. 13, 1976, as amended at 64 FR 70195, Dec. 16, 1999]



Sec. 211.21  Consideration of comments received.

    All timely comments are considered before final action is taken on a 
rulemaking proposal. Late-filed comments will be considered so far as 
possible without incurring additional expense or delay.



Sec. 211.23  Additional public proceedings.

    The Administrator may conduct other public proceedings that he finds 
necessary or desirable. For example, he may invite interested persons to 
present oral arguments, participate in

[[Page 68]]

conferences, or appear at informal hearings.



Sec. 211.25  Hearings.

    (a) A hearing will be held if required by statute or the 
Administrator finds it necessary or desirable.
    (b) Except for statutory hearings required to be on the record--
    (1) Hearings are fact-finding proceedings, and there are no formal 
pleadings or adverse parties;
    (2) Any rule issued in a proceeding in which a hearing is held is 
not based exclusively on the record of the hearing; and
    (3) Hearings are conducted in accordance with section 553 of title 
5, U.S.C.; section 556 and 557 of title 5 do not apply to hearings held 
under this part.
    (c) The Administrator conducts or designates a representative to 
conduct any hearing held under this part. The Chief Counsel serves or 
designates a member of his staff to serve as legal officer at the 
hearing.



Sec. 211.27  Publication of adopted rules and withdrawal of notices.

    Whenever the Administrator adopts a final rule or withdraws an 
advance notice or notice of proposed rulemaking, the final rule or a 
notice of withdrawal is published in the Federal Register.



Sec. 211.29  Petitions for reconsideration of a final rule.

    (a) Any person may petition the Administrator for reconsideration of 
any rule issued under this part. Except for good cause shown, such a 
petition must be submitted not later than 60 days after publication of 
the rule in the Federal Register, or 10 days prior to the effective date 
of the rule, whichever is the earlier. The petition must contain a brief 
statement of the complaint and an explanation as to why compliance with 
the rule is not possible, is not practicable, is unreasonable, or is not 
in the public interest.
    (b) If the petitioner requests consideration of additional facts, he 
must state the reason they were not presented to the Administrator 
within the allotted time.
    (c) The Administrator does not consider repetitious petitions.
    (d) Unless the Administrator specifically provides otherwise, and 
publishes notice thereof in the Federal Register, the filing of a 
petition under this section does not stay the effectiveness of a rule.

[41 FR 54181, Dec. 13, 1976, as amended at 42 FR 27593, May 31, 1977]



Sec. 211.31  Proceedings on petitions for reconsideration of a final rule.

    (a) The Administrator may grant or deny, in whole or in part, any 
petition for reconsideration of a final rule without further 
proceedings. Each petition shall be decided not later than 4 months 
after its receipt by the Docket Clerk. In the event he determines to 
reconsider a rule, the Administrator may amend the rule or initiate a 
new rulemaking proceeding. An appropriate notice is published in the 
Federal Register.
    (b) Whenever the Administrator determines that a petition should be 
granted or denied, a notice of the grant or denial of a petition for 
reconsideration is sent to the petitioner. When a petition is granted, a 
notice is published in the Federal Register.
    (c) The Administrator may consolidate petitions relating to the same 
rule.



                           Subpart C--Waivers



Sec. 211.41  Processing of petitions for waiver of safety rules.

    (a) General. Each petition for a permanent or temporary waiver of a 
safety rule, regulation or standard filed as prescribed in Secs. 211.7 
and 211.9, is referred to the Railroad Safety Board for decision and 
decided not later than 9 months after receipt.
    (b) Notice and hearing. If required by statute or the Administrator 
or the Railroad Safety Board deems it desirable, a notice is published 
in the Federal Register, an opportunity for public comment is provided, 
and a hearing is held in accordance with Sec. 211.25, before the 
petition is granted or denied.
    (c) Grants. If the Railroad Safety Board determines that the 
petition complies with the requirements of Sec. 211.9 and that a waiver 
is justified, it grants the petition. Conditions may be imposed on the 
grant of waiver if the

[[Page 69]]

Board concludes they are necessary to assure safety or are in the public 
interest.
    (d) Denials. If the Railroad Safety Board determines that the 
petition does not comply with the requirements of Sec. 211.9 or that a 
waiver is not justified, it denies the petition.
    (e) Notification. Whenever the Railroad Safety Board grants or 
denies a petition, a notice of that grant or denial is sent to the 
petitioner. When a petition has been decided, interested persons are 
also notified or a notice is published in the Federal Register.
    (f) Petition for reconsideration. Any person may petition for 
reconsideration of the grant or denial of a waiver under procedures set 
forth in Sec. 211.57. Each petition shall be processed in accordance 
with Sec. 211.59.



Sec. 211.43  Processing of other waiver petitions.

    (a) General. Except as provided in Sec. 211.41, each petition for a 
permanent or temporary waiver of a rule, regulation or standard shall be 
filed and processed as prescribed in Secs. 211.7 and 211.9.
    (b) Notice and hearing. If required by statute or the Administrator 
deems it desirable, a notice is published in the Federal Register, an 
opportunity for public comment is provided, and a hearing is held in 
accordance with Sec. 211.25, before the petition is granted or denied.
    (c) Grants. If the Administrator determines that the petition 
complies with the requirements of Sec. 211.9 and that a waiver is 
justified, he grants the waiver. Conditions may be imposed on the grant 
of waiver if the Administrator concludes they are necessary to achieve 
the purposes of programs affected by the grant of waiver or are 
otherwise in the public interest.
    (d) Denials. If the Administrator determines that the petition does 
not comply with the requirements of Sec. 211.9 or that a waiver is not 
justified, he denies the waiver.
    (e) Notification. Whenever the Administrator grants or denies a 
petition, a notice of the grant or denial is sent to the petitioner. 
When a petition has been decided, interested persons are also notified 
or a notice is published in the Federal Register.
    (f) Petitions for reconsideration. Any person may petition for 
reconsideration of the grant or denial of a waiver under procedures set 
forth in Sec. 211.57. Each petition shall be processed in accordance 
with Sec. 211.59.



                       Subpart D--Emergency Orders



Sec. 211.47  Review procedures.

    (a) As specified in section 203, Public Law 91-458, 84 Stat. 972 (45 
U.S.C. 432), opportunity for review of Emergency orders issued under 
that section will be provided in accordance with section 554 of title 5 
of the U.S.C.. Petitions for such review must be submitted in writing to 
the Office of Chief Counsel, Federal Railroad Administration, 
Washington, DC 20590. Upon receipt of a petition, FRA will immediately 
contact the petitioner and make the necessary arrangements for a 
conference to be held at the earliest date acceptable to the petitioner. 
At this conference, the petitioner will be afforded an opportunity to 
submit facts, arguments and proposals for modification or withdrawal of 
the Emergency order. If the controversy is not resolved at the 
conference and a hearing is desired, the petitioner must submit a 
written request for a hearing within 15 days after the conference. The 
hearing will commence within 14 calendar days f receipt of the request 
and will be conducted in accordance with sections 556 and 575, title 5, 
U.S.C. Each petition for review shall be decided not later than 3 months 
after receipt.
    (b) Unless stayed or modified by the Administrator, the requirements 
of each Emergency order shall remain in effect and be observed pending 
decision on a petition for review.



    Subpart E--Miscellaneous Safety-Related Proceedings and Inquiries



Sec. 211.51  Tests.

    (a) Pursuant to the Department of Transportation Act (80 Stat. 931, 
49 U.S.C. 1651 et seq.), the Federal Railroad Safety Act of 1970 (84 
Stat. 971, 45 U.S.C. 421, 431-441), or both, the Administrator may 
temporarily suspend compliance with a substantive rule of the Federal 
Railroad Administration, if:

[[Page 70]]

    (1) The suspension is necessary to the conduct of a Federal Railroad 
Administration approved test program designed to evaluate the 
effectiveness of new technology or operational approaches or instituted 
in furtherance of a present or proposed rulemaking proceeding;
    (2) The suspension is limited in scope and application to such 
relief as may be necessary to facilitate the conduct of the test 
program; and
    (3) The suspension is conditioned on the observance of standards 
sufficient to assure safety.
    (b) When required by statute, a notice is published in the Federal 
Register, an opportunity is provided for public comment, and a hearing 
is held in accordance with Sec. 211.25, before the FRA approved test 
program is implemented.
    (c) When the Administrator approves suspension of compliance with 
any rule in connection with a test program, a description of the test 
program containing an explanatory statement responsive to paragraph (a) 
of this section is published in the Federal Register.



Sec. 211.53  Signal applications.

    Applications for approval of discontinuance or material modification 
of a signal system authorized by part 235 or waiver of a requirement of 
part 236 of this chapter must be submitted in triplicate to the 
Secretary, Railroad Safety Board, handled in accordance with procedures 
set forth in part 235 or 236, respectively, and decided not later than 9 
months after receipt. When a decision is issued, the applicant and other 
interested parties are notified or a notice is published in the Federal 
Register.



Sec. 211.55  Special approvals.

    Requests for special approval pertaining to safety not otherwise 
provided for in this chapter, must be submitted in triplicate to the 
Secretary, Railroad Safety Board; specifying the action requested. These 
requests shall be considered by the Board and appropriate action shall 
be taken not later than 9 months after receipt. When a decision is 
issued, the requestor and other interested parties are notified or a 
notice is published in the Federal Register.



Sec. 211.57  Petitions for reconsideration.

    (a) Any person may petition the Administrator for reconsideration of 
final action taken in proceedings subject to subpart C or E of this 
part.
    (b) The petition must specify with particularity the grounds for 
modification or revocation of the action in question.
    (c) The Administrator does not consider repetitious petitions.
    (d) Unless the Administrator specifically provides otherwise, and 
gives notice to interested parties or publishes notice in the Federal 
Register, the filing of a petition under this section does not stay the 
effectiveness of the action sought to be reconsidered.



Sec. 211.59  Proceedings on petitions for reconsideration.

    (a) The Administrator may invite public comment or seek a response 
from the party at whose request the final action was taken before 
deciding a petition for reconsideration submitted under Sec. 211.57.
    (b) The Administrator may reaffirm, modify, or revoke the final 
action without further proceedings and shall issue notification of his 
decision to the petitioner and other interested parties or publish a 
notice in the Federal Register. Each petition for reconsideration shall 
be decided not later than 4 months after receipt. Petitions for 
reconsideration relating to the same rule may be consolidated for 
decision. In the event the Administrator determines to reconsider a 
final action, and appropriate notice is published in the Federal 
Register.



Sec. 211.61  Informal safety inquiries.

    The Administrator may conduct informal safety inquiries to collect 
information on selected topics relating to railroad safety. A notice of 
each such inquiry will be published in the Federal Register outlining 
the area of inquiry and inviting interested persons to assist by 
submitting written material or participating in informal public

[[Page 71]]

conferences and discussions. Upon completion of the inquiry, the 
Administrator will review the information obtained and may, on his own 
motion, initiate a rulemaking proceeding under Sec. 211.13 or take 
whatever other action he deems appropriate.



    Subpart F--Interim Procedures for the Review of Emergency Orders

    Authority: Secs. 203 and 208(a), 84 Stat. 972, 974-975 (45 U.S.C. 
432, 437(a)) and 5 U.S.C. 554-559.

    Source: 44 FR 13029, Mar. 9, 1979, unless otherwise noted.



Sec. 211.71  General.

    (a) This subpart consists of interim procedures for the review of 
emergency orders issued under section 203 of the Federal Railroad Safety 
Act of 1970, supplementing Sec. 211.47 of this part.
    (b) Proceedings under this subpart are subject to the requirements 
of 5 U.S.C. 554-559.
    (c) Notwithstanding Sec. 211.1 of this part, as used in this subpart 
Administrator means the Federal Railroad Administrator or Deputy 
Administrator.



Sec. 211.73  Presiding officer; powers.

    (a) An administrative hearing for the review of an emergency order 
is presided over by the Administrator or by an administrative law judge 
designated at the request of FRA pursuant to 5 CFR 930.213.
    (b) The presiding officer may exercise the powers of the FRA to 
regulate the conduct of the hearing and associated proceedings for the 
purpose of achieving a prompt and fair determination of all material 
issues in controversy.
    (c) The final decision of the presiding officer shall set forth 
findings and conclusions based on the administrative record. That 
decision may set aside, modify or affirm the requirements of the 
emergency order under review.
    (d) Except as provided in Sec. 211.77, the decision of the presiding 
officer is administratively final.



Sec. 211.75  Evidence.

    (a) The Federal Rules of Evidence for United States Courts and 
Magistrates shall be employed as general guidelines for the introduction 
of evidence in proceedings under this subpart. However, except as 
provided in paragraph (b) of this section, all relevant and probative 
evidence offered by a party shall be received in evidence.
    (b) The presiding officer may deny the admission of evidence which 
is determined to be--
    (1) Unduly repetitive; or
    (2) So extensive and lacking in relevance or probative effect that 
its admission would impair the prompt, orderly, and fair resolution of 
the proceeding.



Sec. 211.77  Appeal to the Administrator.

    (a) Any party aggrieved by the final decision of a presiding officer 
(other than the Administrator) may appeal to the Administrator. The 
appeal must be filed within twenty (20) days from issuance of the 
presiding officer's decision and must set forth the specific exceptions 
of the party to the decision, making reference to the portions of the 
administrative record which are believed to support the exceptions. The 
notice of appeal and any supporting papers shall be accompanied by a 
certificate stating that they have been served on all parties to the 
proceeding.
    (b) [Reserved]

 Appendix A to Part 211--Statement of Agency Policy Concerning Waivers 
  Related to Shared Use of Trackage or Rights-of-Way by Light Rail and 
                         Conventional Operations

    1. By statute, the Federal Railroad Administration (FRA) may grant a 
waiver of any rule or order if the waiver ``is in the public interest 
and consistent with railroad safety.'' 49 U.S.C. 20103(d). Waiver 
petitions are reviewed by FRA's Railroad Safety Board (the ``Safety 
Board'') under the provisions of 49 CFR part 211. Waiver petitions must 
contain the information required by 49 CFR 211.9. The Safety Board can, 
in granting a waiver, impose any conditions it concludes are necessary 
to assure safety or are in the public interest. If the conditions under 
which the waiver was granted change substantially, or unanticipated 
safety issues arise, FRA may modify or withdraw a waiver in order to 
ensure safety.
    2. Light rail equipment, commonly referred to as trolleys or street 
railways, is not designed to be used in situations where there is a 
reasonable likelihood of a collision with

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much heavier and stronger conventional rail equipment. However, existing 
conventional railroad tracks and rights-of-way provide attractive 
opportunities for expansion of light rail service.
    3. Light rail operators who intend to share use of the general 
railroad system trackage with conventional equipment and/or whose 
operations constitute commuter service (see Appendix A of 49 CFR part 
209 for relevant definitions) will either have to comply with FRA's 
safety rules or obtain a waiver of appropriate rules. Light rail 
operators whose operations meet the definition of urban rapid transit 
and who will share a right-of-way or corridor with a conventional 
railroad but will not share trackage with that railroad will be subject 
to only those rules that pertain to any significant point of connection 
to the general system, such as a rail crossing at grade, a shared method 
of train control, or shared highway-rail grade crossings.
    4. Shared use of track refers to situations where light rail transit 
operators conduct their operations over the lines of the general system, 
and includes light rail operations that are wholly separated in time 
(temporally separated) from conventional operations as well as light 
rail operations operating on the same trackage at the same time as 
conventional rail equipment (simultaneous joint use). Where shared use 
of general system trackage is contemplated, FRA believes a comprehensive 
waiver request covering all rules for which a waiver is sought makes the 
most sense. FRA suggests that a petitioner caption such a waiver 
petition as a Petition for Approval of Shared Use so as to distinguish 
it from other types of waiver petitions. The light rail operator should 
file the petition. All other affected railroads will be able to 
participate in the waiver proceedings by commenting on the petition and 
providing testimony at a hearing on the petition if anyone requests such 
a hearing. If any other railroad will be affected by the proposed 
operation in such a way as to necessitate a waiver of any FRA rule, that 
railroad may either join with the light rail operator in filing the 
comprehensive petition or file its own petition.
    5. In situations where the light rail operator is an urban rapid 
transit system that will share a right-of-way or corridor with the 
conventional railroad but not share trackage, any waiver petition should 
cover only the rules that may apply at any significant points of 
connection between the rapid transit line and the other railroad. A 
Petition for Approval of Shared Use would not be appropriate in such a 
case.

              I. Preliminary Jurisdictional Determinations

    Where a light rail operator is uncertain whether the planned 
operation will be subject to FRA's safety jurisdiction and, if so, to 
what extent, the operator may wish to obtain FRA's views on the 
jurisdictional issues before filing a waiver petition. In that case, the 
light rail operator (here including a transit authority that may not 
plan to actually operate the system itself) should write to FRA 
requesting such a determination. The letter should be addressed to Chief 
Counsel, Federal Railroad Administration, 1120 Vermont Ave., NW., Mail 
Stop 10, Washington, DC 20590, with a copy to the Associate 
Administrator for Safety at the same address at Mail Stop 25. The letter 
should address the criteria (found in 49 CFR part 209, appendix A) FRA 
uses to determine whether it has jurisdiction over a rail operation and 
to distinguish commuter from urban rapid transit service. A complete 
description of the nature of the contemplated operation is essential to 
an accurate determination. FRA will attempt to respond promptly to such 
a request. Of course, FRA's response will be based only on the facts as 
presented by the light rail operator. If FRA subsequently learns that 
the facts are different from those presented or have changed 
substantially, FRA may revise its initial determination.

 II. General Factors to Address in a Petition for Approval of Shared Use

    1. Like all waiver petitions, a Petition for Approval of Shared Use 
will be reviewed by the Safety Board. A non-voting FTA liaison to the 
Safety Board will participate in an advisory capacity in the Safety 
Board's consideration of all such petitions. This close cooperation 
between the two agencies will ensure that FRA benefits from the 
insights, particularly with regard to operational and financial issues, 
that FTA can provide about light rail operations, as well as from FTA's 
knowledge of and contacts with state safety oversight programs. This 
working relationship will also ensure that FTA has a fuller appreciation 
of the safety issues involved in each specific shared use operation and 
a voice in shaping the safety requirements that will apply to such 
operations.
    2. FRA resolves each waiver request on its own merits based on the 
information presented and the agency's own investigation of the issues. 
In general, the greater the safety risks inherent in a proposed 
operation the greater will be the mitigation measures required. While 
FRA cannot state in advance what kinds of waivers will be granted or 
denied, we can provide guidance to those who may likely be requesting 
waivers to help ensure that their petitions address factors that FRA 
will no doubt consider important.
    3. FRA's procedural rules give a general description of what any 
waiver petition should contain, including an explanation of the nature 
and extent of the relief sought; a description of the persons, 
equipment, installations, and locations to be covered by the

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waiver; an evaluation of expected costs and benefits; and relevant 
safety data. 49 CFR 211.9. The procedural rules, of course, are not 
specifically tailored to situations involving light rail operations over 
the general system, where waiver petitions are likely to involve many of 
FRA's regulatory areas. In such situations, FRA suggests that a Petition 
for Approval of Shared Use address the following general factors.
    A. Description of operations. You should explain the frequency and 
speeds of all operations on the line and the nature of the different 
operations. You should explain the nature of any connections between the 
light rail and conventional operations.
    [sbull]If the light rail line will operate on any segments (e.g., a 
street railway portion) that will not be shared by a conventional 
railroad, describe those segments and their connection with the shared 
use segments. If the petitioner has not previously sought and received a 
determination from FRA concerning jurisdictional issues, explain, using 
the criteria set out in 49 CFR part 209, Appendix A, whether the light 
rail operation is, in the petitioner's view, a commuter operation or 
urban rapid transit.
    [sbull]You should describe precisely what the respective hours of 
operation will be for each type of equipment on the shared use segments. 
If light rail and conventional operations will occur only at different 
times of day, describe what means of protection will ensure that the 
different types of equipment are not operated simultaneously on the same 
track, and how protection will be provided to ensure that, where one set 
of operations begins and the other ends, there can be no overlap that 
would possibly result in a collision.
    [sbull]If the light rail and conventional operations will share 
trackage during the same time periods, the petitioners will face a steep 
burden of demonstrating that extraordinary safety measures will be taken 
to adequately reduce the likelihood of a collision between conventional 
and light rail equipment to the point where the safety risks associated 
with joint use would be acceptable. You should explain the nature of 
such simultaneous joint use, the system of train control, the frequency 
and proximity of both types of operations, the training and 
qualifications of all operating personnel in both types of operations, 
and all methods that would be used to prevent collisions. You should 
also include a quantitative risk assessment concerning the risk of 
collision between the light rail and conventional equipment under the 
proposed operating scenario.
    B. Description of equipment. (1) You should describe all equipment 
that will be used by the light rail and conventional operations. Where 
the light rail equipment does not meet the standards of 49 CFR part 238, 
you should provide specifics on the crash survivability of the light 
rail equipment, such as static end strength, sill height, strength of 
corner posts and collision posts, side strength, etc.
    (2) Given the structural incompatibility of light rail and 
conventional equipment, FRA has grave concerns about the prospect of 
operating these two types of equipment simultaneously on the same track. 
If the light rail and conventional operations will share trackage during 
the same time periods, you should provide an engineering analysis of the 
light rail equipment's resistance to damage in various types of 
collisions, including a worst case scenario involving a failure of the 
collision avoidance systems resulting in a collision between light rail 
and conventional equipment at track speeds.
    C. Alternative safety measures to be employed in place of each rule 
for which waiver is sought. The petition should specify exactly which 
rules the petitioner desires to be waived. For each rule, the petition 
should explain exactly how a level of safety at least equal to that 
afforded by the FRA rule will be provided by the alternative measures 
the petitioner proposes.
    (1) Most light rail operations that entail some shared use of the 
general system will also have segments that are not on the general 
system. FTA's rules on rail fixed guideway systems will probably apply 
to those other segments. If so, the petition for waiver of FRA's rules 
should explain how the system safety program plan adopted under FTA's 
rules may affect safety on the portions of the system where FRA's rules 
apply. Under certain circumstances, effective implementation of such a 
plan may provide FRA sufficient assurance that adequate measures are in 
place to warrant waiver of certain FRA rules.
    (2) In its petition, the light rail operator may want to certify 
that the subject matter addressed by the rule to be waived is addressed 
by the system safety plan and that the light rail operation will be 
monitored by the state safety oversight program. That is likely to 
expedite FRA's processing of the petition. FRA will analyze information 
submitted by the petitioner to demonstrate that a safety matter is 
addressed by the light rail operator's system safety plan. Alternately, 
conditional approval may be requested at an early stage in the project, 
and FRA would thereafter review the system safety program plan's status 
to determine readiness to commence operations. Where FRA grants a 
waiver, the state agency will oversee the area addressed by the waiver, 
but FRA will actively participate in partnership with FTA and the state 
agency to address any safety problems.
    D. Documentation of agreement with affected railroads. Conventional 
railroads that will share track with the light rail operation need not 
join as a co-petitioner in the light

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rail operator's petition. However, the petition should contain 
documentation of the precise terms of the agreement between the light 
rail operator and the conventional railroad concerning any actions that 
the conventional railroad must take to ensure effective implementation 
of alternative safety measures. For example, if temporal separation is 
planned, FRA expects to see the conventional railroad's written 
acceptance of its obligations to ensure that the separation is achieved. 
Moreover, if the arrangements for the light rail service will require 
the conventional railroad to employ any alternative safety measures 
rather than strictly comply with FRA's rules, that railroad will have to 
seek its own waiver (or join in the light rail operator's petition).

   III. Waiver Petitions Involving No Shared Use of Track and Limited 
       Connections Between Light Rail and Conventional Operations

    Even where there is no shared use of track, light rail operators may 
be subject to certain FRA rules based on limited, but significant 
connections to the general system.
    1. Rail crossings at grade. Where a light rail operation and a 
conventional railroad have a crossing at grade, several FRA rules may 
apply to the light rail operation at the point of connection. If 
movements at the crossing are governed by a signal system, FRA's signal 
rules (49 CFR parts 233, 235, and 236) apply, as do the signal 
provisions of the hours of service statute, 49 U.S.C. 21104. To the 
extent radio communication is used to direct the movements, the radio 
rules (part 220) apply. The track rules (part 213) cover any portion of 
the crossing that may affect the movement of the conventional railroad. 
Of course, if the conventional railroad has responsibility for 
compliance with certain of the rules that apply at that point (for 
example, where the conventional railroad maintains the track and signals 
and dispatches all trains), the light rail operator will not have 
compliance responsibility for those rules and would not need a waiver.
    2. Shared train control systems. Where a light rail operation is 
governed by the same train control system as a conventional railroad 
(e.g., at a moveable bridge that they both traverse), the light rail 
operator will be subject to applicable FRA rules (primarily the signal 
rules in parts 233, 235, and 236) if it has maintenance or operating 
responsibility for the system.
    3. Highway-Rail Grade Crossings. Light rail operations over highway-
rail grade crossings also used by conventional trains will be subject to 
FRA's rules on grade crossing signal system safety (part 234) and the 
requirement to have auxiliary lights on locomotives (49 CFR 229.125). 
Even if the conventional railroad maintains the crossing, the light rail 
operation will still be responsible for reporting and taking appropriate 
actions in response to warning system malfunctions.
    In any of these shared right-of-way situations involving significant 
connections, the light rail operator may petition for a waiver of any 
rules that apply to its activities.

   IV. Factors to Address Related to Specific Regulations and Statutes

    Operators of light rail systems are likely to apply for waivers of 
many FRA rules. FRA offers the following suggestions on factors 
petitioners may want to address concerning specific areas of regulation. 
(All ``part'' references are to title 49 CFR.) Parts 209 (Railroad 
Safety Enforcement Procedures), 211 (Rules of Practice), 212 (State 
Safety Participation), and 216 (Special Notice and Emergency Order 
Procedures) are largely procedural rules that are unlikely to be the 
subject of waivers, so those parts are not discussed further. For 
segments of a light rail line not involving operations over the general 
system, assuming the light rail operation meets the definition of 
``rapid transit,'' FRA's standards do not apply and the petition need 
not address those segments with regard to each specific rule from which 
waivers are sought with regard to shared use trackage.

                   1. Track, structures, and signals.

    A. Track safety standards (part 213). For general system track used 
by both the conventional and light rail lines, the track standards apply 
and a waiver is very unlikely. A light rail operation that owns track 
over which the conventional railroad operates may wish to consider 
assigning responsibility for that track to the other railroad. If so, 
the track owner must follow the procedure set forth in 49 CFR 213.5(c). 
Where such an assignment occurs, the owner and assignee are responsible 
for compliance.
    B. Signal systems reporting requirements (part 233). This part 
contains reporting requirements with respect to methods of train 
operation, block signal systems, interlockings, traffic control systems, 
automatic train stop, train control, and cab signal systems, or other 
similar appliances, methods, and systems. If a signal system failure 
occurs on general system track which is used by both conventional and 
light rail lines, and triggers the reporting requirements of this part, 
the light rail operator must file, or cooperate fully in the filing of, 
a signal system report. The petition should explain whether the light 
rail operator or conventional railroad is responsible for maintaining 
the signal system. Assuming that the light rail operator (or a 
contractor hired by this operator) has responsibility for maintaining 
the signal system, that entity is the logical choice to file each signal 
failure report, and a waiver is very unlikely. Moreover, since a

[[Page 75]]

signal failure first observed by a light rail operator can later have 
catastrophic consequences for a conventional railroad using the same 
track, a waiver would jeopardize rail safety on that general system 
trackage. Even if the conventional railroad is responsible for 
maintaining the signal systems, the light rail operator must still 
assist the railroad in reporting all signal failures by notifying the 
conventional railroad of such failures.
    C. Grade crossing signal system safety (part 234). This part 
contains minimum standards for the maintenance, inspection, and testing 
of highway-rail grade crossing warning systems, and also prescribes 
standards for the reporting of system failures and minimum actions that 
railroads must take when such warning systems malfunction. If a grade 
crossing accident or warning activation failure occurs during light rail 
operations on general system track that is used by both conventional and 
light rail lines, the light rail operator must submit, or cooperate with 
the other railroad to ensure the submission of, a report to FRA within 
the required time frame (24 hours for an accident report, or 15 days for 
a grade crossing signal system activation failure report). The petition 
should explain whether the light rail operator or conventional railroad 
is responsible for maintaining the grade crossing devices. Assuming that 
the light rail operator (or a contractor hired by this operator) has 
responsibility for maintaining the grade crossing devices, that entity 
is the logical choice to file each grade crossing signal failure report, 
and a waiver is very unlikely. Moreover, since a grade crossing warning 
device failure first observed by a light rail operator can later have 
catastrophic consequences for a conventional railroad using the same 
track, a waiver would jeopardize rail safety on that general system 
trackage. However, if the conventional railroad is responsible for 
maintaining the grade crossing devices, the light rail operator will 
still have to assist the railroad in reporting all grade crossing signal 
failures. Moreover, regardless of which railroad is responsible for 
maintenance of the grade crossing signals, any railroad (including a 
light rail operation) operating over a crossing that has experienced an 
activation failure, partial activation, or false activation must take 
the steps required by this rule to ensure safety at those locations. 
While the maintaining railroad will retain all of its responsibilities 
in such situations (such as contacting train crews and notifying law 
enforcement agencies), the operating railroad must observe requirements 
concerning flagging, train speed, and use of the locomotive's audible 
warning device.
    D. Approval of signal system modifications (part 235). This part 
contains instructions governing applications for approval of a 
discontinuance or material modification of a signal system or relief 
from the regulatory requirements of part 236. In the case of a signal 
system located on general system track which is used by both 
conventional and light rail lines, a light rail operation is subject to 
this part only if it (or a contractor hired by the operator) owns or has 
responsibility for maintaining the signal system. If the conventional 
railroad does the maintenance, then that railroad would file any 
application submitted under this part; the light rail operation would 
have the right to protest the application under Sec. 235.20. The 
petition should discuss whether the light rail operator or conventional 
railroad is responsible for maintaining the signal system.
    E. Standards for signal and train control systems (part 236). This 
part contains rules, standards, and instructions governing the 
installation, inspection, maintenance, and repair of signal and train 
control systems, devices, and appliances. In the case of a signal system 
located on general system track which is used by both conventional and 
light rail lines, a light rail operation is subject to this part only if 
it (or a contractor hired by the operation) owns or has responsibility 
for installing, inspecting, maintaining, and repairing the signal 
system. If the light rail operation has these responsibilities, a waiver 
would be unlikely because a signal failure would jeopardize the safety 
of both the light rail operation and the conventional railroad. If the 
conventional railroad assumes all of the responsibilities under this 
part, the light rail operation would not need a waiver, but it would 
have to abide by all operational limitations imposed this part and by 
the conventional railroad. The petition should discuss whether the light 
rail operator or conventional railroad has responsibility for 
installing, inspecting, maintaining, and repairing the signal system.

                     2. Motive power and equipment.

    A. Railroad noise emission compliance regulations (part 210). FRA 
issued this rule under the Noise Control Act of 1972, 42 U.S.C. 4916, 
rather than under its railroad safety authority. Because that statute 
included a definition of ``railroad'' borrowed from one of the older 
railroad safety laws, this part has an exception for ``street, suburban, 
or interurban electric railways unless operated as a part of the general 
railroad system of transportation.'' 49 CFR 210.3(b)(2). The petition 
should address whether this exception may apply to the light rail 
operation. Note that this exception is broader than the sole exception 
to the railroad safety statutes (i.e., urban rapid transit not connected 
to the general system). The greater the integration of the light rail 
and conventional operations, the less likely this exception would apply.
    If the light rail equipment would normally meet the standards in 
this rule, there would

[[Page 76]]

be no reason to seek a waiver of it. If it appears that the light rail 
system would neither meet the standards nor fit within the exception, 
the petition should address noise mitigation measures used on the 
system, especially as part of a system safety program. Note, however, 
that FRA lacks the authority to waive certain Environmental Protection 
Agency standards (40 CFR part 201) that underlie this rule. See 49 CFR 
210.11(a).
    B. Railroad freight car safety standards (part 215). A light rail 
operator is likely to move freight cars only in connection with 
maintenance-of-way work. As long as such cars are properly stenciled in 
accordance with section 215.305, this part does not otherwise apply, and 
a waiver would seem unnecessary.
    C. Rear end marking devices (part 221). This part requires that each 
train occupying or operating on main line track be equipped with, 
display, and continuously illuminate or flash a marking device on the 
trailing end of the rear car during periods of darkness or other reduced 
visibility. The device, which must be approved by FRA, must have 
specific intensity, beam arc width, color, and flash rate 
characteristics. A light rail operation seeking a waiver of this part 
will need to explain how other marking devices with which it equips its 
vehicles, or other means such as train control, will provide the same 
assurances as this part of a reduced likelihood of collisions 
attributable to the failure of an approaching train to see the rear end 
of a leading train in time to stop short of it during periods of reduced 
visibility. The petition should describe the light rail vehicle's 
existing marking devices (e.g., headlights, brakelights, taillights, 
turn signal lights), and indicate whether the vehicle bears reflectors. 
If the light rail system will operate in both a conventional railroad 
environment and in streets mixed with motor vehicles, the petition 
should discuss whether adapting the design of the vehicle's lighting 
characteristics to conform to FRA's regulations would adversely affect 
the safety of its operations in the street environment. A light rail 
system that has a system safety program developed under FTA's rules may 
choose to discuss how that program addresses the need for equivalent 
levels of safety when its vehicles operate on conventional railroad 
corridors.
    D. Safety glazing standards (part 223). This part provides that 
passenger car windows be equipped with FRA-certified glazing materials 
in order to reduce the likelihood of injury to railroad employees and 
passengers from the breakage and shattering of windows and avoid 
ejection of passengers from the vehicle in a collision. This part, in 
addition to requiring the existence of at least four emergency windows, 
also requires window markings and operating instructions for each 
emergency window, as well as for each window intended for emergency 
access, so as to provide the necessary information for evacuation of a 
passenger car. FRA will not permit operations to occur on the general 
system in the absence of effective alternatives to the requirements of 
this part that provide an equivalent level of safety. The petition 
should explain what equivalent safeguards are in place to provide the 
same assurance as part 223 that passengers and crewmembers are safe from 
the effects of objects striking a light rail vehicle's windows. The 
petition should also discuss the design characteristics of its equipment 
when it explains how the safety of its employees and passengers will be 
assured during an evacuation in the absence of windows meeting the 
specific requirements of this part. A light rail system that has a 
system safety program plan developed under FTA's rule may be able to 
demonstrate that the plan satisfies the safety goals of this part.
    E. Locomotive safety standards (part 229). (1) This part contains 
minimum safety standards for all locomotives, except those propelled by 
steam power. FRA recognizes that due to the unique characteristics of 
light rail equipment, some of these provisions may be irrelevant to 
light rail equipment, and that others may not fit properly in the 
context of light rail operations. A waiver petition should explain 
precisely how the light rail system's practices will provide for the 
safe condition and operation of its locomotive equipment.
    (2) FRA is not likely to waive completely the provision (section 
229.125) of this rule concerning auxiliary lights designed to warn 
highway motorists of an approaching train. In order to reduce the risk 
of grade crossing accidents, it is important that all locomotives used 
by both conventional railroads and light rail systems present the same 
distinctive profile to motor vehicle operators approaching grade 
crossings on the general railroad system. If uniformity is sacrificed by 
permitting light rail systems to operate locomotives through the same 
grade crossings traversed by conventional trains with light arrangements 
placed in different locations on the equipment, safety could be 
compromised. Accordingly, the vehicle design should maintain the 
triangular pattern required of other locomotives and cab cars to the 
extent practicable.
    (3) FRA is aware that light rail headlights are likely to produce 
less than 200,000 candela. While some light rail operators may choose to 
satisfy the requirements of section 229.125 by including lights on their 
equipment of different candlepower controlled by dimmer switches, the 
headlights on the majority of light rail vehicles will likely not meet 
FRA's minimum requirement. However, based on the nature of the 
operations of light rail transit, FRA recognizes that waivers of the 
minimum candela requirement for transit vehicle headlights seems 
appropriate.

[[Page 77]]

    F. Safety appliance laws (49 U.S.C. 20301-20305). (1) Since certain 
safety appliance requirements (e.g., automatic couplers) are statutory, 
they can only be ``waived'' by FRA under the exemption conditions set 
forth in 49 U.S.C. 20306. Because exemptions requested under this 
statutory provision do not involve a waiver of a safety rule, 
regulation, or standard (see 49 CFR 211.41), FRA is not required to 
follow the rules of practice for waivers contained in part 211. However, 
whenever appropriate, FRA will combine its consideration of any request 
for an exemption under Sec. 20306 with its review under part 211 of a 
light rail operation's petition for waivers of FRA's regulations.
    (2) FRA may grant exemptions from the statutory safety appliance 
requirements in 49 U.S.C. 20301-20305 only if application of such 
requirements would ``preclude the development or implementation of more 
efficient railroad transportation equipment or other transportation 
innovations.'' 49 U.S.C. 20306. The exemption for technological 
improvements was originally enacted to further the implementation of a 
specific type of freight car, but the legislative history shows that 
Congress intended the exemption to be used elsewhere so that ``other 
types of railroad equipment might similarly benefit.'' S. Rep. 96-614 at 
8 (1980), reprinted in 1980 U.S.C.C.A.N. 1156,1164.
    (3) FRA recognizes the potential public benefits of allowing light 
rail systems to take advantage of underutilized urban freight rail 
corridors to provide service that, in the absence of the existing right-
of-way, would be prohibitively expensive. Any petitioner requesting an 
exemption for technological improvements should carefully explain how 
being forced to comply with the existing statutory safety appliance 
requirements would conflict with the exemption exceptions set forth at 
49 U.S.C. 20306. The petition should also show that granting the 
exemption is in the public interest and is consistent with assuring the 
safety of the light rail operator's employees and passengers.
    G. Safety appliance standards (part 231). (1) The regulations in 
this part specify the requisite location, number, dimensions, and manner 
of application of a variety of railroad car safety appliances (e.g., 
handbrakes, ladders, handholds, steps), and directly implement a number 
of the statutory requirements found in 49 U.S.C. 20301-20305. These very 
detailed regulations are intended to ensure that sufficient safety 
appliances are available and able to function safely and securely as 
intended.
    (2) FRA recognizes that due to the unique characteristics of light 
rail equipment, some of these provisions may be irrelevant to light rail 
operation, and that others may not fit properly in the context of light 
rail operations (e.g., crewmembers typically do not perform yard duties 
from positions outside and adjacent to the light rail vehicle or near 
the vehicle's doors). However, to the extent that the light rail 
operation encompasses the safety risks addressed by the regulatory 
provisions of this part, a waiver petition should explain precisely how 
the light rail system's practices will provide for the safe operation of 
its passenger equipment. The petition should focus on the design 
specifications of the equipment, and explain how the light rail system's 
operating practices, and its intended use of the equipment, will satisfy 
the safety purpose of the regulations while providing at least an 
equivalent level of safety.
    H. Passenger equipment safety standards (part 238). This part 
prescribes minimum Federal safety standards for railroad passenger 
equipment. Since a collision on the general railroad system between 
light rail equipment and conventional rail equipment could prove 
catastrophic, because of the significantly greater mass and structural 
strength of the conventional equipment, a waiver petition should 
describe the light rail operation's system safety program that is in 
place to minimize the risk of such a collision. The petition should 
discuss the light rail operation's operating rules and procedures, train 
control technology, and signal system. If the light rail operator and 
conventional railroad will operate simultaneously on the same track, the 
petition should include a quantitative risk assessment that incorporates 
design information and provide an engineering analysis of the light rail 
equipment and its likely performance in derailment and collision 
scenarios. The petitioner should also demonstrate that risk mitigation 
measures to avoid the possibility of collisions, or to limit the speed 
at which a collision might occur , will be employed in connection with 
the use of the equipment on a specified shared-use rail line. This part 
also contains requirements concerning power brakes on passenger trains, 
and a petitioner seeking a waiver in this area should refer to these 
requirements, not those found in 49 CFR part 232.

                         3. Operating practices.

    A. Railroad workplace safety (part 214). (1) This part contains 
standards for protecting bridge workers and roadway workers. The 
petition should explain whether the light rail operator or conventional 
railroad is responsible for bridge work on shared general system 
trackage. If the light rail operator does the work and does similar work 
on segments outside of the general system, it may wish to seek a waiver 
permitting it to observe OSHA standards throughout its system.
    (2) There are no comparable OSHA standards protecting roadway 
workers. The petition should explain which operator is responsible for 
track and signal work on the shared

[[Page 78]]

segments. If the light rail operator does this work, the petition should 
explain how the light rail operator protects these workers. However, to 
the extent that protection varies significantly from FRA's rules, a 
waiver permitting use of the light rail system's standards could be very 
confusing to train crews of the conventional railroad who follow FRA's 
rules elsewhere. A waiver of this rule is unlikely. A petition should 
address how such confusion would be avoided and safety of roadway 
workers would be ensured.
    B. Railroad operating rules (part 217). This part requires filing of 
a railroad's operating rules and that employees be instructed and tested 
on compliance with them. A light rail operation would not likely have 
difficulty complying with this part. However, if a waiver is desired, 
the light rail system should explain how other safeguards it has in 
place provide the same assurance that operating employees are trained 
and periodically tested on the rules that govern train operation. A 
light rail system that has a system safety program plan developed under 
FTA's rules may be in a good position to give such an assurance.
    C. Railroad operating practices (part 218). This part requires 
railroads to follow certain practices in various aspects of their 
operations (protection of employees working on equipment, protection of 
trains and locomotives from collisions in certain situations, 
prohibition against tampering with safety devices, protection of 
occupied camp cars). Some of these provisions (e.g., camp cars) may be 
irrelevant to light rail operations. Others may not fit well in the 
context of light rail operations. To the extent the light rail operation 
presents the risks addressed by the various provisions of this part, a 
waiver provision should explain precisely how the light rail system's 
practices will address those risks. FRA is not likely to waive the 
prohibition against tampering with safety devices, which would seem to 
present no particular burden to light rail operations. Moreover, blue 
signal regulations, which protect employees working on or near 
equipment, are not likely to be waived to the extent that such work is 
performed on track shared by a light rail operation and a conventional 
railroad, where safety may best be served by uniformity.
    D. Control of alcohol and drug use (part 219). FRA will not permit 
operations to occur on the general system in the absence of effective 
rules governing alcohol and drug use by operating employees. FTA's own 
rules may provide a suitable alternative for a light rail system that is 
otherwise governed by those rules. However, to the extent that light 
rail and conventional operations occur simultaneously on the same track, 
FRA is not likely to apply different rules to the two operations, 
particularly with respect to post-accident testing, for which FRA 
requirements are more extensive (e.g., section 219.11(f) addresses the 
removal, under certain circumstances, of body fluid and/or tissue 
samples taken from the remains of any railroad employee who performs 
service for a railroad). (FRA recognizes that in the event of a fatal 
train accident involving a transit vehicle, whether involving temporal 
separation or simultaneous use of the same track, the National 
Transportation Safety Board will likely investigate and obtain its own 
toxicology test results.)
    E. Railroad communications (part 220). A light rail operation is 
likely to have an effective system of radio communication that may 
provide a suitable alternative to FRA's rules. However, the greater the 
need for radio communication between light rail personnel (e.g., train 
crews or dispatchers) and personnel of the conventional railroad (e.g., 
train crews, roadway workers), the greater will be the need for 
standardized communication rules and, accordingly, the less likely will 
be a waiver.
    F. Railroad accident/incident reporting (part 225). (1) FRA's 
accident/incident information is very important in the agency's 
decisionmaking on regulatory issues and strategic planning. A waiver 
petition should indicate precisely what types of accidents and incidents 
it would report, and to whom, under any alternative it proposes. FRA is 
not likely to waive its reporting requirements concerning train 
accidents or highway-rail grade crossing collisions that occur on the 
general railroad system. Reporting of accidents under FTA's rules is 
quite different and would not provide an effective substitute. However, 
with regard to employee injuries, the light rail operation may, absent 
FRA's rules, otherwise be subject to reporting requirements of FTA and 
OSHA and may have an interest in uniform reporting of those injuries 
wherever they occur on the system. Therefore, it is more likely that FRA 
would grant a waiver with regard to reporting of employee injuries.
    (2) Any waiver FRA may grant in the accident/incident reporting area 
would have no effect on FRA's authority to investigate such incidents or 
on the duties of light rail operators and any other affected railroads 
to cooperate with those investigations. See sections 225.31 and 225.35 
and 49 U.S.C. 20107 and 20902. Light rail operators should anticipate 
that FRA will investigate any serious accident or injury that occurs on 
the shared use portion of their lines, even if it occurs during hours 
when only the light rail trains are operating. Moreover, there may be 
instances when FRA will work jointly with FTA and the state agency to 
investigate the cause of a transit accident that occurs off the general 
system under circumstances that raise concerns about the safety of 
operations on the shared use portions. For example, if a transit 
operator using the same light rail equipment

[[Page 79]]

on the shared and non-shared-use portions of its operation has a serious 
accident on the non-shared-use portion, FRA may want to determine 
whether the cause of the accident pointed to a systemic problem with the 
equipment that might impact the transit system's operations on the 
general system. Similarly, where human error might be a factor, FRA may 
want to determine whether the employee potentially at fault also has 
safety responsibilities on the general system and, if so, take 
appropriate action to ensure that corrective action is taken. FRA 
believes its statutory investigatory authority extends as far as 
necessary to address any condition that might reasonably be expected to 
create a hazard to railroad operations within its jurisdiction.
    G. Hours of service laws (49 U.S.C. 21101-21108). (1) The hours of 
service laws apply to all railroads subject to FRA's jurisdiction, and 
govern the maximum work hours and minimum off-duty periods of employees 
engaged in one or more of the three categories of covered service 
described in 49 U.S.C. 21101. If an individual performs more than one 
kind of covered service during a tour of duty, then the most restrictive 
of the applicable limitations control. Under current law, a light rail 
operation could request a waiver of the substantive provisions of the 
hours of service laws only under the ``pilot project'' provision 
described in 49 U.S.C. 21108, provided that the request is based upon a 
joint petition submitted by the railroad and its affected labor 
organizations. Because waivers requested under this statutory provision 
do not involve a waiver of a safety rule, regulation, or standard (see 
49 CFR 211.41), FRA is not required to follow the rules of practice for 
waivers contained in part 211. However, whenever appropriate, FRA will 
combine its consideration of any request for a waiver under Sec. 21108 
with its review under part 211 of a light rail operation's petition for 
waivers of FRA's regulations.
    (2) If such a statutory waiver is desired, the light rail system 
will need to assure FRA that the waiver of compliance is in the public 
interest and consistent with railroad safety. The waiver petition should 
include a discussion of what fatigue management strategies will be in 
place for each category of covered employees in order to minimize the 
effects of fatigue on their job performance. However, FRA is unlikely to 
grant a statutory waiver covering employees of a light rail operation 
who dispatch the trains of a conventional railroad or maintain a signal 
system affecting shared use trackage.
    H. Hours of service recordkeeping (part 228). This part prescribes 
reporting and recordkeeping requirements with respect to the hours of 
service of employees who perform the job functions set forth in 49 
U.S.C. 21101. As a general rule, FRA anticipates that any waivers 
granted under this part will only exempt the same groups of employees 
for whom a light rail system has obtained a waiver of the substantive 
provisions of the hours of service laws under 49 U.S.C. 21108. Since it 
is important that FRA be able to verify that a light rail operation is 
complying with the on- and off-duty restrictions of the hour of service 
laws for all employees not covered by a waiver of the laws' substantive 
provisions, it is unlikely that any waiver granted of the reporting and 
recordkeeping requirements would exclude those employees. However, in a 
system with fixed work schedules that do not approach 12 hours on duty 
in the aggregate, it may be possible to utilize existing payroll records 
to verify compliance.
    I. Passenger train emergency preparedness (part 239). This part 
prescribes minimum Federal safety standards for the preparation, 
adoption, and implementation of emergency preparedness plans by 
railroads connected with the operation of passenger trains. FRA's 
expectation is that by requiring affected railroads to provide 
sufficient emergency egress capability and information to passengers, 
along with mandating that these railroads coordinate with local 
emergency response officials, the risk of death or injury from accidents 
and incidents will be lessened. A waiver petition should state whether 
the light rail system has an emergency preparedness plan in place under 
a state system safety program developed under FTA's rules for the light 
rail operator's separate street railway segments. Under a system safety 
program, a light rail operation is likely to have an effective plan for 
dealing with emergency situations that may provide an equivalent 
alternative to FRA's rules. To the extent that the light rail 
operation's plan relates to the various provisions of this part, a 
waiver petition should explain precisely how each of the requirements of 
this part is being addressed. The petition should especially focus on 
the issues of communication, employee training, passenger information, 
liaison relationships with emergency responders, and marking of 
emergency exits.
    J. Qualification and certification of locomotive engineers (part 
240). This part contains minimum Federal safety requirements for the 
eligibility, training, testing, certification, and monitoring of 
locomotive engineers. Those who operate light rail trains may have 
significant effects on the safety of light rail passengers, motorists at 
grade crossings, and, to the extent trackage is shared with conventional 
railroads, the employees and passengers of those railroads. The petition 
should describe whether a light rail system has a system safety plan 
developed under FTA's rules that is likely to have an effective means of 
assuring that the operators, or ``engineers,'' of its equipment receive 
the necessary training and have proper skills to operate a light rail 
vehicle in

[[Page 80]]

shared use on the general railroad system. The petition should explain 
what safeguards are in place to ensure that light rail engineers receive 
at least an equivalent level of training, testing, and monitoring on the 
rules governing train operations to that received by locomotive 
engineers employed by conventional railroads and certified under part 
240. Any light rail system unable to meet this burden would have to 
fully comply with the requirements of part 240. Moreover, where a 
transit system intends to operate simultaneously on the same track with 
conventional equipment, FRA will not be inclined to waive the part 240 
requirements. In that situation, FRA's paramount concern would be 
uniformity of training and qualifications of all those operating trains 
on the general system, regardless of the type of equipment.

    V. Waivers That May be Appropriate for Time-Separated Light Rail 
                               Operations

    1. The foregoing discussion of factors to address in a petition for 
approval of shared use concerns all such petitions and, accordingly, is 
quite general. FRA is willing to provide more specific guidance on where 
waivers may be likely with regard to light rail operations that are 
time-separated from conventional operations. FRA's greatest concern with 
regard to shared use of the general system is a collision between light 
rail and conventional trains on the same track. Because the results 
could well be catastrophic, FRA places great emphasis on avoiding such 
collisions. The surest way to guarantee that such collisions will not 
occur is to strictly segregate light rail and conventional operations by 
time of day so that the two types of equipment never share the same 
track at the same time. This is not to say that FRA will not entertain 
waiver petitions that rely on other methods of collision avoidance such 
as sophisticated train control systems. However, petitioners who do not 
intend to separate light rail from conventional operations by time of 
day will face a steep burden of demonstrating an acceptable level of 
safety. FRA does not insist that all risk of collision be eliminated. 
However, given the enormous severity of the likely consequences of a 
collision, the demonstrated risk of such an event must be extremely 
remote.
    2. There are various ways of providing such strict separation by 
time. For example, freight operations could be limited to the hours of 
midnight to 5 a.m. when light rail operations are prohibited. Or, there 
might be both a nighttime and a mid-day window for freight operation. 
The important thing is that the arrangement not permit simultaneous 
operation on the same track by clearly defining specific segments of the 
day when only one type of operation may occur. Mere spacing of train 
movements by a train control system does not constitute this temporal 
separation.
    3. FRA is very likely to grant waivers of many of its rules where 
complete temporal separation between light rail and conventional 
operations is demonstrated in the waiver request. The chart below lists 
each of FRA's railroad safety rules and provides FRA's view on whether 
it is likely to grant a waiver in a particular area where temporal 
separation is assured. Where the ``Likely Treatment'' column says 
``comply'' a waiver is not likely, and where it says ``waive'' a waiver 
is likely. Of course, FRA will consider each petition on its own merits 
and one should not presume, based on the chart, that FRA will grant or 
deny any particular request in a petition. This chart is offered as 
general guidance as part of a statement of policy, and as such does not 
alter any safety rules or obligate FRA to follow it in every case. This 
chart assumes that the operations of the local rail transit agency on 
the general railroad system are completely separated in time from 
conventional railroad operations, and that the light rail operation 
poses no atypical safety hazards. FRA's procedural rules on matters such 
as enforcement (49 CFR parts 209 and 216), and its statutory authority 
to investigate accidents and injuries and take emergency action to 
address an imminent hazard of death or injury, would apply to these 
operations in all cases.
    4. Where waivers are granted, a light rail operator would be 
expected to operate under a system safety plan developed in accordance 
with the FTA state safety oversight program. The state safety oversight 
agency would be responsible for the safety oversight of the light rail 
operation, even on the general system, with regard to aspects of that 
operation for which a waiver is granted. (The ``Comments'' column of the 
chart shows ``State Safety Oversight'' where waivers conditioned on such 
state oversight are likely.) FRA will coordinate with FTA and the state 
agency to address any serious safety problems. If the conditions under 
which the waiver was granted change substantially, or unanticipated 
safety issues arise, FRA may modify or withdraw a waiver in order to 
ensure safety. On certain subjects where waivers are not likely, the 
``Comments'' column of the chart makes special note of some important 
regulatory requirements that the light rail system will have to observe 
even if it is not primarily responsible for compliance with that 
particular rule.

[[Page 81]]



   Possible Waivers for Light Rail Operations on the General Railroad System Based on Separation in Time From
                                             Conventional Operations
----------------------------------------------------------------------------------------------------------------
          Title 49 CFR part                Subject of rule          Likely treatment             Comments
----------------------------------------------------------------------------------------------------------------
Track, Structures, and Signals
----------------------------------------------------------------------------------------------------------------
213..................................  Track safety standards.  Comply (assuming light   If the conventional RR
                                                                 rail operator owns       owns the track, light
                                                                 track or has been        rail will have to
                                                                 assigned                 observe speed limits
                                                                 responsibility for it).  for class of track.
233, 235, 236........................  Signal and train         Comply (assuming light   If conventional RR
                                        control.                 rail operator or its     maintains signals,
                                                                 contractor has           light rail will have
                                                                 responsibility for       to abide by
                                                                 signal maintenance).     operational
                                                                                          limitations and report
                                                                                          signal failures.
234..................................  Grade crossing signals.  Comply (assuming light   If conventional RR
                                                                 rail operator or its     maintains devices,
                                                                 contractor has           light rail will have
                                                                 responsibility for       to comply with
                                                                 crossing devices).       sections concerning
                                                                                          crossing accidents,
                                                                                          activation failures,
                                                                                          and false activations.
213, Appendix C......................  Bridge safety policy...  Not a rule. Compliance
                                                                 voluntary..
--------------------------------------
Motive Power and Equipment
----------------------------------------------------------------------------------------------------------------
210..................................  Noise emission.........  Waive..................  State safety oversight.
215..................................  Freight car safety       Waive..................  State safety oversight.
                                        standards.
221..................................  Rear end marking         Waive..................  State safety oversight.
                                        devices.
223..................................  Safety glazing           Waive..................  State safety oversight.
                                        standards.
229..................................  Locomotive safety        Waive, except for        State safety oversight.
                                        standards.               arrangement of
                                                                 auxiliary lights,
                                                                 which is important for
                                                                 grade crossing safety.
231*.................................  Safety appliance         Waive..................  State safety oversight;
                                        standards.                                        see note below on
                                                                                          statutory
                                                                                          requirements.
238..................................  Passenger equipment      Waive..................  State safety oversight.
                                        standards.
--------------------------------------
Operating Practices
----------------------------------------------------------------------------------------------------------------
214..................................  Bridge worker..........  Waive..................  OSHA standards.
214..................................  Roadway worker safety..  Comply.................
217..................................  Operating rules........  Waive..................  State safety oversight.
218..................................  Operating practices....  Waive, except for        State safety oversight.
                                                                 prohibition on
                                                                 tampering with safety
                                                                 devices related to
                                                                 signal system, and
                                                                 blue signal rules on
                                                                 shared track.
219..................................  Alcohol and drug.......  Waive if FTA rule        FTA rule may apply.
                                                                 otherwise applies.
220..................................  Radio communications...  Waive, except to extent  State safety oversight.
                                                                 communications with
                                                                 freight trains and
                                                                 roadway workers are
                                                                 necessary.
225..................................  Accident reporting and   Comply with regard to    Employee injuries would
                                        investigation.           train accidents and      be reported under FTA
                                                                 crossing accidents;      or OSHA rules.
                                                                 waive as to injuries;
                                                                 FRA accident
                                                                 investigation
                                                                 authority not subject
                                                                 to waiver.
228**................................  Hours of service         Waive (in concert with   See note below on
                                        recordkeeping.           waiver of statute);      possible waiver of
                                                                 waiver not likely for    statutory
                                                                 personnel who dispatch   requirements.
                                                                 conventional RR or
                                                                 maintain signal system
                                                                 on shared use track.
239..................................  Passenger train          Waive..................  State safety oversight.
                                        emergency preparedness.
240..................................  Engineer certification.  Waive..................  State safety oversight.
 
----------------------------------------------------------------------------------------------------------------
* Safety Appliance Statute. Certain safety appliance requirements (e.g., automatic couplers) are statutory and
  can only be waived under the conditions set forth in 49 U.S.C. 20306, which permits exemptions if application
  of the requirements would ``preclude the development or implementation of more efficient railroad
  transportation equipment or other transportation innovations.'' If consistent with employee safety, FRA could
  probably rely on this provision to address most light rail equipment that could not meet the standards.
** Hours of Service Statute. Currently, 49 U.S.C. 21108 permits FRA to waive substantive provisions of the hours
  of service laws based upon a joint petition by the railroad and affected labor organizations, after notice and
  an opportunity for a hearing. This is a ``pilot project'' provision, so waivers are limited to two years but
  may be extended for additional two-year periods after notice and an opportunity for comment.


[65 FR 42546, July 10, 2000]

[[Page 82]]



PART 212--STATE SAFETY PARTICIPATION REGULATIONS--Table of Contents




                           Subpart A--General

Sec.
212.1 Purpose and scope.
212.3 Definitions.
212.5 Filing.

                     Subpart B--State/Federal Roles

212.101 Program principles.
212.103 Investigative and surveillance authority.
212.105 Agreements.
212.107 Certification.
212.109 Joint planning of inspections.
212.111 Monitoring and other inspections.
212.113 Program termination.
212.115 Enforcement actions.

                  Subpart C--State Inspection Personnel

212.201 General qualifications of State inspection personnel.
212.203 Track inspector.
212.205 Apprentice track inspector.
212.207 Signal and train control inspector.
212.209 Train control inspector.
212.211 Apprentice signal and train control inspector.
212.213 Motive power and equipment (MP&E) inspector.
212.215 Locomotive inspector.
212.217 Car inspector.
212.219 Apprentice MP&E inspector.
212.221 Operating practices inspector.
212.223 Operating practices compliance inspector.
212.225 Apprentice operating practices inspector.
212.227 Hazardous materials inspector.
212.229 Apprentice hazardous materials inspector.
212.231 Highway-rail grade crossing inspector.
212.233 Apprentice highway-rail grade crossing inspector.
212.235 Inapplicable qualification requirements.

    Authority: 49 U.S.C. 20103, 20106, 20105, and 20113 (formerly secs. 
202, 205, 206, and 208, of the Federal Railroad Safety Act of 1970, as 
amended (45 U.S.C. 431, 434, 435, and 436)); and 49 CFR 1.49.

    Source: 47 FR 41051, Sept. 16, 1982, unless otherwise noted.



                           Subpart A--General



Sec. 212.1  Purpose and scope.

    This part establishes standards and procedures for State 
participation in investigative and surveillance activities under the 
Federal railroad safety laws and regulations.



Sec. 212.3  Definitions.

    As used in this part:
    (a) Administrator means the Federal Railroad Administrator or the 
Deputy Administrator or the delegate of either of them.
    (b) Associate Administrator means the Associate Administrator for 
Safety, Federal Railroad Administration (FRA), or the Deputy Associate 
Administrator for Safety, FRA.
    (c) FRA means the Federal Railroad Administration.
    (d) Federal railroad safety laws means the following enactments, 
together with regulations and orders issued under their authority:
    (1) The Federal Railroad Safety Act of 1970, as amended (45 U.S.C. 
421, 431-441);
    (2) The Safety Appliance Acts, as amended (45 U.S.C. 1-16);
    (3) The Locomotive Inspection Act, as amended (45 U.S.C. 22-34);
    (4) The Signal Inspection Act, as amended (49 U.S.C. 26);
    (5) The Accident Reports Act, as amended (45 U.S.C. 38-42);
    (6) The Hours of Service Act, as amended (45 U.S.C. 61-64(b); and
    (7) The Hazardous Materials Transportation Act (49 app. U.S.C. 1801 
et seq.), as it pertains to shipment or transportation by railroad.
    (e) Manufacturer means a person that manufactures, fabricates, 
marks, maintains, reconditions, repairs, or tests containers which are 
represented, marked, certified, or sold for use in the bulk 
transportation of hazardous materials by railroad.
    (f) Shipper means a person that offers a hazardous material for 
transportation or otherwise causes it to be transported.
    (g) Planned compliance inspections means investigative and 
surveillance activities described in the annual work plan required by 
Sec. 212.109 of this part that provide basic surveillance of railroad 
facilities, equipment and/or operations for the purpose of determining 
the level of compliance with relevant Federal safety requirements.

[47 FR 41051, Sept. 16, 1982, as amended at 57 FR 28115, June 24, 1992]

[[Page 83]]



Sec. 212.5  Filing.

    Each State agency desiring to conduct investigative and surveillance 
activities must submit to the Associate Administrator for Safety, 
Federal Railroad Administration, 400 Seventh Street, SW., Washington, DC 
20590, the documentation which contains the information prescribed by 
Secs. 212.105 and 212.107.



                     Subpart B--State/Federal Roles



Sec. 212.101  Program principles.

    (a) The purpose of the national railroad safety program is to 
promote safety in all areas of railroad operations in order to reduce 
deaths, injuries and damage to property resulting from railroad 
accidents.
    (b)(1) The national railroad safety program is carried out in part 
through the issuance of mandatory Federal safety requirements and 
through inspection efforts designed to monitor compliance with those 
requirements. FRA and State inspections determine the extent to which 
the railroads, shippers, and manufacturers have fulfilled their 
obligations with respect to inspection, maintenance, training, and 
supervision. The FRA and participating States do not conduct inspections 
of track, equipment, signal systems, operating practices, and hazardous 
materials handling for the railroads, shippers, and manufacturers.
    (2) The national railroad safety program is also carried out through 
routine inspections, accident investigations, formal and informal 
educational efforts, complaint investigations, safety assessments, 
special inquiries, regulatory development, research and similar 
initiatives.
    (c) It is the policy of the FRA to maintain direct oversight of 
railroad, shipper, and manufacturer conditions and practices relevant to 
safety by conducting inspections and investigations in concert with 
participating State agencies.
    (d) The principal role of the State Safety Participation Program in 
the national railroad safety effort is to provide an enhanced 
investigative and surveillance capability through assumption, by 
participating State agencies, of responsibility for planned routine 
compliance inspections. The FRA encourages further State contributions 
to the national railroad safety program consistent with overall program 
needs, individual State capabilities, and the willingness of the States 
to undertake additional investigative and surveillance activities.
    (e) It is the policy of the FRA to promote the growth and vitality 
of the State Safety Participation Program through liaison with State 
government, coordination of Federal and State investigative and 
surveillance activities, and training of inspection personnel.

[47 FR 41051, Sept. 16, 1982, as amended at 57 FR 28115, June 24, 1992]



Sec. 212.103  Investigative and surveillance authority.

    (a) Subject to the requirements of this part, a State agency with 
jurisdiction under State law may participate in investigative and 
surveillance activities concerning Federal railroad safety laws and 
regulations by entering into an agreement under Sec. 212.105 for the 
exercise of specified authority.
    (b) Subject to requirements of this part, a State agency with 
jurisdiction under State law may participate in investigative and 
surveillance activities with respect to particular rules, regulations, 
orders or standards issued under the regulatory authority of the Federal 
Railroad Safety Act of 1970 by filing an annual certification under 
Sec. 212.107.



Sec. 212.105  Agreements.

    (a) Scope. The principal method by which States may participate in 
investigative and surveillance activities is by agreement with FRA. An 
agreement may delegate investigative and surveillance authority with 
respect to all or any part of the Federal railroad safety laws.
    (b) Duration. An agreement may be for a fixed term or for an 
indefinite duration.
    (c) Amendments. An agreement may be amended to expand or contract 
its scope by consent of FRA and the State.
    (d) Common terms. Each agreement entered into under this section 
provides that:

[[Page 84]]

    (1) The State agency is delegated certain specified authority with 
respect to investigative and surveillance activities;
    (2) The delgation is effective only to the extent it is carried out 
through personnel recognized by the State and the FRA (pursuant to 
subpart C of this part) to be qualified to perform the particular 
investigative and surveillance activities to which the personnel are 
assigned; and
    (3) The State agency agrees to provide the capability necessary to 
assure coverage of facilities, equipment, and operating practices 
through planned routine compliance inspections for all, or a specified 
part of, the territory of the State.
    (e) Request for agreement. A request for agreement shall contain the 
following information:
    (1) An opinion of the counsel for the State agency stating that:
    (i) The agency has jurisdiction over the safety practices of the 
facilities, equipment, rolling stock, and operations of railroads in 
that State and whether the agency has jurisdiction over shippers and 
manufacturers;
    (ii) The agency has the authority and capability to conduct 
investigative and surveillance activities in connection with the rules, 
regulations, orders, and standards issued by the Administrator under the 
Federal railroad safety laws; and
    (iii) State funds may be used for this purpose.
    (2) A statement that the State agency has been furnished a copy of 
each Federal safety statute, rule, regulation, order, or standard 
pertinent to the State's participation;
    (3) The names of the railroads operating in the State together with 
the number of miles of main and branch lines operated by each railroad 
in the State;
    (4) The name, title and telephone number of the person designated by 
the agency to coordinate the program; and
    (5) A description of the organization, programs, and functions of 
the agency with respect to railroad safety.
    (f) Developmental agreement. Consistent with national program 
requirements, the Associate Administrator may enter into an agreement 
under this section prior to the qualification of inspection personnel of 
the State under subpart C of this part. In such a case, the agreement 
shall (1) specify the date at which the State will assume investigative 
and surveillance duties, and (2) refer to any undertaking by the FRA to 
provide training for State inspection personnel, including a schedule 
for the training courses that will be made available.
    (g) Action on request. The Associate Administrator responds to a 
request for agreement by entering into an agreement based on the 
request, by declining the request, or by suggesting modifications.

(Approved by the Office of Management and Budget under control number 
2130-0509)

[47 FR 41051, Sept. 16, 1982, as amended at 57 FR 28115, June 24, 1992]



Sec. 212.107  Certification.

    (a) Scope. In the event the FRA and the State agency do not agree on 
terms for the participation of the State under Sec. 212.105 of this part 
and the State wishes to engage in investigative and surveillance 
activities with respect to any rule, regulation, order, or standard 
issued under the authority of the Federal Railroad Safety Act of 1970, 
the State shall file an annual certification with respect to such 
activities.
    (b) Content. The annual certification shall be filed not less than 
60 days before the beginning of the Federal fiscal year to which it 
applies, shall contain the information required by Sec. 212.105(e) of 
this part and, in addition, shall certify that:
    (1) The State agency has the authority and capability to conduct 
investigative and surveillance activities under the requirements of this 
part with respect to each rule, regulation, order or standard for which 
certification is submitted; and
    (2) The State agency will, at a minimum, conduct planned compliance 
inspections meeting the level of effort prescribed in the applicable 
appendix to this part.
    (c) Action on certification. The Associate Administrator responds to 
the filing of an annual certification within 60 days of its receipt by 
accepting it or by rejecting it for cause stated.

[[Page 85]]

    (d) Delegation of authority. Acceptance of an annual certification 
constitutes a delegation of authority to conduct investigative and 
surveillance activities only to the extent that the delegation is 
carried out through personnel recognized by the State and the FRA 
(pursuant to subpart C of this part) to be qualified to perform the 
particular investigative and surveillance activities to which the 
personnel are assigned.

(Approved by the Office of Management and Budget under control number 
2130-0509)



Sec. 212.109  Joint planning of inspections.

    Prior to the beginning of each calendar year, each participating 
State applying for grant assistance under subpart D of this part shall 
develop, in conjunction with the FRA Regional Director of the region in 
which the State is located, an annual work plan for the conduct of 
investigative and surveillance activities by the State agency. The plan 
shall include a program of inspections designed to monitor the 
compliance of the railroads, shippers, and manufacturers operating 
within the State (or portion thereof) with applicable Federal railroad 
safety laws and regulations. In the event the participating State and 
the FRA Regional Director cannot agree on an annual work plan, the 
Associate Administrator for Safety shall review the matter.

(Approved by the Office of Management and Budget under control number 
2130-0509)

[57 FR 28115, June 24, 1992]



Sec. 212.111  Monitoring and other inspections.

    (a) It is the policy of the FRA to monitor State investigative and 
surveillance practices at the program level.
    (b) It is the policy of the FRA to coordinate its direct inspection 
and investigative functions in participating States with the responsible 
State agency, providing prior advice to the States whenever practicable.
    (c) The FRA may conduct such monitoring of State investigative and 
surveillance practices and such other inspection and investigation as 
may be necessary to aid in the enforcement of the Federal railroad 
safety laws.



Sec. 212.113  Program termination.

    (a) A State agency participating in investigative and surveillance 
activities by agreement or certification shall provide thirty (30) days 
notice of its intent to terminate its participation.
    (b) The Administrator may, on his own initiative, terminate the 
participation of a State agency if, after at least thirty (30) days 
notice an opportunity for oral hearing under section 553 of title 5 
U.S.C., the State agency does not establish that it has complied and is 
complying with:
    (1) The requirements of this part;
    (2) Relevant directives, enforcement manuals, and written 
interpretations of law and regulations provided by the FRA for guidance 
of the program; and
    (3) The rule of national uniformity of laws, rules, regulations, 
orders, and standards relating to railroad safety as expressed in 
section 205 of the Federal Railroad Safety Act of 1970 (45 U.S.C. 434).



Sec. 212.115  Enforcement actions.

    (a) Except as provided in paragraph (b) of this section, the FRA 
reserves exclusive authority to assess and compromise penalties, to 
issue emergency orders and compliance orders, institute or cause to be 
instituted actions for collection of civil penalties or for injunctive 
relief, and to commence any and all other enforcement actions under the 
Federal railroad safety laws.
    (b)(1) Section 207(a) of the Federal Railroad Safety Act of 1970, as 
amended (45 U.S.C. 436(a)), authorizes a participating State to bring an 
action for assessment and collection of a civil penalty in a Federal 
district court of proper venue, if the FRA has not acted on a request 
for civil penalty assessment originated by the State, within sixty (60) 
days of receipt, by assessing the penalty or by determining in writing 
that no violation occurred.
    (2) Section 207(b) of the Federal Railroad Safety Act of 1970, as 
amended (45 U.S.C. 436(b)), authorizes a participating State to bring an 
action for injunctive relief in a Federal district court of proper 
venue, if the FRA has not acted on a request to initiate such

[[Page 86]]

an action within fifteen (15) days of receipt, by referring the matter 
to the Attorney General for litigation, by undertaking other enforcement 
action, or by determining in writing that no violation has occurred.
    (3) For purposes of this paragraph, a request for legal action is 
deemed to be received when a legally sufficient investigative report 
specifying the action requested is received by the designated FRA 
offices.
    (c)(1) Requests for civil penalty assessments and other 
administrative actions shall be submitted to the FRA Regional Director 
for Railroad Safety for the FRA region in which the State is located.
    (2) Requests for the institution of injunctive actions shall be 
submitted simultaneously to (i) the FRA Regional Director for Railroad 
Safety for the FRA region in which the State is located and (ii) the 
Enforcement Division, Office of Chief Counsel, FRA, Washington, DC 
20590.



                  Subpart C--State Inspection Personnel



Sec. 212.201  General qualifications of State inspection personnel.

    (a) This subpart prescribes the minimum qualification requirements 
for State railroad safety inspectors, compliance inspectors and 
inspector apprentices. A State agency may establish more stringent or 
additional requirements for its employees.
    (b) An inspector, compliance inspector, or apprentice inspector 
shall be recognized as qualified under this part by the State agency and 
the Associate Administrator prior to assuming the responsibilities of 
the position.
    (c) Each inspector, compliance inspectors and apprentice inspector 
shall be a bona fide employee of the State agency.
    (d) Each inspector, compliance inspector, and apprentice inspector 
shall demonstrate:
    (1) The ability to read and comprehend written materials such as 
training and enforcement manuals, regulations, operating and safety 
rules of the railroad, and similar materials;
    (2) The ability to compose narrative reports of investigative 
findings that are clear, complete, and grammatically acceptable;
    (3) The ability to record data on standard report forms with a high 
degree of accuracy;
    (4) The ability to communicate orally; and
    (5) Basic knowledge of rail transportation functions, the 
organization of railroad, shipper, and manufacturer companies, and 
standard industry rules for personal safety.
    (e) Each inspector shall demonstrate a thorough knowledge of:
    (1) Railroad rules, practices, record systems, and terminology 
common to operating and maintenance functions; and
    (2) The scope and major requirements of all of the Federal railroad 
safety laws and regulations.
    (f) In addition to meeting the requirements of this section, each 
inspector and apprentice inspector shall meet the applicable 
requirements of Secs. 212.203 through 212.229 of this subpart.

[47 FR 41051, Sept. 16, 1982, as amended at 57 FR 28115, June 24, 1992]



Sec. 212.203  Track inspector.

    (a) The track inspector is required, at a minimum, to be able to 
conduct independent inspections of track structures for the purpose of 
determining compliance with the Track Safety Standards (49 CFR part 
213), to make reports of those inspections, and to recommend the 
institution of enforcement actions when appropriate to promote 
compliance.
    (b) The track inspector is required, at a minimum to have at least 
four years of recent experience in track construction or maintenance. A 
bachelor's degree in engineering or a related technical specialization 
may be substituted for two of the four years of this experience 
requirement and successful completion of the apprentice training program 
may be substituted for the four years of this experience requirement.
    (c) The track inspector shall demonstrate the following specific 
qualifications:
    (1) A comprehensive knowledge of track nomenclature, track 
inspection techniques, track maintenance methods, and track equipment;

[[Page 87]]

    (2) The ability to understand and detect deviations from:
    (i) Track maintenance standards accepted in the industry; and
    (ii) The Track Safety Standards (49 CFR part 213).
    (3) Knowledge of operating practices and vehicle/track interaction 
sufficient to understand the safety significance of deviations and 
combinations of deviations; and
    (4) Specialized knowledge of the requirements of the Track Safety 
Standards, including the remedial action required to bring defective 
track into compliance with the standards.



Sec. 212.205  Apprentice track inspector.

    (a) The apprentice track inspector must be enrolled in a program of 
training prescribed by the Associate Administrator leading to 
qualification as a track inspector. The apprentice track inspector may 
not participate in investigative and surveillance activities, except as 
an assistant to a qualified State or FRA inspector while accompanying 
that qualified inspector.
    (b) An apprentice track inspector shall demonstrate basic knowledge 
of track inspection techniques, track maintenance methods, and track 
equipment prior to being enrolled in the program.



Sec. 212.207  Signal and train control inspector.

    (a) The signal and train control inspector is required, at a 
minimum, to be able to conduct independent inspections of all types of 
signal and train control systems for the purpose of determining 
compliance with the Rules, Standards and Instructions for Railroad 
Signal Systems (49 CFR part 236), to make reports of those inspections, 
and to recommend the institution of enforcement actions when appropriate 
to promote compliance.
    (b) The signal and train inspector is required, at a minimum, to 
have at least four years of recent experience in signal construction or 
maintenance. A bachelor's degree in electrical engineering or a related 
technical specialization may be substituted for two of the four years of 
this experience requirement and successful completion of the apprentice 
training program may be substituted for the four years of this 
requirement.
    (c) The signal and train control inspector shall demonstrate the 
following specific qualifications:
    (1) A comprehensive knowledge of signal and train control systems, 
maintenance practices, test and inspection techniques;
    (2) The ability to understand and detect deviations from:
    (i) Signal and train control maintenance standards accepted in the 
industry; and
    (ii) The Rules, Standards and Instructions for Railroad Signal 
Systems (49 CFR part 236).
    (3) The ability to examine plans and records, to make inspections of 
signal train control systems and to determine adequacy of stopping 
distances from prescribed speeds;
    (4) Knowledge of operating practices and signal systems sufficient 
to understand the safety significance of deviations and combination of 
deviations; and
    (5) Specialized knowledge of the requirements of the Rules, 
Standards and Instructions for Railroad Signal Systems, including the 
remedial action required to bring signal and train control systems into 
compliance with the standards.



Sec. 212.209  Train control inspector.

    (a) The train control inspector is required, at a minimum, to be 
able to conduct independent inspections of automatic cab signal, 
automatic train stop, and automatic train control devices on board 
locomotives for the purpose of determining compliance with subpart E of 
the Rules, Standards and Instructions for Railroad Signal Systems (49 
CFR part 236) and to recommend the institution of enforcement action 
when appropriate to promote compliance.
    (b) The train control inspector is required, at a minimum, to have 
at least four years of recent experience in locomotive construction or 
maintenance. A bachelor's degree in electrical engineering or a related 
technical specialization may be substituted for two of the four years of 
this experience requirement and successful completion of the apprentice 
training program may

[[Page 88]]

be substituted for the four year experience requirement.
    (c) The train control inspector shall demonstrate the following 
specific qualifications:
    (1) A comprehensive knowledge of the various train control systems 
used on board locomotives, locomotive air brake systems and test and 
inspection procedures;
    (2) The ability to understand and detect deviations from:
    (i) Train control maintenance standards accepted in the industry; 
and
    (ii) Subpart E of the Rules, Standards and Instructions for Railroad 
Signal Systems (49 CFR part 236);
    (3) Knowledge of operating practices and train control systems 
sufficient to understand the safety significance of deviations and 
combinations of deviations; and
    (4) Specialized knowledge of the requirements of subpart E of the 
Rules, Standards and Instructions for Railroad Signal Systems, including 
the remedial action required to bring train control systems used on 
board locomotives into compliance with the standards.



Sec. 212.211  Apprentice signal and train control inspector.

    (a) The apprentice signal and train control inspector must be 
enrolled in a program of training prescribed by the Associate 
Administrator leading to qualification as a signal and train control 
inspector. The apprentice inspector may not participate in the 
investigative and surveillance activities, except as an assistant to a 
qualified State or FRA inspector while accompanying that qualified 
inspector.
    (b) Prior to being enrolled in the program the apprentice inspector 
shall demonstrate:
    (1) Working knowledge of basic electricity and the ability to use 
electrical test equipment in direct current and alternating current 
circuits; and
    (2) A basic knowledge of signal and train control inspection and 
maintenance methods and procedures.



Sec. 212.213  Motive power and equipment (MP&E) inspector.

    (a) The MP&E inspector is required, at a minimum, to be able to 
conduct independent inspections of railroad equipment for the purpose of 
determining compliance with all sections of the Freight Car Safety 
Standards (49 CFR part 215), Safety Glazing Standards (49 CFR part 223), 
Locomotive Safety Standards (49 CFR part 229), Safety Appliance 
Standards (49 CFR part 231), and Power Brake Standards (49 CFR part 
232), to make reports of those inspections and to recommend the 
institution of enforcement actions when appropriate to promote 
compliance.
    (b) The MP&E inspector is required, at a minimum, to have at least 
four years of recent experience in the construction or maintenance of 
railroad rolling equipment. A bachelor's degree in engineering or a 
related technical specialization may be substituted for two of the four 
years of this experience requirement and successful completion of the 
apprentice training program may be substituted for the four year 
experience requirement.
    (c) The MP&E inspector shall demonstrate the following 
qualifications:
    (1) A comprehensive knowledge of construction, testing, inspecting 
and repair of railroad freight cars, passenger cars, locomotives and air 
brakes;
    (2) The ability to understand and detect deviations from:
    (i) Railroad equipment maintenance standards accepted in the 
industry; and
    (ii) The Freight Car Safety Standards, Safety Glazing Standards, 
Locomotive Safety Standards, Safety Appliance Standards and Power Brake 
Standards.
    (3) The knowledge of railroad operating procedures associated with 
the operation of freight cars, passenger cars, locomotives and air 
brakes sufficient to understand the safety significance of deviations 
and combinations of deviations; and
    (4) Specialized knowledge of proper remedial action to be taken in 
order to bring defective freight cars, passenger cars, locomotives, and 
air brakes into compliance with applicable Federal standards.



Sec. 212.215  Locomotive inspector.

    (a) The locomotive inspector is required, at a minimum, to be able 
to

[[Page 89]]

conduct independent inspections of locomotives and air brake systems for 
the purpose of determining compliance with applicable sections of the 
Safety Glazing Standards (49 CFR part 223), Locomotive Safety Standards 
(49 CFR part 229), Safety Appliance Standards (49 CFR part 231) and 
Power Brake Standards (49 CFR part 232), to make reports of those 
inspections and to recommend the institution of enforcement actions when 
appropriate to promote compliance.
    (b) The locomotive inspector is required, at a minimum, to have at 
least four years of experience in locomotive construction or 
maintenance. A bachelor's degree in mechanical engineering or a related 
technical specialization may be substituted for two of the four years of 
this experience requirement and successful completion of the apprentice 
training program may be substituted for the four year experience 
requirement.
    (c) The locomotive inspector shall demonstrate the following 
specific qualifications:
    (1) A comprehensive knowledge of construction, testing, inspecting 
and repair of locomotive and air brakes;
    (2) The ability to understand and detect deviations from:
    (i) Railroad equipment maintenance standards accepted in the 
industry; and
    (ii) Safety Glazing Standards, Locomotive Safety Standards, Safety 
Appliance Standards and Power Brake Standards;
    (3) The knowledge of railroad operating procedures associated with 
the operation of locomotives and air brakes sufficient to understand the 
safety significance of deviations and combinations of deviations; and
    (4) Specialized knowledge of proper remedial action to be taken in 
order to bring defective locomotives, and air brakes into compliance 
with applicable Federal standards.



Sec. 212.217  Car inspector.

    (a) The car inspector is required, at a minimum, to be able to 
conduct independent inspections of railroad rolling stock for the 
purpose of determining compliance with all sections of the Freight Car 
Safety Standards (49 CFR part 215), Safety Glazing Standards (49 CFR 
part 223), Safety Appliance Standards (49 CFR part 231) and Power Brake 
Standards (49 CFR part 232), to make reports of those inspections and to 
recommend the institution of enforcement actions when appropriate to 
promote compliance.
    (b) The car inspector is required, at a minimum, to have at least 
two years of recent experience in freight car or passenger car 
construction, maintenance or inspection. Successful completion of the 
apprentice training program may be substituted for this two year 
experience requirement.
    (c) The car inspector shall demonstrate the following specific 
qualifications:
    (1) A comprehensive knowledge of the construction and testing of 
freight and passenger cars and air brakes;
    (2) The ability to understand and detect deviations from:
    (i) Railroad freight and passenger car maintenance standards 
accepted in the industry; and
    (ii) The Freight Car Safety Standards (49 CFR part 215), Safety 
Glazing Standards (49 CFR part 223), Safety Appliance Standards (49 CFR 
part 231) and Power Brake Standards (49 CFR part 232);
    (3) The knowledge of railroad operating procedures associated with 
the operation of freight and passenger cars and air brakes sufficient to 
understand the safety significance of deviations and combinations of 
deviations; and
    (4) Specialized knowledge of proper remedial action to be taken in 
order to bring defective freight and passenger car equipment and air 
brakes into compliance with applicable Federal standards.



Sec. 212.219  Apprentice MP&E inspector.

    (a) The apprentice MP&E inspector must be enrolled in a program of 
training prescribed by the Associate Administrator leading to 
qualification as an MP&E inspector. The apprentice may not participate 
in investigative and surveillance activities, except as an assistant to 
a qualified State or FRA inspector while accompanying that qualified 
inspector.
    (b) An apprentice MP&E inspector shall demonstrate basic knowledge 
of

[[Page 90]]

railroad equipment and air brake inspection, testing and maintenance, 
prior to being enrolled in the program.



Sec. 212.221  Operating practices inspector.

    (a) The operating practices inspector is required, at a minimum, to 
be able to conduct independent inspections for the purpose of 
determining compliance with all sections of the Federal operating 
practice regulations (49 CFR parts 217, 218, 219, 220, 221, 225 and 228) 
and the Hours of Service Act (45 U.S.C. 61-64b), to make reports of 
those inspections, and to recommend the institution of enforcement 
actions when appropriate to promote compliance.
    (b) The operating practices inspector is required at a minimum to 
have at least four years of recent experience in developing or 
administering railroad operating rules. Successful completion of the 
apprentice training program may be substituted for this four year 
experience requirement.
    (c) The operating practices inspector shall demonstrate the 
following specific qualifications:
    (1) A comprehensive knowledge of railroad operating practices, 
railroad operating rules, duties of railroad employees, and general 
railroad nomenclature;
    (2) The ability to understand and detect deviations from:
    (i) Railroad operating rules accepted in the industry; and
    (ii) Federal operating practice regulations;
    (3) Knowledge of operating practices and rules sufficient to 
understand the safety significance of deviations; and
    (4) Specialized knowledge of the requirements of the Federal 
operating practices regulations listed in paragraph (a) of this section, 
including the remedial action required to bring railroad operations into 
compliance with the regulations.

[47 FR 41051, Sept. 16, 1982, as amended at 50 FR 31578, Aug. 2, 1985]



Sec. 212.223  Operating practices compliance inspector.

    (a) The operating practices compliance inspector is required, at a 
minimum, to be able to conduct independent inspections for the purpose 
of determining compliance with the requirements of the following:
    (1) Operating Rules--blue flag (49 CFR part 218);
    (2) Control of Alcohol and Drug Use (49 CFR part 219);
    (3) Rear End Marking Device Regulations (49 CFR part 221);
    (4) Railroad accidents/incidents: reports classification and 
investigations (49 CFR part 225); and
    (5) Hours of Service Act (45 U.S.C. 61-64b) and implementing 
regulations (49 CFR part 228); to make reports of those inspections and 
to recommend the institution of enforcement actions when appropriate to 
promote compliance.
    (b) The operating practices compliance inspector is required, at a 
minimum, to have at least two years of recent experience in developing 
or administering railroad operating rules. Successful completion of the 
apprentice training program may be substituted for the two year 
experience requirement.
    (c) The compliance inspector shall demonstrate the following 
specific qualifications.
    (1) A basic knowledge of railroad operations, duties of railroad 
employees and general railroad safety as it relates to the protection of 
railroad employees;
    (2) A basic knowledge of railroad rules and practices;
    (3) The ability to understand and detect deviations from the 
requirements cited in paragraph (a) of this section; and
    (4) Specialized knowledge of the requirements of the Federal 
operating practices regulations listed in paragraph (a) of this section, 
including the remedial action required to bring defective conditions 
into compliance with the applicable Federal standards.

[47 FR 41051, Sept. 16, 1982, as amended at 50 FR 31578, Aug. 2, 1985]



Sec. 212.225  Apprentice operating practices inspector.

    (a) The apprentice operating practices inspector must be enrolled in 
a program of training prescribed by the Associate Administrator leading 
to qualification as an inspector. The apprentice inspector may not 
participate

[[Page 91]]

in investigative and surveillance activities, except as an assistant to 
a qualified State or FRA inspector while accompanying that qualified 
inspector.
    (b) An apprentice operating practices inspector shall demonstrate 
basic knowledge of railroad operating practices, railroad operating 
rules and general duties of railroad employees prior to being enrolled 
in the program.



Sec. 212.227  Hazardous materials inspector.

    (a) The hazardous materials inspector is required, at a minimum, to 
be able to conduct independent inspections to determine compliance with 
all pertinent sections of the Federal hazardous materials regulations 
(49 CFR parts 171 through 174, and 179), to make reports of those 
inspections and findings, and to recommend the institution of 
enforcement actions when appropriate to promote compliance.
    (b) The hazardous materials inspector is required, at a minimum, to 
have at least two years of recent experience in developing, 
administering, or performing managerial functions related to compliance 
with the hazardous materials regulations; four years of recent 
experience in performing functions related to compliance with the 
hazardous materials regulations; or a bachelor's degree in a related 
technical specialization. Successful completion of the apprentice 
training program may be substituted for this requirement.
    (c) The hazardous materials inspector shall demonstrate the 
following specific qualifications:
    (1) A comprehensive knowledge of the transportation and operating 
procedures employed in the railroad, shipping, or manufacturing 
industries associated with the transportation of hazardous materials;
    (2) Knowledge and ability to understand and detect deviations from 
the Department of Transportation's Hazardous Materials Regulations, 
including Federal requirements and industry standards for the 
manufacturing of bulk packaging used in the transportation of hazardous 
materials by railroad;
    (3) Knowledge of the physical and chemical properties and chemical 
hazards associated with hazardous materials that are transported by 
railroad;
    (4) Knowledge of the proper remedial actions required to bring 
railroad, shipper, and/or manufacturing facilities into compliance with 
the Federal regulations; and
    (5) Knowledge of the proper remedial actions required when a 
hazardous materials transportation accident or incident occurs.

[57 FR 28115, June 24, 1992]



Sec. 212.229  Apprentice hazardous materials inspector.

    (a) The apprentice hazardous materials inspector must be enrolled in 
a program of training prescribed by the Associate Administrator for 
Safety leading to qualification as a hazardous materials inspector. The 
apprentice may not participate in investigative and surveillance 
activities, except as an assistant to a qualified State or FRA inspector 
while accompanying that qualified inspector.
    (b) An apprentice hazardous materials inspector shall demonstrate a 
basic knowledge of the chemical hazards associated with hazardous 
materials that are transported by railroad, including requirements such 
as shipping papers, marking, labeling, placarding, and the manufacturing 
and maintenance of packagings associated with these shipments.

[57 FR 28116, June 24, 1992]



Sec. 212.231  Highway-rail grade crossing inspector.

    (a) The highway-rail grade crossing inspector is required, at a 
minimum, to be able to conduct independent inspections of all types of 
highway-rail grade crossing warning systems for the purpose of 
determining compliance with Grade Crossing Signal System Safety Rules 
(49 CFR part 234), to make reports of those inspections, and to 
recommend institution of enforcement actions when appropriate to promote 
compliance.
    (b) The highway-rail grade crossing inspector is required, at a 
minimum, to have at least four years of recent experience in highway-
rail grade crossing

[[Page 92]]

construction or maintenance. A bachelor's degree in engineering or a 
related technical specialization may be substituted for two of the four 
years of this experience requirement. Successful completion of an 
apprentice training program under Sec. 212.233 may be substituted for 
the four years of this experience requirement.
    (c) The highway-rail grade crossing inspector shall demonstrate the 
following specific qualifications:
    (1) A comprehensive knowledge of highway-rail grade crossing 
nomenclature, inspection techniques, maintenance requirements, and 
methods;
    (2) The ability to understand and detect deviations from:
    (i) Grade crossing signal system maintenance, inspection and testing 
standards accepted in the industry; and
    (ii) The Grade Crossing Signal System Safety Rules (49 CFR part 
234);
    (3) Knowledge of operating practices and highway-rail grade crossing 
systems sufficient to understand the safety significance of deviations 
and combinations of deviations from Sec. 212.231(c)(2) (i) and (ii);
    (4) Specialized knowledge of the requirements of the Grade Crossing 
Signal System Safety Rules (49 CFR part 234), including the remedial 
action required to bring highway-rail grade crossing signal systems into 
compliance with those Rules;
    (5) Specialized knowledge of highway-rail grade crossing standards 
contained in the Manual on Uniform Traffic Control Devices; and
    (6) Knowledge of railroad signal systems sufficient to ensure that 
highway-rail grade crossing warning systems and inspections of those 
systems do not adversely affect the safety of railroad signal systems.
    (d) A State signal and train control inspector qualified under this 
part and who has demonstrated the ability to understand and detect 
deviations from the Grade Crossing Signal System Safety Rules (49 CFR 
part 234) is deemed to meet all requirements of this section and is 
qualified to conduct independent inspections of all types of highway-
rail grade crossing warning systems for the purpose of determining 
compliance with Grade Crossing Signal System Safety Rules (49 CFR part 
234), to make reports of those inspections, and to recommend institution 
of enforcement actions when appropriate to promote compliance.

[59 FR 50104, Sept. 30, 1994]



Sec. 212.233  Apprentice highway-rail grade crossing inspector.

    (a) An apprentice highway-rail grade crossing inspector shall be 
enrolled in a program of training prescribed by the Associate 
Administrator for Safety leading to qualification as a highway-rail 
grade crossing inspector. The apprentice inspector may not participate 
in investigative and surveillance activities, except as an assistant to 
a qualified State or FRA inspector while accompanying that qualified 
inspector.
    (b) Prior to being enrolled in the program the apprentice inspector 
shall demonstrate:
    (1) Working basic knowledge of electricity;
    (2) The ability to use electrical test equipment in direct current 
and alternating current circuits; and
    (3) A basic knowledge of highway-rail grade crossing inspection and 
maintenance methods and procedures.

[59 FR 50104, Sept. 30, 1994]



Sec. 212.235  Inapplicable qualification requirements.

    The Associate Administrator may determine that a specific 
requirement of this subpart is inapplicable to an identified position 
created by a State agency if it is not relevant to the actual duties of 
the position. The determination is made in writing.

[47 FR 41051, Sept. 16, 1982. Redesignated at 57 FR 28115, June 24, 
1992. Further redesignated at 59 FR 50104, Sept. 30, 1994]



PART 213--TRACK SAFETY STANDARDS--Table of Contents



                           Subpart A--General

Sec.
213.1 Scope of part.
213.2 Preemptive effect.
213.3 Application.
213.4 Excepted track.
213.5 Responsibility for compliance.
213.7 Designation of qualified persons to supervise certain renewals and 
          inspect track.

[[Page 93]]

213.9 Classes of track: operating speed limits.
213.11 Restoration or renewal of track under traffic conditions.
213.13 Measuring track not under load.
213.15 Penalties.
213.17 Waivers.
213.19 Information collection.



                           Subpart B--Roadbed

213.31 Scope.
213.33 Drainage.
213.37 Vegetation.



                        Subpart C--Track Geometry

213.51 Scope.
213.53 Gage.
213.55 Alinement.
213.57 Curves; elevation and speed limitations.
213.59 Elevation of curved track; runoff.
213.63 Track surface.



                       Subpart D--Track Structure

213.101 Scope.
213.103 Ballast; general.
213.109 Crossties.
213.110 Gage restraint measurement systems.
213.113 Defective rails.
213.115 Rail end mismatch.
213.119 Continuous welded rail (CWR); general.
213.121 Rail joints.
213.122 Torch cut rail.
213.123 Tie plates.
213.127 Rail fastening systems.
213.133 Turnouts and track crossings generally.
213.135 Switches.
213.137 Frogs.
213.139 Spring rail frogs.
213.141 Self-guarded frogs.
213.143 Frog guard rails and guard faces; gage.



          Subpart E--Track Appliances and Track-Related Devices

213.201 Scope.
213.205 Derails



                          Subpart F--Inspection

213.231 Scope.
213.233 Track inspections.
213.235 Inspection of switches, track crossings, and lift rail 
          assemblies or other transition devices on moveable bridges.
213.237 Inspection of rail.
213.239 Special inspections.
213.241 Inspection records.



        Subpart G--Train Operations at Track Classes 6 and Higher

213.301 Scope of subpart.
213.303 Responsibility for compliance.
213.305 Designation of qualified individuals; general qualifications.
213.307 Class of track: operating speed limits.
213.309 Restoration or renewal of track under traffic conditions.
213.311 Measuring track not under load.
213.317 Waivers.
213.319 Drainage.
213.321 Vegetation.
213.323 Track gage.
213.327 Alinement.
213.329 Curves, elevation and speed limitations.
213.331 Track surface.
213.333 Automated vehicle inspection systems.
213.334 Ballast; general.
213.335 Crossties.
213.337 Defective rails.
213.339 Inspection of rail in service.
213.341 Initial inspection of new rail and welds.
213.343 Continuous welded rail (CWR).
213.345 Vehicle qualification testing.
213.347 Automotive or railroad crossings at grade.
213.349 Rail end mismatch.
213.351 Rail joints.
213.352 Torch cut rail.
213.353 Turnouts, crossovers, and lift rail assemblies or other 
          transition devices on moveable bridges.
213.355 Frog guard rails and guard faces; gage.
213.357 Derails.
213.359 Track stiffness.
213.361 Right of way.
213.365 Visual inspections.
213.367 Special inspections.
213.369 Inspection records.

Appendix A to Part 213--Maximum Allowable Curving Speeds
Appendix B to Part 213--Schedule of Civil Penalties
Appendix C to Part 213--Statement of Agency Policy on the Safety of 
          Railroad Bridges

    Authority: 49 U.S.C. 20102-20114 and 20142; 28 U.S.C. 2461; and 49 
CFR1.49(m).

    Source: 63 FR 34029, June 22, 1998, unless otherwise noted.

[[Page 94]]



                           Subpart A--General



Sec. 213.1  Scope of part.

    (a) This part prescribes minimum safety requirements for railroad 
track that is part of the general railroad system of transportation. The 
requirements prescribed in this part apply to specific track conditions 
existing in isolation. Therefore, a combination of track conditions, 
none of which individually amounts to a deviation from the requirements 
in this part, may require remedial action to provide for safe operations 
over that track. This part does not restrict a railroad from adopting 
and enforcing additional or more stringent requirements not inconsistent 
with this part.
    (b) Subparts A through F apply to track Classes 1 through 5. Subpart 
G and 213.2, 213.3, and 213.15 apply to track over which trains are 
operated at speeds in excess of those permitted over Class 5 track.



Sec. 213.2  Preemptive effect.

    Under 49 U.S.C. 20106, issuance of these regulations preempts any 
State law, regulation, or order covering the same subject matter, except 
an additional or more stringent law, regulation, or order that is 
necessary to eliminate or reduce an essentially local safety hazard; is 
not incompatible with a law, regulation, or order of the United States 
Government; and that does not impose an unreasonable burden on 
interstate commerce.



Sec. 213.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all standard gage track in the general railroad system of 
transportation.
    (b) This part does not apply to track--
    (1) Located inside an installation which is not part of the general 
railroad system of transportation; or
    (2) Used exclusively for rapid transit operations in an urban area 
that are not connected with the general railroad system of 
transportation.



Sec. 213.4  Excepted track.

    A track owner may designate a segment of track as excepted track 
provided that--
    (a) The segment is identified in the timetable, special 
instructions, general order, or other appropriate records which are 
available for inspection during regular business hours;
    (b) The identified segment is not located within 30 feet of an 
adjacent track which can be subjected to simultaneous use at speeds in 
excess of 10 miles per hour;
    (c) The identified segment is inspected in accordance with 
213.233(c) and 213.235 at the frequency specified for Class 1 track;
    (d) The identified segment of track is not located on a bridge 
including the track approaching the bridge for 100 feet on either side, 
or located on a public street or highway, if railroad cars containing 
commodities required to be placarded by the Hazardous Materials 
Regulations (49 CFR part 172), are moved over the track; and
    (e) The railroad conducts operations on the identified segment under 
the following conditions:
    (1) No train shall be operated at speeds in excess of 10 miles per 
hour;
    (2) No occupied passenger train shall be operated;
    (3) No freight train shall be operated that contains more than five 
cars required to be placarded by the Hazardous Materials Regulations (49 
CFR part 172); and
    (4) The gage on excepted track shall not be more than 4 feet 10\1/4\ 
inches. This paragraph (e)(4) is applicable September 21, 1999.
    (f) A track owner shall advise the appropriate FRA Regional Office 
at least 10 days prior to removal of a segment of track from excepted 
status.



Sec. 213.5  Responsibility for compliance.

    (a) Except as provided in paragraph (b) of this section, any owner 
of track to which this part applies who knows or has notice that the 
track does not comply with the requirements of this part, shall--
    (1) Bring the track into compliance;
    (2) Halt operations over that track; or
    (3) Operate under authority of a person designated under 
Sec. 213.7(a), who has at least one year of supervisory experience in 
railroad track maintenance,

[[Page 95]]

subject to conditions set forth in this part.
    (b) If an owner of track to which this part applies designates a 
segment of track as ``excepted track'' under the provisions of 
Sec. 213.4, operations may continue over that track without complying 
with the provisions of subparts B, C, D, and E of this part, unless 
otherwise expressly stated.
    (c) If an owner of track to which this part applies assigns 
responsibility for the track to another person (by lease or otherwise), 
written notification of the assignment shall be provided to the 
appropriate FRA Regional Office at least 30 days in advance of the 
assignment. The notification may be made by any party to that 
assignment, but shall be in writing and include the following--
    (1) The name and address of the track owner;
    (2) The name and address of the person to whom responsibility is 
assigned (assignee);
    (3) A statement of the exact relationship between the track owner 
and the assignee;
    (4) A precise identification of the track;
    (5) A statement as to the competence and ability of the assignee to 
carry out the duties of the track owner under this part; and
    (6) A statement signed by the assignee acknowledging the assignment 
to him of responsibility for purposes of compliance with this part.
    (d) The Administrator may hold the track owner or the assignee or 
both responsible for compliance with this part and subject to penalties 
under Sec. 213.15.
    (e) A common carrier by railroad which is directed by the Surface 
Transportation Board to provide service over the track of another 
railroad under 49 U.S.C. 11123 is considered the owner of that track for 
the purposes of the application of this part during the period the 
directed service order remains in effect.
    (f) When any person, including a contractor for a railroad or track 
owner, performs any function required by this part, that person is 
required to perform that function in accordance with this part.



Sec. 213.7  Designation of qualified persons to supervise certain renewals and inspect track.

    (a) Each track owner to which this part applies shall designate 
qualified persons to supervise restorations and renewals of track under 
traffic conditions. Each person designated shall have--
    (1) At least--
    (i) 1 year of supervisory experience in railroad track maintenance; 
or
    (ii) A combination of supervisory experience in track maintenance 
and training from a course in track maintenance or from a college level 
educational program related to track maintenance;
    (2) Demonstrated to the owner that he or she--
    (i) Knows and understands the requirements of this part;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations; and
    (3) Written authorization from the track owner to prescribe remedial 
actions to correct or safely compensate for deviations from the 
requirements in this part.
    (b) Each track owner to which this part applies shall designate 
qualified persons to inspect track for defects. Each person designated 
shall have--
    (1) At least--
    (i) 1 year of experience in railroad track inspection; or
    (ii) A combination of experience in track inspection and training 
from a course in track inspection or from a college level educational 
program related to track inspection;
    (2) Demonstrated to the owner that he or she--
    (i) Knows and understands the requirements of this part;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations; and
    (3) Written authorization from the track owner to prescribe remedial 
actions to correct or safely compensate for deviations from the 
requirements of this part, pending review by a qualified

[[Page 96]]

person designated under paragraph (a) of this section.
    (c) Persons not fully qualified to supervise certain renewals and 
inspect track as outlined in paragraphs (a) and (b) of this section, but 
with at least one year of maintenance-of-way or signal experience, may 
pass trains over broken rails and pull aparts provided that--
    (1) The track owner determines the person to be qualified and, as 
part of doing so, trains, examines, and re-examines the person 
periodically within two years after each prior examination on the 
following topics as they relate to the safe passage of trains over 
broken rails or pull aparts: rail defect identification, crosstie 
condition, track surface and alinement, gage restraint, rail end 
mismatch, joint bars, and maximum distance between rail ends over which 
trains may be allowed to pass. The sole purpose of the examination is to 
ascertain the person's ability to effectively apply these requirements 
and the examination may not be used to disqualify the person from other 
duties. A minimum of four hours training is adequate for initial 
training;
    (2) The person deems it safe and train speeds are limited to a 
maximum of 10 m.p.h. over the broken rail or pull apart;
    (3) The person shall watch all movements over the broken rail or 
pull apart and be prepared to stop the train if necessary; and
    (4) Person(s) fully qualified under Sec. 213.7 of this part are 
notified and dispatched to the location promptly for the purpose of 
authorizing movements and effecting temporary or permanent repairs.
    (d) With respect to designations under paragraphs (a), (b), and (c) 
of this section, each track owner shall maintain written records of--
    (1) Each designation in effect;
    (2) The basis for each designation; and
    (3) Track inspections made by each designated qualified person as 
required by Sec. 213.241. These records shall be kept available for 
inspection or copying by the Federal Railroad Administration during 
regular business hours.



Sec. 213.9  Classes of track: operating speed limits.

    (a) Except as provided in paragraph (b) of this section and 
Secs. 213.57(b), 213.59(a), 213.113(a), and 213.137(b) and (c), the 
following maximum allowable operating speeds apply--

                           [In miles per hour]
------------------------------------------------------------------------
                                       The maximum        The maximum
 Over track that meets all of the       allowable          allowable
  requirements prescribed in this    operating speed    operating speed
            part for--                 for freight       for passenger
                                       trains is--        trains is--
------------------------------------------------------------------------
Excepted track....................                 10                N/A
Class 1 track.....................                 10                 15
Class 2 track.....................                 25                 30
Class 3 track.....................                 40                 60
Class 4 track.....................                 60                 80
Class 5 track.....................                 80                 90
------------------------------------------------------------------------

    (b) If a segment of track does not meet all of the requirements for 
its intended class, it is reclassified to the next lowest class of track 
for which it does meet all of the requirements of this part. However, if 
the segment of track does not at least meet the requirements for Class 1 
track, operations may continue at Class 1 speeds for a period of not 
more than 30 days without bringing the track into compliance, under the 
authority of a person designated under Sec. 213.7(a), who has at least 
one year of supervisory experience in railroad track maintenance, after 
that person determines that operations may safely continue and subject 
to any limiting conditions specified by such person.



Sec. 213.11  Restoration or renewal of track under traffic conditions.

    If during a period of restoration or renewal, track is under traffic 
conditions and does not meet all of the requirements prescribed in this 
part, the

[[Page 97]]

work on the track shall be under the continuous supervision of a person 
designated under Sec. 213.7(a) who has at least one year of supervisory 
experience in railroad track maintenance, and subject to any limiting 
conditions specified by such person. The term ``continuous supervision'' 
as used in this section means the physical presence of that person at a 
job site. However, since the work may be performed over a large area, it 
is not necessary that each phase of the work be done under the visual 
supervision of that person.



Sec. 213.13  Measuring track not under load.

    When unloaded track is measured to determine compliance with 
requirements of this part, the amount of rail movement, if any, that 
occurs while the track is loaded must be added to the measurements of 
the unloaded track.



Sec. 213.15  Penalties.

    (a) Any person who violates any requirement of this part or causes 
the violation of any such requirement is subject to a civil penalty of 
at least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. ``Person'' means an entity of any type 
covered under 1 U.S.C. 1, including but not limited to the following: a 
railroad; a manager, supervisor, official, or other employee or agent of 
a railroad; any owner, manufacturer, lessor, or lessee of railroad 
equipment, track, or facilities; any independent contractor providing 
goods or services to a railroad; any employee of such owner, 
manufacturer, lessor, lessee, or independent contractor; and anyone held 
by the Federal Railroad Administrator to be responsible under 
Sec. 213.5(d) or Sec. 213.303(c). Each day a violation continues shall 
constitute a separate offense. See appendix B to this part for a 
statement of agency civil penalty policy.
    (b) Any person who knowingly and willfully falsifies a record or 
report required by this part may be subject to criminal penalties under 
49 U.S.C. 21311.



Sec. 213.17  Waivers.

    (a) Any owner of track to which this part applies, or other person 
subject to this part, may petition the Federal Railroad Administrator 
for a waiver from any or all requirements prescribed in this part. The 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for a waiver under this section shall be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that a waiver is in the public 
interest and is consistent with railroad safety, the Administrator may 
grant the exemption subject to any conditions the Administrator deems 
necessary. Where a waiver is granted, the Administrator publishes a 
notice containing the reasons for granting the waiver.



213.19  Information collection.

    (a) The information collection requirements of this part were 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) and are 
assigned OMB control number 2130-0010.
    (b) The information collection requirements are found in the 
following sections: Secs. 213.4, 213.5, 213.7, 213.17, 213.57, 213.119, 
213.122, 213.233, 213.237, 213.241, 213.303, 213.305, 213.317, 213.329, 
213.333, 213.339, 213.341, 213.343, 213.345, 213.353, 213.361, 213.369.



                           Subpart B--Roadbed



Sec. 213.31  Scope.

    This subpart prescribes minimum requirements for roadbed and areas 
immediately adjacent to roadbed.



Sec. 213.33  Drainage.

    Each drainage or other water carrying facility under or immediately 
adjacent to the roadbed shall be maintained and kept free of 
obstruction, to

[[Page 98]]

accommodate expected water flow for the area concerned.



Sec. 213.37  Vegetation.

    Vegetation on railroad property which is on or immediately adjacent 
to roadbed shall be controlled so that it does not--
    (a) Become a fire hazard to track-carrying structures;
    (b) Obstruct visibility of railroad signs and signals:
    (1) Along the right-of-way, and
    (2) At highway-rail crossings; (This paragraph (b)(2) is applicable 
September 21, 1999.)
    (c) Interfere with railroad employees performing normal trackside 
duties;
    (d) Prevent proper functioning of signal and communication lines; or
    (e) Prevent railroad employees from visually inspecting moving 
equipment from their normal duty stations.



                        Subpart C--Track Geometry



Sec. 213.51  Scope.

    This subpart prescribes requirements for the gage, alinement, and 
surface of track, and the elevation of outer rails and speed limitations 
for curved track.



Sec. 213.53  Gage.

    (a) Gage is measured between the heads of the rails at right-angles 
to the rails in a plane five-eighths of an inch below the top of the 
rail head.
    (b) Gage shall be within the limits prescribed in the following 
table--

----------------------------------------------------------------------------------------------------------------
             Class of track                 The gage must be at least--             But not more than--
----------------------------------------------------------------------------------------------------------------
Excepted track..........................  N/A............................  4[foot]10\1/4\.
Class 1 track...........................  4[foot]8............  4[foot]10.
Class 2 and 3 track.....................  4[foot]8............  4[foot]9\3/4\.
Class 4 and 5 track.....................  4[foot]8............  4[foot]9\1/2\.
----------------------------------------------------------------------------------------------------------------



Sec. 213.55  Alinement.

    Alinement may not deviate from uniformity more than the amount 
prescribed in the following table:

----------------------------------------------------------------------------------------------------------------
                                                           Tangent track                Curved track
                                                        --------------------------------------------------------
                                                          The deviation of   The deviation of   The deviation of
                                                           the mid-offset    the mid-ordinate   the mid-ordinate
                     Class of track                        from a 62-foot     from a 31-foot     from a 62-foot
                                                          line \1\ may not  chord \2\ may not  chord \2\ may not
                                                           be more than--     be more than--     be more than--
                                                              (inches)           (inches)           (inches)
----------------------------------------------------------------------------------------------------------------
Class 1 track..........................................                  5            \3\ N/A                  5
Class 2 track..........................................                  3            \3\ N/A                  3
Class 3 track..........................................             1\3/4\             1\1/4\             1\3/4\
Class 4 track..........................................             1\1/2\                  1             1\1/2\
Class 5 track..........................................              \3/4\              \1/2\              \5/8\
----------------------------------------------------------------------------------------------------------------
\1\ The ends of the line shall be at points on the gage side of the line rail, five-eighths of an inch below the
  top of the railhead. Either rail may be used as the line rail, however, the same rail shall be used for the
  full length of that tangential segment of track.
\2\ The ends of the chord shall be at points on the gage side of the outer rail, five-eighths of an inch below
  the top of the railhead.
\3\ N/A--Not Applicable.



Sec. 213.57  Curves; elevation and speed limitations.

    (a) The maximum crosslevel on the outside rail of a curve may not be 
more than 8 inches on track Classes 1 and 2 and 7 inches on Classes 3 
through 5. Except as provided in Sec. 213.63, the outside rail of a 
curve may not be lower than the inside rail. (The first sentence of 
paragraph (a) is applicable September 21, 1999.)
    (b)(1) The maximum allowable operating speed for each curve is 
determined by the following formula--
[GRAPHIC] [TIFF OMITTED] TR22JN98.001


[[Page 99]]


Where--

Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches).\1\
---------------------------------------------------------------------------

    \1\ Actual elevation for each 155 foot track segment in the body of 
the curve is determined by averaging the elevation for 10 points through 
the segment at 15.5 foot spacing. If the curve length is less than 155 
feet, average the points through the full length of the body of the 
curve.
---------------------------------------------------------------------------

D = Degree of curvature (degrees).\2\
---------------------------------------------------------------------------

    \2\ Degree of curvature is determined by averaging the degree of 
curvature over the same track segment as the elevation.

    (2) Table 1 of Appendix A is a table of maximum allowable operating 
speed computed in accordance with this formula for various elevations 
and degrees of curvature.
    (c)(1) For rolling stock meeting the requirements specified in 
paragraph (d) of this section, the maximum operating speed for each 
curve may be determined by the following formula--
[GRAPHIC] [TIFF OMITTED] TR22JN98.002

Where--

Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches).\1\
D = Degree of curvature (degrees).\2\

    (2) Table 2 of Appendix A is a table of maximum allowable operating 
speed computed in accordance with this formula for various elevations 
and degrees of curvature.
    (d) Qualified equipment may be operated at curving speeds determined 
by the formula in paragraph (c) of this section, provided each specific 
class of equipment is approved for operation by the Federal Railroad 
Administration and the railroad demonstrates that:
    (1) When positioned on a track with a uniform 4-inch superelevation, 
the roll angle between the floor of the equipment and the horizontal 
does not exceed 5.7 degrees; and
    (2) When positioned on a track with a uniform 6 inch superelevation, 
no wheel of the equipment unloads to a value of 60 percent of its static 
value on perfectly level track, and the roll angle between the floor of 
the equipment and the horizontal does not exceed 8.6 degrees.
    (3) The track owner shall notify the Federal Railroad Administrator 
no less than 30 calendar days prior to the proposed implementation of 
the higher curving speeds allowed under the formula in paragraph (c) of 
this section. The notification shall be in writing and shall contain, at 
a minimum, the following information--
    (i) A complete description of the class of equipment involved, 
including schematic diagrams of the suspension systems and the location 
of the center of gravity above top of rail;
    (ii) A complete description of the test procedure \3\ and 
instrumentation used to qualify the equipment and the maximum values for 
wheel unloading and roll angles which were observed during testing;
---------------------------------------------------------------------------

    \3\ The test procedure may be conducted in a test facility whereby 
all the wheels on one side (right or left) of the equipment are 
alternately raised and lowered by 4 and 6 inches and the vertical wheel 
loads under each wheel are measured and a level is used to record the 
angle through which the floor of the equipment has been rotated.
---------------------------------------------------------------------------

    (iii) Procedures or standards in effect which relate to the 
maintenance of the suspension system for the particular class of 
equipment; and
    (iv) Identification of line segment on which the higher curving 
speeds are proposed to be implemented.
    (e) A track owner, or an operator of a passenger or commuter 
service, who provides passenger or commuter service over trackage of 
more than one track owner with the same class of equipment may provide 
written notification to the Federal Railroad Administrator with the 
written consent of the other affected track owners.
    (f) Equipment presently operating at curving speeds allowed under 
the formula in paragraph (c) of this section, by reason of conditional 
waivers granted by the Federal Railroad Administration, shall be 
considered to have successfully complied with the requirements of 
paragraph (d) of this section.
    (g) A track owner or a railroad operating above Class 5 speeds, may 
request approval from the Federal Railroad Administrator to operate 
specified equipment at a level of cant deficiency

[[Page 100]]

greater than four inches in accordance with Sec. 213.329(c) and (d) on 
curves in Class 1 through 5 track which are contiguous to the high speed 
track provided that--
    (1) The track owner or railroad submits a test plan to the Federal 
Railroad Administrator for approval no less than thirty calendar days 
prior to any proposed implementation of the higher curving speeds. The 
test plan shall include an analysis and determination of carbody 
acceleration safety limits for each vehicle type which indicate wheel 
unloading of 60 percent in a steady state condition and 80 percent in a 
transient (point by point) condition. Accelerometers shall be laterally-
oriented and floor-mounted near the end of a representative vehicle of 
each type;
    (2) Upon FRA approval of a test plan, the track owner or railroad 
conducts incrementally increasing train speed test runs over the curves 
in the identified track segment(s) to demonstrate that wheel unloading 
is within the limits prescribed in paragraph (g)(1) of this section;
    (3) Upon FRA approval of a cant deficiency level, the track owner or 
railroad inspects the curves in the identified track segment with a 
Track Geometry Measurement System (TGMS) qualified in accordance with 
Sec. 213.333 (b) through (g) at an inspection frequency of at least 
twice annually with not less than 120 days interval between inspections; 
and
    (4) The track owner or railroad operates an instrumented car having 
dynamic response characteristics that are representative of other 
equipment assigned to service or a portable device that monitors on-
board instrumentation on trains over the curves in the identified track 
segment at the revenue speed profile at a frequency of at least once 
every 90-day period with not less than 30 days interval between 
inspections. The instrumented car or the portable device shall monitor a 
laterally-oriented accelerometer placed near the end of the vehicle at 
the floor level. If the carbody lateral acceleration measurement exceeds 
the safety limits prescribed in paragraph (g)(1), the railroad shall 
operate trains at curving speeds in accordance with paragraph (b) or (c) 
of this section; and
    (5) The track owner or railroad shall maintain a copy of the most 
recent exception printouts for the inspections required under paragraphs 
(g)(3) and (4) of this section.

[63 FR 34029, June 22, 1998; 63 FR 54078, Oct. 8, 1998]



Sec. 213.59  Elevation of curved track; runoff.

    (a) If a curve is elevated, the full elevation shall be provided 
throughout the curve, unless physical conditions do not permit. If 
elevation runoff occurs in a curve, the actual minimum elevation shall 
be used in computing the maximum allowable operating speed for that 
curve under Sec. 213.57(b).
    (b) Elevation runoff shall be at a uniform rate, within the limits 
of track surface deviation prescribed in Sec. 213.63, and it shall 
extend at least the full length of the spirals. If physical conditions 
do not permit a spiral long enough to accommodate the minimum length of 
runoff, part of the runoff may be on tangent track.



Sec. 213.63  Track surface.

    Each owner of the track to which this part applies shall maintain 
the surface of its track within the limits prescribed in the following 
table:

----------------------------------------------------------------------------------------------------------------
                                                                               Class of track
                                                          ------------------------------------------------------
                      Track surface                            1          2          3          4          5
                                                            (inches)   (inches)   (inches)   (inches)   (inches)
----------------------------------------------------------------------------------------------------------------
The runoff in any 31 feet of rail at the end of a raise       3\1/2\          3          2     1\1/2\          1
 may not be more than....................................
The deviation from uniform profile on either rail at the           3     2\3/4\     2\1/4\          2     1\1/4\
 mid-ordinate of a 62-foot chord may not be more than....
The deviation from zero crosslevel at any point on                 3          2     1\3/4\     1\1/4\          1
 tangent or reverse crosslevel elevation on curves may
 not be more than........................................
The difference in crosslevel between any two points less           3     2\1/4\          2     1\3/4\     1\1/2\
 than 62 feet apart may not be more than* 1,  2..........

[[Page 101]]

 
* Where determined by engineering decision prior to the            2     1\3/4\     1\1/4\          1      \3/4\
 promulgation of this rule, due to physical restrictions
 on spiral length and operating practices and experience,
 the variation in crosslevel on spirals per 31 feet may
 not be more than........................................
----------------------------------------------------------------------------------------------------------------
\1\ Except as limited by Sec.  213.57(a), where the elevation at any point in a curve equals or exceeds 6
  inches, the difference in crosslevel within 62 feet between that point and a point with greater elevation may
  not be more than 1\1/2\ inches. (Footnote 1 is applicable September 21, 1999.)
\2\ However, to control harmonics on Class 2 through 5 jointed track with staggered joints, the crosslevel
  differences shall not exceed 1\1/4\ inches in all of six consecutive pairs of joints, as created by 7 low
  joints. Track with joints staggered less than 10 feet shall not be considered as having staggered joints.
  Joints within the 7 low joints outside of the regular joint spacing shall not be considered as joints for
  purposes of this footnote. (Footnote 2 is applicable September 21, 1999.)


[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]



                       Subpart D--Track Structure



Sec. 213.101  Scope.

    This subpart prescribes minimum requirements for ballast, crossties, 
track assembly fittings, and the physical conditions of rails.



Sec. 213.103  Ballast; general.

    Unless it is otherwise structurally supported, all track shall be 
supported by material which will --
    (a) Transmit and distribute the load of the track and railroad 
rolling equipment to the subgrade;
    (b) Restrain the track laterally, longitudinally, and vertically 
under dynamic loads imposed by railroad rolling equipment and thermal 
stress exerted by the rails;
    (c) Provide adequate drainage for the track; and
    (d) Maintain proper track crosslevel, surface, and alinement.



Sec. 213.109  Crossties.

    (a) Crossties shall be made of a material to which rail can be 
securely fastened.
    (b) Each 39 foot segment of track shall have--
    (1) A sufficient number of crossties which in combination provide 
effective support that will--
    (i) Hold gage within the limits prescribed in Sec. 213.53(b);
    (ii) Maintain surface within the limits prescribed in Sec. 213.63; 
and
    (iii) Maintain alinement within the limits prescribed in 
Sec. 213.55.
    (2) The minimum number and type of crossties specified in paragraphs 
(c) and (d) of this section effectively distributed to support the 
entire segment; and
    (3) At least one crosstie of the type specified in paragraphs (c) 
and (d) of this section that is located at a joint location as specified 
in paragraph (f) of this section.
    (c) Each 39 foot segment of: Class 1 track shall have five 
crossties; Classes 2 and 3 track shall have eight crossties; and Classes 
4 and 5 track shall have 12 crossties, which are not:
    (1) Broken through;
    (2) Split or otherwise impaired to the extent the crossties will 
allow the ballast to work through, or will not hold spikes or rail 
fasteners;
    (3) So deteriorated that the tie plate or base of rail can move 
laterally more than \1/2\ inch relative to the crossties; or
    (4) Cut by the tie plate through more than 40 percent of a ties' 
thickness.
    (d) Each 39 foot segment of track shall have the minimum number and 
type of crossties as indicated in the following table (this paragraph 
(d) is applicable September 21, 2000).

------------------------------------------------------------------------
                                                                Turnouts
                                                     Tangent      and
                                                    track and    curved
                  Class of track                      curves     track
                                                      [le]2      over 2
                                                     degrees    degrees
------------------------------------------------------------------------
Class 1 track.....................................          5          6
Class 2 track.....................................          8          9
Class 3 track.....................................          8         10
Class 4 and 5 track...............................         12         14
------------------------------------------------------------------------

    (e) Crossties counted to satisfy the requirements set forth in the 
table in paragraph (d) of this section shall not be--
    (1) Broken through;

[[Page 102]]

    (2) Split or otherwise impaired to the extent the crossties will 
allow the ballast to work through, or will not hold spikes or rail 
fasteners;
    (3) So deteriorated that the tie plate or base of rail can move 
laterally \1/2\ inch relative to the crossties; or
    (4) Cut by the tie plate through more than 40 percent of a 
crosstie's thickness (this paragraph (e) is applicable September 21, 
2000).
    (f) Class 1 and Class 2 track shall have one crosstie whose 
centerline is within 24 inches of each rail joint location, and Classes 
3 through 5 track shall have one crosstie whose centerline is within 18 
inches of each rail joint location or, two crossties whose centerlines 
are within 24 inches either side of each rail joint location. The 
relative position of these ties is described in the following diagrams:
[GRAPHIC] [TIFF OMITTED] TR22JN98.003

Each rail joint in Classes 1 and 2 track shall be supported by at least 
 one crosstie specified in paragraphs (c) and (d) of this section whose 
             centerline is within 48 shown above.
[GRAPHIC] [TIFF OMITTED] TR22JN98.004

   Each rail joint in Classes 3 through 5 track shall be supported by 
either at least one crosstie specified in paragraphs (c) and (d) of this 
    section whose centerline is within 36 shown above, or:

[[Page 103]]

[GRAPHIC] [TIFF OMITTED] TR22JN98.005

Two crossties, one on each side of the rail joint, whose centerlines are 
      within 24 of the rail joint location shown above.

    (g) For track constructed without crossties, such as slab track, 
track connected directly to bridge structural components and track over 
servicing pits, the track structure shall meet the requirements of 
paragraphs (b)(1)(i), (ii), and (iii) of this section.

[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998]



Sec. 213.110  Gage restraint measurement systems.

    (a) A track owner may elect to implement a Gage Restraint 
Measurement System (GRMS), supplemented by the use of a Portable Track 
Loading Fixture (PTLF), to determine compliance with the crosstie and 
fastener requirements specified in Secs. 213.109 and 213.127 provided 
that--
    (1) The track owner notifies the appropriate FRA Regional office at 
least 30 days prior to the designation of any line segment on which GRMS 
technology will be implemented; and
    (2) The track owner notifies the appropriate FRA Regional office at 
least 10 days prior to the removal of any line segment from GRMS 
designation.
    (b) Initial notification under paragraph (a)(1) of this section 
shall include--
    (1) Identification of the line segment(s) by timetable designation, 
milepost limits, class of track, or other identifying criteria; and
    (2) The most recent record of million gross tons of traffic per year 
over the identified segment(s).
    (c) The track owner shall also provide to FRA sufficient technical 
data to establish compliance with the minimum design requirements of a 
GRMS vehicle which specify that--
    (1) Gage restraint shall be measured between the heads of rail --
    (A) At an interval not exceeding 16 inches;
    (B) Under an applied vertical load of no less than 10,000 pounds per 
rail; and
    (C) Under an applied lateral load which provides for a lateral/
vertical load ratio between 0.5 and 1.25, and a load severity greater 
than 3,000 pounds but less than 8,000 pounds.
    (d) Load severity is defined by the formula--S=L-cV

Where--

S=Load severity, defined as the lateral load applied to the fastener 
system (pounds).
L=Actual lateral load applied (pounds).
c=Coefficient of friction between rail/tie which is assigned a nominal 
value of (0.4).
V=Actual vertical load applied (pounds).

    (e) The measured gage values shall be converted to a Projected 
Loaded Gage 24 (PLG 24) as follows--
[GRAPHIC] [TIFF OMITTED] TR10JA01.000

Where--
UTG=Unloaded track gage measured by the GRMS vehicle at a point no less 
than 10 feet from any lateral or vertical load application.
LTG=Loaded track gage measured by the GRMS vehicle at a point no more 
than 12

[[Page 104]]

inches from the lateral load application point.
A=The extrapolation factor used to convert the measured loaded gage to 
expected loaded gage under a 24,000 pound lateral load and a 33,000 
pound vertical load.

    For all track--
    [GRAPHIC] [TIFF OMITTED] TR10JA01.001
    
    Note: The A factor shall not exceed (3.184) under any valid loading 
configuration.

where--

L=Actual lateral load applied (pounds).
V=Actual vertical load applied (pounds).

    (f) The measured gage value shall be converted to a Gage Widening 
Ratio (GWR) as follows --

[GRAPHIC] [TIFF OMITTED] TR10JA01.002

    (g) The GRMS vehicle shall be capable of producing output reports 
that provide a trace, on a constant-distance scale, of all parameters 
specified in paragraph (l) of this section.
    (h) The GRMS vehicle shall be capable of providing an exception 
report containing a systematic listing of all exceptions, by magnitude 
and location, to all the parameters specified in paragraph (l) of this 
section.
    (i) The exception reports required by this section shall be provided 
to the appropriate person designated as fully qualified under Sec. 213.7 
prior to the next inspection required under Sec. 213.233.
    (j) The track owner shall institute the necessary procedures for 
maintaining the integrity of the data collected by the GRMS and PTLF 
systems. At a minimum, the track owner shall--
    (1) Maintain and make available to the Federal Railroad 
Administration documented calibration procedures on each GRMS vehicle 
which, at a minimum, shall specify a daily instrument verification 
procedure that will ensure correlation between measurements made on the 
ground and those recorded by the instrumentation with respect to loaded 
and unloaded gage parameters; and
    (2) Maintain each PTLF used for determining compliance with the 
requirements of this section such that the 4,000-pound reading is 
accurate to within five percent of that reading.
    (k) The track owner shall provide training in GRMS technology to all 
persons designated as fully qualified under Sec. 213.7 and whose 
territories are subject to the requirements of this section. The 
training program shall be made available to the Federal Railroad 
Administration upon request. At a minimum, the training program shall 
address--
    (1) Basic GRMS procedures;
    (2) Interpretation and handling of exception reports generated by 
the GRMS vehicle;
    (3) Locating and verifying defects in the field;
    (4) Remedial action requirements;
    (5) Use and calibration of the PTLF; and
    (6) Recordkeeping requirements.
    (l) The GRMS record of lateral restraint shall identify two 
exception levels. At a minimum, the track owner shall initiate the 
required remedial action at each exception level as defined in the 
following table--

[[Page 105]]



------------------------------------------------------------------------
                       If measurement value
  GRMS parameter \1\          exceeds          Remedial action required
------------------------------------------------------------------------
                          First Level Exception
------------------------------------------------------------------------
UTG..................  58 inches...........  (1) Immediately protect the
                                              exception location with a
                                              10 mph speed restriction;
                                              then verify location; and
                                             (2) Restore lateral
                                              restraint and maintain in
                                              compliance with PTLF
                                              criteria as described in
                                              paragraph (m) of this
                                              section; and
                                             (3) Maintain compliance
                                              with Sec.  213.53(b) of
                                              this part as measured with
                                              the PTLF.
----------------------
LTG..................  58 inches...........
PLG24................  59 inches...........
GWR..................  1.0 inches..........
                          Second Level Exception
------------------------------------------------------------------------
LTG..................  57\3/4\ inches on     \2\ Limit operating speed
                        Class 4 and 5 track   to no more than the
                        \2\.                  maximum allowable under
                                              Sec.  213.9 for Class 3
                                              track; then verify
                                              location; and
                                             (1) Maintain in compliance
                                              with PTLF criteria as
                                              described in paragraph (m)
                                              of this section; and
                                             (2) Maintain compliance
                                              with Sec.  213.53(b) of
                                              this part as measured with
                                              the PTLF.
PLG24................  58 inches...........
GWR..................  0.75 inches.........
------------------------------------------------------------------------
 \1\ Definitions for the GRMS parameters referenced in this table are
  found in paragraph (p) of this section.
\2\ This note recognizes that typical good track will increase in total
  gage by as much as \1/4\ inch due to outward rail rotation under GRMS
  loading conditions. For Class 2 & 3 track, the GRMS LTG values are
  also increased by \1/4\ inch to a maximum of 58 inches. However, for
  any Class of track, GRMS LTG values in excess of 58 inches are
  considered First Level exceptions and the appropriate remedial actions
  must be taken by the track owner. This \1/4\-inch increase in
  allowable gage applies only to GRMS LTG. For gage measured by
  traditional methods, or with the use of the PTLF, the table in Sec.
  213.53(b) will apply.

    (m) Between GRMS inspections, the PTLF may be used as an additional 
analytical tool to assist fully qualified Sec. 213.7 individuals in 
determining compliance with the crosstie and fastener requirements of 
Secs. 213.109 and 213.127. When the PTLF is used, whether as an 
additional analytical tool or to fulfill the requirements of paragraph 
(l), it shall be used subject to the following criteria--
    (1) At any location along the track that the PTLF is applied, that 
location will be deemed in compliance with the crosstie and fastener 
requirements specified in Secs. 213.109 and 213.127 provided that--
    (i) The total gage widening at that location does not exceed \5/8\ 
inch when increasing the applied force from 0 to 4,000 pounds; and
    (ii) The gage of the track under 4,000 pounds of applied force does 
not exceed the allowable gage prescribed in Sec. 213.53(b) for the class 
of track.
    (2) Gage widening in excess of \5/8\ inch shall constitute a 
deviation from Class 1 standards.
    (3) A person designated as fully qualified under Sec. 213.7 retains 
the discretionary authority to prescribe additional remedial actions for 
those locations which comply with the requirements of paragraph 
(m)(1)(i) and (ii) of this section.
    (4) When a functional PTLF is not available to a fully qualified 
person designated under Sec. 213.7, the criteria for determining 
crosstie and fastener compliance shall be based solely on the 
requirements specified in Secs. 213.109 and 213.127.
    (5) If the PTLF becomes non-functional or is missing, the track 
owner will replace or repair it before the next inspection required 
under Sec. 213.233.
    (6) Where vertical loading of the track is necessary for contact 
with the lateral rail restraint components, a PTLF test will not be 
considered valid until contact with these components is restored under 
static loading conditions.
    (n) The track owner shall maintain a record of the two most recent 
GRMS inspections at locations which meet the requirements specified in 
Sec. 213.241(b). At a minimum, records shall indicate the following--
    (1) Location and nature of each First Level exception; and
    (2) Nature and date of remedial action, if any, for each exception 
identified in paragraph (n)(1) of this section.
    (o) The inspection interval for designated GRMS line segments shall 
be such that--

[[Page 106]]

    (1) On line segments where the annual tonnage exceeds two million 
gross tons, or where the maximum operating speeds for passenger trains 
exceeds 30 mph, GRMS inspections must be performed annually at an 
interval not to exceed 14 months; or
    (2) On line segments where the annual tonnage is two million gross 
tons or less and the maximum operating speed for passenger trains does 
not exceed 30 mph, the interval between GRMS inspections must not exceed 
24 months.
    (p) As used in this section--
    (1) Gage Restraint Measurement System (GRMS) means a track loading 
vehicle meeting the minimum design requirements specified in this 
section.
    (2) Gage Widening Ratio (GWR) means the measured difference between 
loaded and unloaded gage measurements, linearly normalized to 16,000 
pounds of applied lateral load.
    (3) L/V ratio means the numerical ratio of lateral load applied at a 
point on the rail to the vertical load applied at that same point. GRMS 
design requirements specify an L/V ratio of between 0.5 and 1.25. GRMS 
vehicles using load combinations developing L/V ratios which exceed 0.8 
must be operated with caution to protect against the risk of wheel climb 
by the test wheelset.
    (4) Load severity means the amount of lateral load applied to the 
fastener system after friction between rail and tie is overcome by any 
applied gage-widening lateral load.
    (5) Loaded Track Gage (LTG) means the gage measured by the GRMS 
vehicle at a point no more than 12 inches from the lateral load 
application point.
    (6) Portable Track Loading Fixture (PTLF) means a portable track 
loading device capable of applying an increasing lateral force from 0 to 
4,000 pounds on the web/base fillet of each rail simultaneously.
    (7) Projected Loaded Gage (PLG) means an extrapolated value for 
loaded gage calculated from actual measured loads and deflections. PLG 
24 means the extrapolated value for loaded gage under a 24,000 pound 
lateral load and a 33,000 pound vertical load.
    (8) Unloaded Track Gage (UTG) means the gage measured by the GRMS 
vehicle at a point no less than 10 feet from any lateral or vertical 
load.

[66 FR 1899, Jan. 10, 2001; 66 FR 8372, Jan. 31, 2001]



Sec. 213.113  Defective rails.

    (a) When an owner of track to which this part applies learns, 
through inspection or otherwise, that a rail in that track contains any 
of the defects listed in the following table, a person designated under 
Sec. 213.7 shall determine whether or not the track may continue in use. 
If he determines that the track may continue in use, operation over the 
defective rail is not permitted until--
    (1) The rail is replaced; or
    (2) The remedial action prescribed in the table is initiated.

[[Page 107]]

[GRAPHIC] [TIFF OMITTED] TN28SE98.059

    Notes A. Assign person designated under Sec. 213.7 to visually 
supervise each operation over defective rail.
    A2. Assign person designated under Sec. 213.7 to make visual 
inspection. After a visual inspection, that person may authorize 
operation to continue without continuous visual

[[Page 108]]

supervision at a maximum of 10 m.p.h. for up to 24 hours prior to 
another such visual inspection or replacement or repair of the rail.
    B. Limit operating speed over defective rail to that as authorized 
by a person designated under Sec. 213.7(a), who has at least one year of 
supervisory experience in railroad track maintenance. The operating 
speed cannot be over 30 m.p.h. or the maximum allowable speed under 
Sec. 213.9 for the class of track concerned, whichever is lower.
    C. Apply joint bars bolted only through the outermost holes to 
defect within 20 days after it is determined to continue the track in 
use. In the case of Classes 3 through 5 track, limit operating speed 
over defective rail to 30 m.p.h. until joint bars are applied; 
thereafter, limit speed to 50 m.p.h. or the maximum allowable speed 
under Sec. 213.9 for the class of track concerned, whichever is lower. 
When a search for internal rail defects is conducted under Sec. 213.237, 
and defects are discovered in Classes 3 through 5 which require remedial 
action C, the operating speed shall be limited to 50 m.p.h., or the 
maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower, for a period not to exceed 4 days. If the 
defective rail has not been removed from the track or a permanent repair 
made within 4 days of the discovery, limit operating speed over the 
defective rail to 30 m.p.h. until joint bars are applied; thereafter, 
limit speed to 50 m.p.h. or the maximum allowable speed under Sec. 213.9 
for the class of track concerned, whichever is lower.
    D. Apply joint bars bolted only through the outermost holes to 
defect within 10 days after it is determined to continue the track in 
use. In the case of Classes 3 through 5 track, limit operating speed 
over the defective rail to 30 m.p.h. or less as authorized by a person 
designated under Sec. 213.7(a), who has at least one year of supervisory 
experience in railroad track maintenance, until joint bars are applied; 
thereafter, limit speed to 50 m.p.h. or the maximum allowable speed 
under Sec. 213.9 for the class of track concerned, whichever is lower.
    E. Apply joint bars to defect and bolt in accordance with 
Sec. 213.121(d) and (e).
    F. Inspect rail 90 days after it is determined to continue the track 
in use.
    G. Inspect rail 30 days after it is determined to continue the track 
in use.
    H. Limit operating speed over defective rail to 50 m.p.h. or the 
maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower.
    I. Limit operating speed over defective rail to 30 m.p.h. or the 
maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower.

    (b) As used in this section--
    (1) Transverse fissure means a progressive crosswise fracture 
starting from a crystalline center or nucleus inside the head from which 
it spreads outward as a smooth, bright, or dark, round or oval surface 
substantially at a right angle to the length of the rail. The 
distinguishing features of a transverse fissure from other types of 
fractures or defects are the crystalline center or nucleus and the 
nearly smooth surface of the development which surrounds it.
    (2) Compound fissure means a progressive fracture originating in a 
horizontal split head which turns up or down in the head of the rail as 
a smooth, bright, or dark surface progressing until substantially at a 
right angle to the length of the rail. Compound fissures require 
examination of both faces of the fracture to locate the horizontal split 
head from which they originate.
    (3) Horizontal split head means a horizontal progressive defect 
originating inside of the rail head, usually one-quarter inch or more 
below the running surface and progressing horizontally in all 
directions, and generally accompanied by a flat spot on the running 
surface. The defect appears as a crack lengthwise of the rail when it 
reaches the side of the rail head.
    (4) Vertical split head means a vertical split through or near the 
middle of the head, and extending into or through it. A crack or rust 
streak may show under the head close to the web or pieces may be split 
off the side of the head.
    (5) Split web means a lengthwise crack along the side of the web and 
extending into or through it.
    (6) Piped rail means a vertical split in a rail, usually in the web, 
due to failure of the shrinkage cavity in the ingot to unite in rolling.
    (7) Broken base means any break in the base of the rail.
    (8) Detail fracture means a progressive fracture originating at or 
near the surface of the rail head. These fractures should not be 
confused with transverse fissures, compound fissures, or other defects 
which have internal origins. Detail fractures may arise from shelly 
spots, head checks, or flaking.
    (9) Engine burn fracture means a progressive fracture originating in 
spots where driving wheels have slipped on top of the rail head. In 
developing downward they frequently resemble the

[[Page 109]]

compound or even transverse fissures with which they should not be 
confused or classified.
    (10) Ordinary break means a partial or complete break in which there 
is no sign of a fissure, and in which none of the other defects 
described in this paragraph (b) are found.
    (11) Damaged rail means any rail broken or injured by wrecks, 
broken, flat, or unbalanced wheels, slipping, or similar causes.
    (12) Flattened rail means a short length of rail, not at a joint, 
which has flattened out across the width of the rail head to a depth of 
\3/8\ inch or more below the rest of the rail. Flattened rail 
occurrences have no repetitive regularity and thus do not include 
corrugations, and have no apparent localized cause such as a weld or 
engine burn. Their individual length is relatively short, as compared to 
a condition such as head flow on the low rail of curves.
    (13) Bolt hole crack means a crack across the web, originating from 
a bolt hole, and progressing on a path either inclined upward toward the 
rail head or inclined downward toward the base. Fully developed bolt 
hole cracks may continue horizontally along the head/web or base/web 
fillet, or they may progress into and through the head or base to 
separate a piece of the rail end from the rail. Multiple cracks 
occurring in one rail end are considered to be a single defect. However, 
bolt hole cracks occurring in adjacent rail ends within the same joint 
must be reported as separate defects.
    (14) Defective weld means a field or plant weld containing any 
discontinuities or pockets, exceeding 5 percent of the rail head area 
individually or 10 percent in the aggregate, oriented in or near the 
transverse plane, due to incomplete penetration of the weld metal 
between the rail ends, lack of fusion between weld and rail end metal, 
entrainment of slag or sand, under-bead or other shrinkage cracking, or 
fatigue cracking. Weld defects may originate in the rail head, web, or 
base, and in some cases, cracks may progress from the defect into either 
or both adjoining rail ends.
    (15) Head and web separation means a progressive fracture, 
longitudinally separating the head from the web of the rail at the head 
fillet area.

[63 FR 34029, June 22, 1998; 63 FR 51639, Sept. 28, 1998]



Sec. 213.115  Rail end mismatch.

    Any mismatch of rails at joints may not be more than that prescribed 
by the following table--

------------------------------------------------------------------------
                                     Any mismatch of rails at joints may
                                      not be more than the following--
                                   -------------------------------------
          Class of track             On the tread of    On the gage side
                                      the rail ends     of the rail ends
                                          (inch)             (inch)
------------------------------------------------------------------------
Class 1 track.....................              \1/4\              \1/4\
Class 2 track.....................              \1/4\             \3/16\
Class 3 track.....................             \3/16\             \3/16\
Class 4 and 5 track...............              \1/8\              \1/8\
------------------------------------------------------------------------



Sec. 213.119  Continuous welded rail (CWR); general.

    Each track owner with track constructed of CWR shall have in effect 
and comply with written procedures which address the installation, 
adjustment, maintenance and inspection of CWR, and a training program 
for the application of those procedures, which shall be submitted to the 
Federal Railroad Administration by March 22, 1999. FRA reviews each plan 
for compliance with the following--
    (a) Procedures for the installation and adjustment of CWR which 
include--
    (1) Designation of a desired rail installation temperature range for 
the geographic area in which the CWR is located; and
    (2) De-stressing procedures/methods which address proper attainment 
of the desired rail installation temperature range when adjusting CWR.
    (b) Rail anchoring or fastening requirements that will provide 
sufficient

[[Page 110]]

restraint to limit longitudinal rail and crosstie movement to the extent 
practical, and specifically addressing CWR rail anchoring or fastening 
patterns on bridges, bridge approaches, and at other locations where 
possible longitudinal rail and crosstie movement associated with 
normally expected train-induced forces, is restricted.
    (c) Procedures which specifically address maintaining a desired rail 
installation temperature range when cutting CWR including rail repairs, 
in-track welding, and in conjunction with adjustments made in the area 
of tight track, a track buckle, or a pull-apart. Rail repair practices 
shall take into consideration existing rail temperature so that--
    (1) When rail is removed, the length installed shall be determined 
by taking into consideration the existing rail temperature and the 
desired rail installation temperature range; and
    (2) Under no circumstances should rail be added when the rail 
temperature is below that designated by paragraph (a)(1) of this 
section, without provisions for later adjustment.
    (d) Procedures which address the monitoring of CWR in curved track 
for inward shifts of alinement toward the center of the curve as a 
result of disturbed track.
    (e) Procedures which control train speed on CWR track when--
    (1) Maintenance work, track rehabilitation, track construction, or 
any other event occurs which disturbs the roadbed or ballast section and 
reduces the lateral or longitudinal resistance of the track; and
    (2) In formulating the procedures under this paragraph (e), the 
track owner shall--
    (i) Determine the speed required, and the duration and subsequent 
removal of any speed restriction based on the restoration of the 
ballast, along with sufficient ballast re-consolidation to stabilize the 
track to a level that can accommodate expected train-induced forces. 
Ballast re-consolidation can be achieved through either the passage of 
train tonnage or mechanical stabilization procedures, or both; and
    (ii) Take into consideration the type of crossties used.
    (f) Procedures which prescribe when physical track inspections are 
to be performed to detect buckling prone conditions in CWR track. At a 
minimum, these procedures shall address inspecting track to identify--
    (1) Locations where tight or kinky rail conditions are likely to 
occur;
    (2) Locations where track work of the nature described in paragraph 
(e)(1) of this section have recently been performed; and
    (3) In formulating the procedures under this paragraph (f), the 
track owner shall--
    (i) Specify the timing of the inspection; and
    (ii) Specify the appropriate remedial actions to be taken when 
buckling prone conditions are found.
    (g) The track owner shall have in effect a comprehensive training 
program for the application of these written CWR procedures, with 
provisions for periodic re-training, for those individuals designated 
under Sec. 213.7 of this part as qualified to supervise the 
installation, adjustment, and maintenance of CWR track and to perform 
inspections of CWR track.
    (h) The track owner shall prescribe recordkeeping requirements 
necessary to provide an adequate history of track constructed with CWR. 
At a minimum, these records must include:
    (1) Rail temperature, location and date of CWR installations. This 
record shall be retained for at least one year; and
    (2) A record of any CWR installation or maintenance work that does 
not conform with the written procedures. Such record shall include the 
location of the rail and be maintained until the CWR is brought into 
conformance with such procedures.
    (i) As used in this section--
    (1) Adjusting/de-stressing means the procedure by which a rail's 
temperature is re-adjusted to the desired value. It typically consists 
of cutting the rail and removing rail anchoring devices, which provides 
for the necessary expansion and contraction, and then re-assembling the 
track.
    (2) Buckling incident means the formation of a lateral mis-alinement 
sufficient in magnitude to constitute a deviation from the Class 1 
requirements

[[Page 111]]

specified in Sec. 213.55 of this part. These normally occur when rail 
temperatures are relatively high and are caused by high longitudinal 
compressive forces.
    (3) Continuous welded rail (CWR) means rail that has been welded 
together into lengths exceeding 400 feet.
    (4) Desired rail installation temperature range means the rail 
temperature range, within a specific geographical area, at which forces 
in CWR should not cause a buckling incident in extreme heat, or a pull-
apart during extreme cold weather.
    (5) Disturbed track means the disturbance of the roadbed or ballast 
section, as a result of track maintenance or any other event, which 
reduces the lateral or longitudinal resistance of the track, or both.
    (6) Mechanical stabilization means a type of procedure used to 
restore track resistance to disturbed track following certain 
maintenance operations. This procedure may incorporate dynamic track 
stabilizers or ballast consolidators, which are units of work equipment 
that are used as a substitute for the stabilization action provided by 
the passage of tonnage trains.
    (7) Rail anchors means those devices which are attached to the rail 
and bear against the side of the crosstie to control longitudinal rail 
movement. Certain types of rail fasteners also act as rail anchors and 
control longitudinal rail movement by exerting a downward clamping force 
on the upper surface of the rail base.
    (8) Rail temperature means the temperature of the rail, measured 
with a rail thermometer.
    (9) Tight/kinky rail means CWR which exhibits minute alinement 
irregularities which indicate that the rail is in a considerable amount 
of compression.
    (10) Train-induced forces means the vertical, longitudinal, and 
lateral dynamic forces which are generated during train movement and 
which can contribute to the buckling potential.
    (11) Track lateral resistance means the resistance provided to the 
rail/crosstie structure against lateral displacement.
    (12) Track longitudinal resistance means the resistance provided by 
the rail anchors/rail fasteners and the ballast section to the rail/
crosstie structure against longitudinal displacement.

[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998; 63 FR 49382, 
Sept. 15, 1998]



Sec. 213.121  Rail joints.

    (a) Each rail joint, insulated joint, and compromise joint shall be 
of a structurally sound design and dimensions for the rail on which it 
is applied.
    (b) If a joint bar on Classes 3 through 5 track is cracked, broken, 
or because of wear allows excessive vertical movement of either rail 
when all bolts are tight, it shall be replaced.
    (c) If a joint bar is cracked or broken between the middle two bolt 
holes it shall be replaced.
    (d) In the case of conventional jointed track, each rail shall be 
bolted with at least two bolts at each joint in Classes 2 through 5 
track, and with at least one bolt in Class 1 track.
    (e) In the case of continuous welded rail track, each rail shall be 
bolted with at least two bolts at each joint.
    (f) Each joint bar shall be held in position by track bolts 
tightened to allow the joint bar to firmly support the abutting rail 
ends and to allow longitudinal movement of the rail in the joint to 
accommodate expansion and contraction due to temperature variations. 
When no-slip, joint-to-rail contact exists by design, the requirements 
of this paragraph do not apply. Those locations when over 400 feet in 
length, are considered to be continuous welded rail track and shall meet 
all the requirements for continuous welded rail track prescribed in this 
part.
    (g) No rail shall have a bolt hole which is torch cut or burned in 
Classes 2 through 5 track. For Class 2 track, this paragraph (g) is 
applicable September 21, 1999.
    (h) No joint bar shall be reconfigured by torch cutting in Classes 3 
through 5 track.



Sec. 213.122  Torch cut rail.

    (a) Except as a temporary repair in emergency situations no rail 
having a torch cut end shall be used in Classes 3 through 5 track. When 
a rail end is torch cut in emergency situations, train speed over that 
rail end shall not exceed the maximum allowable for Class 2 track. For 
existing torch cut

[[Page 112]]

rail ends in Classes 3 through 5 track the following shall apply--
    (1) Within one year of September 21, 1998, all torch cut rail ends 
in Class 5 track shall be removed;
    (2) Within two years of September 21, 1998, all torch cut rail ends 
in Class 4 track shall be removed; and
    (3) Within one year of September 21, 1998, all torch cut rail ends 
in Class 3 track over which regularly scheduled passenger trains 
operate, shall be inventoried by the track owner.
    (b) Following the expiration of the time limits specified in 
paragraphs (a)(1), (2), and (3) of this section, any torch cut rail end 
not removed from Classes 4 and 5 track, or any torch cut rail end not 
inventoried in Class 3 track over which regularly scheduled passenger 
trains operate, shall be removed within 30 days of discovery. Train 
speed over that rail end shall not exceed the maximum allowable for 
Class 2 track until removed.



Sec. 213.123  Tie plates.

    (a) In Classes 3 through 5 track where timber crossties are in use 
there shall be tie plates under the running rails on at least eight of 
any 10 consecutive ties.
    (b) In Classes 3 through 5 track no metal object which causes a 
concentrated load by solely supporting a rail shall be allowed between 
the base of the rail and the bearing surface of the tie plate. This 
paragraph (b) is applicable September 21, 1999.)



Sec. 213.127  Rail fastening systems.

    Track shall be fastened by a system of components which effectively 
maintains gage within the limits prescribed in Sec. 213.53(b). Each 
component of each such system shall be evaluated to determine whether 
gage is effectively being maintained.



Sec. 213.133  Turnouts and track crossings generally.

    (a) In turnouts and track crossings, the fastenings shall be intact 
and maintained so as to keep the components securely in place. Also, 
each switch, frog, and guard rail shall be kept free of obstructions 
that may interfere with the passage of wheels.
    (b) Classes 3 through 5 track shall be equipped with rail anchoring 
through and on each side of track crossings and turnouts, to restrain 
rail movement affecting the position of switch points and frogs. For 
Class 3 track, this paragraph (b) is applicable September 21, 1999.)
    (c) Each flangeway at turnouts and track crossings shall be at least 
1\1/2\ inches wide.



Sec. 213.135  Switches.

    (a) Each stock rail must be securely seated in switch plates, but 
care shall be used to avoid canting the rail by overtightening the rail 
braces.
    (b) Each switch point shall fit its stock rail properly, with the 
switch stand in either of its closed positions to allow wheels to pass 
the switch point. Lateral and vertical movement of a stock rail in the 
switch plates or of a switch plate on a tie shall not adversely affect 
the fit of the switch point to the stock rail. Broken or cracked switch 
point rails will be subject to the requirements of Sec. 213.113, except 
that where remedial actions C, D, or E require the use of joint bars, 
and joint bars cannot be placed due to the physical configuration of the 
switch, remedial action B will govern, taking into account any added 
safety provided by the presence of reinforcing bars on the switch 
points.
    (c) Each switch shall be maintained so that the outer edge of the 
wheel tread cannot contact the gage side of the stock rail.
    (d) The heel of each switch rail shall be secure and the bolts in 
each heel shall be kept tight.
    (e) Each switch stand and connecting rod shall be securely fastened 
and operable without excessive lost motion.
    (f) Each throw lever shall be maintained so that it cannot be 
operated with the lock or keeper in place.
    (g) Each switch position indicator shall be clearly visible at all 
times.
    (h) Unusually chipped or worn switch points shall be repaired or 
replaced. Metal flow shall be removed to insure proper closure.
    (i) Tongue & Plain Mate switches, which by design exceed Class 1 and 
excepted track maximum gage limits, are

[[Page 113]]

permitted in Class 1 and excepted track.



Sec. 213.137  Frogs.

    (a) The flangeway depth measured from a plane across the wheel-
bearing area of a frog on Class 1 track shall not be less than 1\3/8\ 
inches, or less than 1\1/2\ inches on Classes 2 through 5 track.
    (b) If a frog point is chipped, broken, or worn more than five-
eighths inch down and 6 inches back, operating speed over the frog shall 
not be more than 10 m.p.h..
    (c) If the tread portion of a frog casting is worn down more than 
three-eighths inch below the original contour, operating speed over that 
frog shall not be more than 10 m.p.h..
    (d) Where frogs are designed as flange-bearing, flangeway depth may 
be less than that shown for Class 1 if operated at Class 1 speeds.



Sec. 213.139  Spring rail frogs.

    (a) The outer edge of a wheel tread shall not contact the gage side 
of a spring wing rail.
    (b) The toe of each wing rail shall be solidly tamped and fully and 
tightly bolted.
    (c) Each frog with a bolt hole defect or head-web separation shall 
be replaced.
    (d) Each spring shall have compression sufficient to hold the wing 
rail against the point rail.
    (e) The clearance between the holddown housing and the horn shall 
not be more than one-fourth of an inch.



Sec. 213.141  Self-guarded frogs.

    (a) The raised guard on a self-guarded frog shall not be worn more 
than three-eighths of an inch.
    (b) If repairs are made to a self-guarded frog without removing it 
from service, the guarding face shall be restored before rebuilding the 
point.



Sec. 213.143  Frog guard rails and guard faces; gage.

    The guard check and guard face gages in frogs shall be within the 
limits prescribed in the following table--

----------------------------------------------------------------------------------------------------------------
                                           Guard check gage  The distance
                                          between the gage line of a frog
                                            to the guard line \1\ of its   Guard face gage  The distance between
                                            guard rail or guarding face,    guard lines \1\, measured across the
             Class of track                 measured across the track at     track at right angles to the gage
                                           right angles to the gage line      line \2\, may not be more than--
                                            \2\, may not be less than--
 
----------------------------------------------------------------------------------------------------------------
Class 1 track...........................  4[foot]6\1/8\.......  4[foot] 5\1/4\
Class 2 track...........................  4[foot]6\1/4\.......  4[foot] 5\1/8\
Class 3 and 4 track.....................  4[foot] 6\3/8\......  4[foot]5\1/8\
Class 5 track...........................  4[foot]6\1/2\.......  4[foot] 5
----------------------------------------------------------------------------------------------------------------
\1\ A line along that side of the flangeway which is nearer to the center of the track and at the same elevation
  as the gage line.
\2\ A line \5/8\ inch below the top of the center line of the head of the running rail, or corresponding
  location of the tread portion of the track structure.

  [GRAPHIC] [TIFF OMITTED] TR22JN98.006
  

[[Page 114]]

[GRAPHIC] [TIFF OMITTED] TR22JN98.007



          Subpart E--Track Appliances and Track-Related Devices



Sec. 213.201  Scope.

    This subpart prescribes minimum requirements for certain track 
appliances and track-related devices.



Sec. 213.205  Derails.

    (a) Each derail shall be clearly visible.
    (b) When in a locked position, a derail shall be free of lost motion 
which would prevent it from performing its intended function.
    (c) Each derail shall be maintained to function as intended.
    (d) Each derail shall be properly installed for the rail to which it 
is applied. (This paragraph (d) is applicable September 21, 1999.)



                          Subpart F--Inspection



Sec. 213.231  Scope.

    This subpart prescribes requirements for the frequency and manner of 
inspecting track to detect deviations from the standards prescribed in 
this part.



Sec. 213.233  Track inspections.

    (a) All track shall be inspected in accordance with the schedule 
prescribed in paragraph (c) of this section by a person designated under 
Sec. 213.7.
    (b) Each inspection shall be made on foot or by riding over the 
track in a vehicle at a speed that allows the person making the 
inspection to visually inspect the track structure for compliance with 
this part. However, mechanical, electrical, and other track inspection 
devices may be used to supplement visual inspection. If a vehicle is 
used for visual inspection, the speed of the vehicle may not be more 
than 5 miles per hour when passing over track crossings and turnouts, 
otherwise, the inspection vehicle speed shall be at the sole discretion 
of the inspector, based on track conditions and inspection requirements. 
When riding over the track in a vehicle, the inspection will be subject 
to the following conditions--
    (1) One inspector in a vehicle may inspect up to two tracks at one 
time provided that the inspector's visibility remains unobstructed by 
any cause and that the second track is not centered more than 30 feet 
from the track upon which the inspector is riding;
    (2) Two inspectors in one vehicle may inspect up to four tracks at a 
time provided that the inspectors' visibility remains unobstructed by 
any cause and that each track being inspected is centered within 39 feet 
from the track upon which the inspectors are riding;
    (3) Each main track is actually traversed by the vehicle or 
inspected on foot at least once every two weeks, and each siding is 
actually traversed by the vehicle or inspected on foot at least once 
every month. On high density commuter railroad lines where track time 
does not permit an on track vehicle inspection, and where track centers 
are 15 foot or less, the requirements of this paragraph (b)(3) will not 
apply; and
    (4) Track inspection records shall indicate which track(s) are 
traversed by the vehicle or inspected on foot as outlined in paragraph 
(b)(3) of this section.
    (c) Each track inspection shall be made in accordance with the 
following schedule--

[[Page 115]]



------------------------------------------------------------------------
       Class of track             Type of track      Required frequency
------------------------------------------------------------------------
Excepted track and Class 1,   Main track and        Weekly with at least
 2, and 3 track.               sidings.              3 calendar days
                                                     interval between
                                                     inspections, or
                                                     before use, if the
                                                     track is used less
                                                     than once a week,
                                                     or twice weekly
                                                     with at least 1
                                                     calendar day
                                                     interval between
                                                     inspections, if the
                                                     track carries
                                                     passenger trains or
                                                     more than 10
                                                     million gross tons
                                                     of traffic during
                                                     the preceding
                                                     calendar year.
Excepted track and Class 1,   Other than main       Monthly with at
 2, and 3 track.               track and sidings.    least 20 calendar
                                                     days interval
                                                     between
                                                     inspections.
Class 4 and 5 track.........  ....................  Twice weekly with at
                                                     least 1 calendar
                                                     day interval
                                                     between
                                                     inspections.
------------------------------------------------------------------------

    (d) If the person making the inspection finds a deviation from the 
requirements of this part, the inspector shall immediately initiate 
remedial action.

    Note to Sec. 213.233: Except as provided in paragraph (b) of this 
section, no part of this section will in any way be construed to limit 
the inspector's discretion as it involves inspection speed and sight 
distance.



Sec. 213.235  Inspection of switches, track crossings, and lift rail assemblies or other transition devices on moveable bridges.

    (a) Except as provided in paragraph (c) of this section, each 
switch, turnout, track crossing, and moveable bridge lift rail assembly 
or other transition device shall be inspected on foot at least monthly.
    (b) Each switch in Classes 3 through 5 track that is held in 
position only by the operating mechanism and one connecting rod shall be 
operated to all of its positions during one inspection in every 3 month 
period.
    (c) In the case of track that is used less than once a month, each 
switch, turnout, track crossing, and moveable bridge lift rail assembly 
or other transition device shall be inspected on foot before it is used.



Sec. 213.237  Inspection of rail.

    (a) In addition to the track inspections required by Sec. 213.233, a 
continuous search for internal defects shall be made of all rail in 
Classes 4 through 5 track, and Class 3 track over which passenger trains 
operate, at least once every 40 million gross tons (mgt) or once a year, 
whichever interval is shorter. On Class 3 track over which passenger 
trains do not operate such a search shall be made at least once every 30 
mgt or once a year, whichever interval is longer. (This paragraph (a) is 
applicable January 1, 1999.
    (b) Inspection equipment shall be capable of detecting defects 
between joint bars, in the area enclosed by joint bars.
    (c) Each defective rail shall be marked with a highly visible 
marking on both sides of the web and base.
    (d) If the person assigned to operate the rail defect detection 
equipment being used determines that, due to rail surface conditions, a 
valid search for internal defects could not be made over a particular 
length of track, the test on that particular length of track cannot be 
considered as a search for internal defects under paragraph (a) of this 
section. (This paragraph (d) is not retroactive to tests performed prior 
to September 21, 1998.
    (e) If a valid search for internal defects cannot be conducted for 
reasons described in paragraph (d) of this section, the track owner 
shall, before the expiration of time or tonnage limits--
    (1) Conduct a valid search for internal defects;
    (2) Reduce operating speed to a maximum of 25 miles per hour until 
such time as a valid search for internal defects can be made; or
    (3) Remove the rail from service.



Sec. 213.239  Special inspections.

    In the event of fire, flood, severe storm, or other occurrence which 
might have damaged track structure, a special inspection shall be made 
of the track involved as soon as possible after the occurrence and, if 
possible, before the operation of any train over that track.

[[Page 116]]



Sec. 213.241  Inspection records.

    (a) Each owner of track to which this part applies shall keep a 
record of each inspection required to be performed on that track under 
this subpart.
    (b) Each record of an inspection under Secs. 213.4, 213.233, and 
213.235 shall be prepared on the day the inspection is made and signed 
by the person making the inspection. Records shall specify the track 
inspected, date of inspection, location and nature of any deviation from 
the requirements of this part, and the remedial action taken by the 
person making the inspection. The owner shall designate the location(s) 
where each original record shall be maintained for at least one year 
after the inspection covered by the record. The owner shall also 
designate one location, within 100 miles of each state in which they 
conduct operations, where copies of records which apply to those 
operations are either maintained or can be viewed following 10 days 
notice by the Federal Railroad Administration.
    (c) Rail inspection records shall specify the date of inspection, 
the location and nature of any internal defects found, the remedial 
action taken and the date thereof, and the location of any intervals of 
track not tested per Sec. 213.237(d). The owner shall retain a rail 
inspection record for at least two years after the inspection and for 
one year after remedial action is taken.
    (d) Each owner required to keep inspection records under this 
section shall make those records available for inspection and copying by 
the Federal Railroad Administration.
    (e) For purposes of compliance with the requirements of this 
section, an owner of track may maintain and transfer records through 
electronic transmission, storage, and retrieval provided that--
    (1) The electronic system be designed so that the integrity of each 
record is maintained through appropriate levels of security such as 
recognition of an electronic signature, or other means, which uniquely 
identify the initiating person as the author of that record. No two 
persons shall have the same electronic identity;
    (2) The electronic storage of each record shall be initiated by the 
person making the inspection within 24 hours following the completion of 
that inspection;
    (3) The electronic system shall ensure that each record cannot be 
modified in any way, or replaced, once the record is transmitted and 
stored;
    (4) Any amendment to a record shall be electronically stored apart 
from the record which it amends. Each amendment to a record shall be 
uniquely identified as to the person making the amendment;
    (5) The electronic system shall provide for the maintenance of 
inspection records as originally submitted without corruption or loss of 
data;
    (6) Paper copies of electronic records and amendments to those 
records, that may be necessary to document compliance with this part 
shall be made available for inspection and copying by the Federal 
Railroad Administration at the locations specified in paragraph (b) of 
this section; and
    (7) Track inspection records shall be kept available to persons who 
performed the inspections and to persons performing subsequent 
inspections.



        Subpart G--Train Operations at Track Classes 6 and Higher



Sec. 213.301  Scope of subpart.

    This subpart applies to all track used for the operation of trains 
at a speed greater than 90 m.p.h. for passenger equipment and greater 
than 80 m.p.h. for freight equipment.



Sec. 213.303  Responsibility for compliance.

    (a) Any owner of track to which this subpart applies who knows or 
has notice that the track does not comply with the requirements of this 
subpart, shall--
    (1) Bring the track into compliance; or
    (2) Halt operations over that track.
    (b) If an owner of track to which this subpart applies assigns 
responsibility for the track to another person (by lease or otherwise), 
notification of the assignment shall be provided to the appropriate FRA 
Regional Office at least 30 days in advance of the assignment. The 
notification may be made by any

[[Page 117]]

party to that assignment, but shall be in writing and include the 
following--
    (1) The name and address of the track owner;
    (2) The name and address of the person to whom responsibility is 
assigned (assignee);
    (3) A statement of the exact relationship between the track owner 
and the assignee;
    (4) A precise identification of the track;
    (5) A statement as to the competence and ability of the assignee to 
carry out the duties of the track owner under this subpart;
    (6) A statement signed by the assignee acknowledging the assignment 
to that person of responsibility for purposes of compliance with this 
subpart.
    (c) The Administrator may hold the track owner or the assignee or 
both responsible for compliance with this subpart and subject to the 
penalties under Sec. 213.15.
    (d) When any person, including a contractor for a railroad or track 
owner, performs any function required by this part, that person is 
required to perform that function in accordance with this part.



Sec. 213.305  Designation of qualified individuals; general qualifications.

    Each track owner to which this subpart applies shall designate 
qualified individuals responsible for the maintenance and inspection of 
track in compliance with the safety requirements prescribed in this 
subpart. Each individual, including a contractor or an employee of a 
contractor who is not a railroad employee, designated to:
    (a) Supervise restorations and renewals of track shall meet the 
following minimum requirements:
    (1) At least;
    (i) Five years of responsible supervisory experience in railroad 
track maintenance in track Class 4 or higher and the successful 
completion of a course offered by the employer or by a college level 
engineering program, supplemented by special on the job training 
emphasizing the techniques to be employed in the supervision, 
restoration, and renewal of high speed track; or
    (ii) A combination of at least one year of responsible supervisory 
experience in track maintenance in Class 4 or higher and the successful 
completion of a minimum of 80 hours of specialized training in the 
maintenance of high speed track provided by the employer or by a college 
level engineering program, supplemented by special on the job training 
provided by the employer with emphasis on the maintenance of high speed 
track; or
    (iii) A combination of at least two years of experience in track 
maintenance in track Class 4 or higher and the successful completion of 
a minimum of 120 hours of specialized training in the maintenance of 
high speed track provided by the employer or by a college level 
engineering program supplemented by special on the job training provided 
by the employer with emphasis on the maintenance of high speed track.
    (2) Demonstrate to the track owner that the individual:
    (i) Knows and understands the requirements of this subpart;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations; and
    (3) Be authorized in writing by the track owner to prescribe 
remedial actions to correct or safely compensate for deviations from the 
requirements of this subpart and successful completion of a recorded 
examination on this subpart as part of the qualification process.
    (b) Inspect track for defects shall meet the following minimum 
qualifications:
    (1) At least:
    (i) Five years of responsible experience inspecting track in Class 4 
or above and the successful completion of a course offered by the 
employer or by a college level engineering program, supplemented by 
special on the job training emphasizing the techniques to be employed in 
the inspection of high speed track; or
    (ii) A combination of at least one year of responsible experience in 
track inspection in Class 4 or above and the successful completion of a 
minimum of 80 hours of specialized training in the

[[Page 118]]

inspection of high speed track provided by the employer or by a college 
level engineering program, supplemented by special on the job training 
provided by the employer with emphasis on the inspection of high speed 
track; or
    (iii) A combination of at least two years of experience in track 
maintenance in Class 4 or above and the successful completion of a 
minimum of 120 hours of specialized training in the inspection of high 
speed track provided by the employer or from a college level engineering 
program, supplemented by special on the job training provided by the 
employer with emphasis on the inspection of high speed track.
    (2) Demonstrate to the track owner that the individual:
    (i) Knows and understands the requirements of this subpart;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations; and
    (3) Be authorized in writing by the track owner to prescribe 
remedial actions to correct or safely compensate for deviations from the 
requirements in this subpart and successful completion of a recorded 
examination on this subpart as part of the qualification process.
    (c) Individuals designated under paragraphs (a) or (b) of this 
section that inspect continuous welded rail (CWR) track or supervise the 
installation, adjustment, and maintenance of CWR in accordance with the 
written procedures established by the track owner shall have:
    (1) Current qualifications under either paragraph (a) or (b) of this 
section;
    (2) Successfully completed a training course of at least eight hours 
duration specifically developed for the application of written CWR 
procedures issued by the track owner; and
    (3) Demonstrated to the track owner that the individual:
    (i) Knows and understands the requirements of those written CWR 
procedures;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations; and
    (4) Written authorization from the track owner to prescribe remedial 
actions to correct or safely compensate for deviations from the 
requirements in those procedures and successful completion of a recorded 
examination on those procedures as part of the qualification process. 
The recorded examination may be written, or it may be a computer file 
with the results of an interactive training course.
    (d) Persons not fully qualified to supervise certain renewals and 
inspect track as outlined in paragraphs (a), (b) and (c) of this 
section, but with at least one year of maintenance of way or signal 
experience, may pass trains over broken rails and pull aparts provided 
that--
    (1) The track owner determines the person to be qualified and, as 
part of doing so, trains, examines, and re-examines the person 
periodically within two years after each prior examination on the 
following topics as they relate to the safe passage of trains over 
broken rails or pull aparts: rail defect identification, crosstie 
condition, track surface and alinement, gage restraint, rail end 
mismatch, joint bars, and maximum distance between rail ends over which 
trains may be allowed to pass. The sole purpose of the examination is to 
ascertain the person's ability to effectively apply these requirements 
and the examination may not be used to disqualify the person from other 
duties. A minimum of four hours training is adequate for initial 
training;
    (2) The person deems it safe, and train speeds are limited to a 
maximum of 10 m.p.h. over the broken rail or pull apart;
    (3) The person shall watch all movements over the broken rail or 
pull apart and be prepared to stop the train if necessary; and
    (4) Person(s) fully qualified under Sec. 213.305 of this subpart are 
notified and dispatched to the location as soon as practicable for the 
purpose of authorizing movements and effectuating temporary or permanent 
repairs.
    (e) With respect to designations under paragraphs (a), (b), (c) and 
(d) of

[[Page 119]]

this section, each track owner shall maintain written records of:
    (1) Each designation in effect;
    (2) The basis for each designation, including but not limited to:
    (i) The exact nature of any training courses attended and the dates 
thereof;
    (ii) The manner in which the track owner has determined a successful 
completion of that training course, including test scores or other 
qualifying results;
    (3) Track inspections made by each individual as required by 
Sec. 213.369. These records shall be made available for inspection and 
copying by the Federal Railroad Administration during regular business 
hours.

[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]



Sec. 213.307  Class of track: operating speed limits.

    (a) Except as provided in paragraph (b) of this section and 
Secs. 213.329, 213.337(a) and 213.345(c), the following maximum 
allowable operating speeds apply:

------------------------------------------------------------------------
     Over track that meets all of the          The maximum allowable
 requirements prescribed in this subpart     operating speed for trains
                  for--                               \1\ is--
------------------------------------------------------------------------
Class 6 track............................  110 m.p.h.
Class 7 track............................  125 m.p.h.
Class 8 track............................  160 m.p.h.\2\
Class 9 track............................  200 m.p.h.
------------------------------------------------------------------------
\1\ Freight may be transported at passenger train speeds if the
  following conditions are met:
(1) The vehicles utilized to carry such freight are of equal dynamic
  performance and have been qualified in accordance with Sections
  213.345 and 213.329(d) of this subpart.
(2) The load distribution and securement in the freight vehicle will not
  adversely affect the dynamic performance of the vehicle. The axle
  loading pattern is uniform and does not exceed the passenger
  locomotive axle loadings utilized in passenger service operating at
  the same maximum speed.
(3) No carrier may accept or transport a hazardous material, as defined
  at 49 CFR 171.8, except as provided in Column 9A of the Hazardous
  Materials Table (49 CFR 172.101) for movement in the same train as a
  passenger-carrying vehicle or in Column 9B of the Table for movement
  in a train with no passenger-carrying vehicles.
\2\ Operating speeds in excess of 150 m.p.h. are authorized by this part
  only in conjunction with a rule of particular applicability addressing
  other safety issues presented by the system.

    (b) If a segment of track does not meet all of the requirements for 
its intended class, it is to be reclassified to the next lower class of 
track for which it does meet all of the requirements of this subpart. If 
a segment does not meet all of the requirements for Class 6, the 
requirements for Classes 1 through 5 apply.



Sec. 213.309  Restoration or renewal of track under traffic conditions.

    (a) Restoration or renewal of track under traffic conditions is 
limited to the replacement of worn, broken, or missing components or 
fastenings that do not affect the safe passage of trains.
    (b) The following activities are expressly prohibited under traffic 
conditions:
    (1) Any work that interrupts rail continuity, e.g., as in joint bar 
replacement or rail replacement;
    (2) Any work that adversely affects the lateral or vertical 
stability of the track with the exception of spot tamping an isolated 
condition where not more than 15 lineal feet of track are involved at 
any one time and the ambient air temperature is not above 95 degrees 
Fahrenheit; and
    (3) Removal and replacement of the rail fastenings on more than one 
tie at a time within 15 feet.



Sec. 213.311  Measuring track not under load.

    When unloaded track is measured to determine compliance with 
requirements of this subpart, evidence of rail movement, if any, that 
occurs while the track is loaded shall be added to the measurements of 
the unloaded track.



Sec. 213.317  Waivers.

    (a) Any owner of track to which this subpart applies may petition 
the Federal Railroad Administrator for a waiver from any or all 
requirements prescribed in this subpart.
    (b) Each petition for a waiver under this section shall be filed in 
the manner and contain the information required by Secs. 211.7 and 211.9 
of this chapter.
    (c) If the Administrator finds that a waiver is in the public 
interest and is consistent with railroad safety, the Administrator may 
grant the waiver subject to any conditions the Administrator deems 
necessary. Where a waiver is granted, the Administrator publishes a 
notice containing the reasons for granting the waiver.

[[Page 120]]



Sec. 213.319  Drainage.

    Each drainage or other water carrying facility under or immediately 
adjacent to the roadbed shall be maintained and kept free of 
obstruction, to accommodate expected water flow for the area concerned.



Sec. 213.321  Vegetation.

    Vegetation on railroad property which is on or immediately adjacent 
to roadbed shall be controlled so that it does not --
    (a) Become a fire hazard to track-carrying structures;
    (b) Obstruct visibility of railroad signs and signals:
    (1) Along the right of way, and
    (2) At highway-rail crossings;
    (c) Interfere with railroad employees performing normal trackside 
duties;
    (d) Prevent proper functioning of signal and communication lines; or
    (e) Prevent railroad employees from visually inspecting moving 
equipment from their normal duty stations.



Sec. 213.323  Track gage.

    (a) Gage is measured between the heads of the rails at right-angles 
to the rails in a plane five-eighths of an inch below the top of the 
rail head.
    (b) Gage shall be within the limits prescribed in the following 
table:

------------------------------------------------------------------------
                                                                   The
                                                                  change
                                                                 of gage
                                                                  within
         Class of track           The gage must   But not more   31 feet
                                  be at least--      than--        must
                                                                  not be
                                                                 greater
                                                                  than--
------------------------------------------------------------------------
6..............................  [foot]8. 2\
7..............................  4[foot]8. 2\
8..............................  4[foot]8. 2\
9..............................  4[foot]8\1/     4[foot]9\1/         \1/
                                  4\.  4\. 2\
------------------------------------------------------------------------



Sec. 213.327  Alinement.

    (a) Uniformity at any point along the track is established by 
averaging the measured mid-chord offset values for nine consecutive 
points centered around that point and which are spaced according to the 
following table:

------------------------------------------------------------------------
                Chord length                           Spacing
------------------------------------------------------------------------
31[foot]...................................  7[foot]9
62[foot]...................................  15[foot]6
124[foot]..................................  31[foot]0
------------------------------------------------------------------------

    (b) For a single deviation, alinement may not deviate from 
uniformity more than the amount prescribed in the following table:

----------------------------------------------------------------------------------------------------------------
                                                                   The deviation   The deviation   The deviation
                                                                       from            from            from
                                                                   uniformity of   uniformity of   uniformity of
                                                                   the mid-chord   the mid-chord   the mid-chord
                         Class of track                            offset for a    offset for a    offset for a
                                                                   31-foot chord   62-foot chord  124-foot chord
                                                                    may not be      may not be      may not be
                                                                    more than--     more than--     more than--
                                                                     (inches)        (inches)        (inches)
----------------------------------------------------------------------------------------------------------------
6...............................................................           \1/2\           \3/4\          1\1/2\
7...............................................................           \1/2\           \1/2\          1\1/4\
8...............................................................           \1/2\           \1/2\           \3/4\
9...............................................................           \1/2\           \1/2\           \3/4\
----------------------------------------------------------------------------------------------------------------

    (c) For three or more non-overlapping deviations from uniformity in 
track alinement occurring within a distance equal to five times the 
specified chord length, each of which exceeds the limits in the 
following table, each owner of the track to which this subpart applies 
shall maintain the alinement of the track within the limits prescribed 
for each deviation:

----------------------------------------------------------------------------------------------------------------
                                                                   The deviation   The deviation   The deviation
                                                                       from            from            from
                                                                   uniformity of   uniformity of   uniformity of
                                                                   the mid-chord   the mid-chord   the mid-chord
                         Class of track                            offset for a    offset for a    offset for a
                                                                   31-foot chord   62-foot chord  124-foot chord
                                                                    may not be      may not be      may not be
                                                                    more than--     more than--     more than--
                                                                     (inches)        (inches)        (inches)
----------------------------------------------------------------------------------------------------------------
6...............................................................           \3/8\           \1/2\               1

[[Page 121]]

 
7...............................................................           \3/8\           \3/8\           \7/8\
8...............................................................           \3/8\           \3/8\           \1/2\
9...............................................................           \3/8\           \3/8\           \1/2\
----------------------------------------------------------------------------------------------------------------



Sec. 213.329  Curves, elevation and speed limitations.

    (a) The maximum crosslevel on the outside rail of a curve may not be 
more than 7 inches. The outside rail of a curve may not be more than \1/
2\ inch lower than the inside rail.
    (b) (1) The maximum allowable operating speed for each curve is 
determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TR22JN98.009

Where--

Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches) \4\.
---------------------------------------------------------------------------

    \4\ Actual elevation for each 155 foot track segment in the body of 
the curve is determined by averaging the elevation for 10 points through 
the segment at 15.5 foot spacing. If the curve length is less than 155 
feet, average the points through the full length of the body of the 
curve. If Eu exceeds 4 inches, the Vmax formula applies to 
the spirals on both ends of the curve.
---------------------------------------------------------------------------

D = Degree of curvature (degrees) \5\.
---------------------------------------------------------------------------

    \5\ Degree of curvature is determined by averaging the degree of 
curvature over the same track segment as the elevation.
---------------------------------------------------------------------------

3 = 3 inches of unbalance.

    (2) Appendix A includes tables showing maximum allowable operating 
speeds computed in accordance with this formula for various elevations 
and degrees of curvature for track speeds greater than 90 m.p.h.
    (c) For rolling stock meeting the requirements specified in 
paragraph (d) of this section, the maximum operating speed for each 
curve may be determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TR22JN98.008

Where--

Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches) \4\.
D = Degree of curvature (degrees) \5\.
Eu = Unbalanced elevation (inches).

    (d) Qualified equipment may be operated at curving speeds determined 
by the formula in paragraph (c) of this section, provided each specific 
class of equipment is approved for operation by the Federal Railroad 
Administration and the railroad demonstrates that--
    (1) When positioned on a track with uniform superelevation, 
Ea, reflecting the intended target cant deficiency, 
Eu, no wheel of the equipment unloads to a value of 60 
percent or less of its static value on perfectly level track and, for 
passenger-carrying equipment, the roll angle between the floor of the 
vehicle and the horizontal does not exceed 5.7 degrees.
    (2) When positioned on a track with a uniform 7-inch superelevation, 
no wheel unloads to a value less than 60% of its static value on 
perfectly level track and, for passenger-carrying equipment, the angle, 
measured about the roll axis, between the floor of the vehicle and the 
horizontal does not exceed 8.6 degrees.
    (e) The track owner shall notify the Federal Railroad Administrator 
no less than thirty calendar days prior to any proposed implementation 
of the higher curving speeds allowed when the ``Eu'' term, 
above, will exceed three inches. This notification shall be in writing 
and shall contain, at a minimum, the following information:
    (1) A complete description of the class of equipment involved, 
including

[[Page 122]]

schematic diagrams of the suspension system and the location of the 
center of gravity above top of rail;
    (2) A complete description of the test procedure \6\ and 
instrumentation used to qualify the equipment and the maximum values for 
wheel unloading and roll angles which were observed during testing;
---------------------------------------------------------------------------

    \6\ The test procedure may be conducted in a test facility whereby 
all wheels on one side (right or left) of the equipment are raised or 
lowered by six and then seven inches, the vertical wheel loads under 
each wheel are measured and a level is used to record the angle through 
which the floor of the vehicle has been rotated.
---------------------------------------------------------------------------

    (3) Procedures or standards in effect which relate to the 
maintenance of the suspension system for the particular class of 
equipment;
    (4) Identification of line segment on which the higher curving 
speeds are proposed to be implemented.
    (f) A track owner, or an operator of a passenger or commuter 
service, who provides passenger or commuter service over trackage of 
more than one track owner with the same class of equipment, may provide 
written notification to the Federal Railroad Administrator with the 
written consent of the other affected track owners.

[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998]



Sec. 213.331  Track surface.

    (a) For a single deviation in track surface, each owner of the track 
to which this subpart applies shall maintain the surface of its track 
within the limits prescribed in the following table:

------------------------------------------------------------------------
                                            Class of track
                             -------------------------------------------
        Track surface             6          7          8          9
                               (inches)   (inches)   (inches)   (inches)
------------------------------------------------------------------------
The deviation from uniform            1          1      \3/4\      \1/2\
 \1\ profile on either rail
 at the midordinate of a 31-
 foot chord may not be more
 than.......................
The deviation from uniform            1          1          1      \3/4\
 profile on either rail at
 the midordinate of a 62-
 foot chord may not be more
 than.......................
The deviation from uniform       1\3/4\     1\1/2\     1\1/4\     1\1/4\
 profile on either rail at
 the midordinate of a 124-
 foot chord may not be more
 than.......................
The difference in crosslevel     1\1/2\     1\1/2\     1\1/2\     1\1/2\
 between any two points less
 than 62 feet apart may not
 be more than \2\...........
------------------------------------------------------------------------
\1\ Uniformity for profile is established by placing the midpoint of the
  specified chord at the point of maximum measurement.
\2\ However, to control harmonics on jointed track with staggered
  joints, the crosslevel differences shall not exceed 1\1/4\ inches in
  all of six consecutive pairs of joints, as created by 7 joints. Track
  with joints staggered less than 10 feet shall not be considered as
  having staggered joints. Joints within the 7 low joints outside of the
  regular joint spacing shall not be considered as joints for purposes
  of this footnote.

    (b) For three or more non-overlapping deviations in track surface 
occurring within a distance equal to five times the specified chord 
length, each of which exceeds the limits in the following table, each 
owner of the track to which this subpart applies shall maintain the 
surface of the track within the limits prescribed for each deviation:

------------------------------------------------------------------------
                                            Class of track
                             -------------------------------------------
        Track surface             6          7          8          9
                               (inches)   (inches)   (inches)   (inches)
------------------------------------------------------------------------
The deviation from uniform        \3/4\      \3/4\      \1/2\      \3/8\
 profile on either rail at
 the midordinate of a 31-
 foot chord may not be more
 than.......................
The deviation from uniform        \3/4\      \3/4\      \3/4\      \1/2\
 profile on either rail at
 the midordinate of a 62-
 foot chord may not be more
 than.......................
The deviation from uniform       1\1/4\          1      \7/8\      \7/8\
 profile on either rail at
 the midordinate of a 124-
 foot chord may not be more
 than.......................
------------------------------------------------------------------------



Sec. 213.333  Automated vehicle inspection systems.

    (a) For track Class 7, a qualifying Track Geometry Measurement 
System (TGMS) vehicle shall be operated at least twice within 120 
calendar days with not less than 30 days between inspections. For track 
Classes 8 and 9, it shall be operated at least twice within

[[Page 123]]

60 days with not less than 15 days between inspections.
    (b) A qualifying TGMS shall meet or exceed minimum design 
requirements which specify that--
    (1) Track geometry measurements shall be taken no more than 3 feet 
away from the contact point of wheels carrying a vertical load of no 
less than 10,000 pounds per wheel;
    (2) Track geometry measurements shall be taken and recorded on a 
distance-based sampling interval which shall not exceed 2 feet; and
    (3) Calibration procedures and parameters are assigned to the system 
which assure that measured and recorded values accurately represent 
track conditions. Track geometry measurements recorded by the system 
shall not differ on repeated runs at the same site at the same speed 
more than 1/8 inch.
    (c) A qualifying TGMS shall be capable of measuring and processing 
the necessary track geometry parameters, at an interval of no more than 
every 2 feet, which enables the system to determine compliance with: 
Sec. 213.323, Track gage; Sec. 213.327, Alinement; Sec. 213.329, Curves; 
elevation and speed limitations; and Sec. 213.331, Track surface.
    (d) A qualifying TGMS shall be capable of producing, within 24 hours 
of the inspection, output reports that --
    (1) Provide a continuous plot, on a constant-distance axis, of all 
measured track geometry parameters required in paragraph (c) of this 
section;
    (2) Provide an exception report containing a systematic listing of 
all track geometry conditions which constitute an exception to the class 
of track over the segment surveyed.
    (e) The output reports required under paragraph (c) of this section 
shall contain sufficient location identification information which 
enable field forces to easily locate indicated exceptions.
    (f) Following a track inspection performed by a qualifying TGMS, the 
track owner shall, within two days after the inspection, field verify 
and institute remedial action for all exceptions to the class of track.
    (g) The track owner shall maintain for a period of one year 
following an inspection performed by a qualifying TGMS, copy of the plot 
and the exception printout for the track segment involved, and 
additional records which:
    (1) Specify the date the inspection was made and the track segment 
involved; and
    (2) Specify the location, remedial action taken, and the date 
thereof, for all listed exceptions to the class.
    (h) For track Classes 8 and 9, a qualifying Gage Restraint 
Measurement System (GRMS) shall be operated at least once annually with 
at least 180 days between inspections to continuously compare loaded 
track gage to unloaded gage under a known loading condition. The lateral 
capacity of the track structure shall not permit a gage widening ratio 
(GWR) greater than 0.5 inches.
    (i) A GRMS shall meet or exceed minimum design requirements which 
specify that--
    (1) Gage restraint shall be measured between the heads of the rail--
    (i) At an interval not exceeding 16 inches;
    (ii) Under an applied vertical load of no less than 10,000 pounds 
per rail;
    (iii) Under an applied lateral load which provides for lateral/
vertical load ratio of between 0.5 and 1.25 \7\, and a load severity 
greater than 3,000 pounds but less than 8,000 pounds per rail. Load 
severity is defined by the formula--
---------------------------------------------------------------------------

    \7\ GRMS equipment using load combinations developing L/V ratios 
which exceed 0.8 shall be operated with caution to protect against the 
risk of wheel climb by the test wheelset.


---------------------------------------------------------------------------
S = L -cV

where:

S = Load severity, defined as the lateral load applied to the fastener 
system (pounds).
L = Actual lateral load applied (pounds).
c = Coefficient of friction between rail/tie which is assigned a nominal 
value of (0.4).
V = Actual vertical load applied (pounds).

    (2) The measured gage value shall be converted to a gage widening 
ratio (GWR) as follows:
[GRAPHIC] [TIFF OMITTED] TR22JN98.010

Where:

UTG=Unloaded track gage measured by the GRMS vehicle at a point no less 
than 10

[[Page 124]]

feet from any lateral or vertical load application.
LTG=Loaded track gage measured by the GRMS vehicle at the point of 
application of the lateral load.
L=Actual lateral load applied (pounds).

    (j) At least one vehicle in one train per day operating in Classes 8 
and 9 shall be equipped with functioning on-board truck frame and 
carbody accelerometers. Each track owner shall have in effect written 
procedures for the notification of track personnel when on-board 
accelerometers on trains in Classes 8 and 9 indicate a possible track-
related condition.
    (k) For track Classes 7 , 8 and 9, an instrumented car having 
dynamic response characteristics that are representative of other 
equipment assigned to service or a portable device that monitors on-
board instrumentation on trains shall be operated over the track at the 
revenue speed profile at a frequency of at least twice within 60 days 
with not less than 15 days between inspections. The instrumented car or 
the portable device shall monitor vertically and laterally oriented 
accelerometers placed near the end of the vehicle at the floor level. In 
addition, accelerometers shall be mounted on the truck frame. If the 
carbody lateral, carbody vertical, or truck frame lateral safety limits 
in the following table of vehicle/track interaction safety limits are 
exceeded, speeds will be reduced until these safety limits are not 
exceeded.
    (l) For track Classes 8 and 9, an instrumented car having dynamic 
response characteristics that are representative of other equipment 
assigned to service shall be operated over the track at the revenue 
speed profile annually with not less than 180 days between inspections. 
The instrumented car shall be equipped with functioning instrumented 
wheelsets to measure wheel/rail forces. If the wheel/rail force limits 
in the following table of vehicle/track interaction safety limits are 
exceeded, speeds will be reduced until these safety limits are not 
exceeded.
    (m) The track owner shall maintain a copy of the most recent 
exception printouts for the inspections required under paragraphs (k) 
and (l) of this section.

[[Page 125]]

[GRAPHIC] [TIFF OMITTED] TC15NO91.207

    \1\ The lateral and vertical wheel forces shall be measured with 
instrumented wheelsets with the measurements processed through a low 
pass filter with a minimum cut-off frequency of 25 Hz. The sample rate 
for wheel force data shall be at least 250 samples/sec.
    \2\ Carbody lateral and vertical accelerations shall be measured 
near the car ends at the floor level.
    \3\ Truck accelerations in the lateral direction shall be measured 
on the truck frame. The measurements shall be processed through a filter 
having a pass band of 0.5 to 10 Hz.
    \4\ Truck hunting is defined as a sustained cyclic oscillation of 
the truck which is evidenced by lateral accelerations in excess of 0.4 g 
root mean square (mean-removed) for 2 seconds.

[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998]



Sec. 213.334  Ballast; general.

    Unless it is otherwise structurally supported, all track shall be 
supported by material which will--
    (a) Transmit and distribute the load of the track and railroad 
rolling equipment to the subgrade;
    (b) Restrain the track laterally, longitudinally, and vertically 
under dynamic loads imposed by railroad rolling equipment and thermal 
stress exerted by the rails;
    (c) Provide adequate drainage for the track; and
    (d) Maintain proper track crosslevel, surface, and alinement.

[[Page 126]]



Sec. 213.335  Crossties.

    (a) Crossties shall be made of a material to which rail can be 
securely fastened.
    (b) Each 39 foot segment of track shall have--
    (1) A sufficient number of crossties which in combination provide 
effective support that will--
    (i) Hold gage within the limits prescribed in Sec. 213.323(b);
    (ii) Maintain surface within the limits prescribed in Sec. 213.331; 
and
    (iii) Maintain alinement within the limits prescribed in 
Sec. 213.327.
    (2) The minimum number and type of crossties specified in paragraph 
(c) of this section effectively distributed to support the entire 
segment; and
    (3) Crossties of the type specified in paragraph (c) of this section 
that are(is) located at a joint location as specified in paragraph (e) 
of this section.
    (c) For non-concrete tie construction, each 39 foot segment of Class 
6 track shall have fourteen crossties; Classes 7, 8 and 9 shall have 18 
crossties which are not--
    (1) Broken through;
    (2) Split or otherwise impaired to the extent the crossties will 
allow the ballast to work through, or will not hold spikes or rail 
fasteners;
    (3) So deteriorated that the tie plate or base of rail can move 
laterally \3/8\ inch relative to the crossties;
    (4) Cut by the tie plate through more than 40 percent of a 
crosstie's thickness;
    (5) Configured with less than 2 rail holding spikes or fasteners per 
tie plate; or
    (6) So unable, due to insufficient fastener toeload, to maintain 
longitudinal restraint and maintain rail hold down and gage.
    (d) For concrete tie construction, each 39 foot segment of Class 6 
track shall have fourteen crossties, Classes 7, 8 and 9 shall have 16 
crossties which are not--
    (1) So deteriorated that the prestress strands are ineffective or 
withdrawn into the tie at one end and the tie exhibits structural cracks 
in the rail seat or in the gage of track;
    (2) Configured with less than 2 fasteners on the same rail;
    (3) So deteriorated in the vicinity of the rail fastener such that 
the fastener assembly may pull out or move laterally more than \3/8\ 
inch relative to the crosstie;
    (4) So deteriorated that the fastener base plate or base of rail can 
move laterally more than \3/8\ inch relative to the crossties;
    (5) So deteriorated that rail seat abrasion is sufficiently deep so 
as to cause loss of rail fastener toeload;
    (6) Completely broken through; or
    (7) So unable, due to insufficient fastener toeload, to maintain 
longitudinal restraint and maintain rail hold down and gage.
    (e) Class 6 track shall have one non-defective crosstie whose 
centerline is within 18 inches of the rail joint location or two 
crossties whose center lines are within 24 inches either side of the 
rail joint location. Class 7, 8, and 9 track shall have two non-
defective ties within 24 inches each side of the rail joint.
    (f) For track constructed without crossties, such as slab track and 
track connected directly to bridge structural components, the track 
structure shall meet the requirements of paragraphs (b)(1)(i), (ii), and 
(iii) of this section.
    (g) In Classes 7, 8 and 9 there shall be at least three non-
defective ties each side of a defective tie.
    (h) Where timber crossties are in use there shall be tie plates 
under the running rails on at least nine of 10 consecutive ties.
    (i) No metal object which causes a concentrated load by solely 
supporting a rail shall be allowed between the base of the rail and the 
bearing surface of the tie plate.



Sec. 213.337  Defective rails.

    (a) When an owner of track to which this part applies learns, 
through inspection or otherwise, that a rail in that track contains any 
of the defects listed in the following table, a person designated under 
Sec. 213.305 shall determine whether or not the track may continue in 
use. If the person determines that the track may continue in use, 
operation over the defective rail is not permitted until--
    (1) The rail is replaced; or

[[Page 127]]

    (2) The remedial action prescribed in the table is initiated--
    [GRAPHIC] [TIFF OMITTED] TN28SE98.059
    

[[Page 128]]


    Notes: A. Assign person designated under Sec. 213.305 to visually 
supervise each operation over defective rail.
    A2. Assign person designated under Sec. 213.305 to make visual 
inspection. That person may authorize operation to continue without 
visual supervision at a maximum of 10 m.p.h. for up to 24 hours prior to 
another such visual inspection or replacement or repair of the rail.
    B. Limit operating speed over defective rail to that as authorized 
by a person designated under Sec. 213.305(a)(1)(i) or (ii). The 
operating speed cannot be over 30 m.p.h.
    C. Apply joint bars bolted only through the outermost holes to 
defect within 20 days after it is determined to continue the track in 
use. Limit operating speed over defective rail to 30 m.p.h. until joint 
bars are applied; thereafter, limit speed to 50 m.p.h. When a search for 
internal rail defects is conducted under Sec. 213.339 and defects are 
discovered which require remedial action C, the operating speed shall be 
limited to 50 m.p.h., for a period not to exceed 4 days. If the 
defective rail has not been removed from the track or a permanent repair 
made within 4 days of the discovery, limit operating speed over the 
defective rail to 30 m.p.h. until joint bars are applied; thereafter, 
limit speed to 50 m.p.h.
    D. Apply joint bars bolted only through the outermost holes to 
defect within 10 days after it is determined to continue the track in 
use. Limit operating speed over the defective rail to 30 m.p.h. or less 
as authorized by a person designated under Sec. 213.305(a)(1)(i) or (ii) 
until joint bars are applied; thereafter, limit speed to 50 m.p.h.
    E. Apply joint bars to defect and bolt in accordance with 
Sec. 213.351(d) and (e).
    F. Inspect rail 90 days after it is determined to continue the track 
in use.
    G. Inspect rail 30 days after it is determined to continue the track 
in use.
    H. Limit operating speed over defective rail to 50 m.p.h.
    I. Limit operating speed over defective rail to 30 m.p.h.

    (b) As used in this section--
    (1) Transverse fissure means a progressive crosswise fracture 
starting from a crystalline center or nucleus inside the head from which 
it spreads outward as a smooth, bright, or dark, round or oval surface 
substantially at a right angle to the length of the rail. The 
distinguishing features of a transverse fissure from other types of 
fractures or defects are the crystalline center or nucleus and the 
nearly smooth surface of the development which surrounds it.
    (2) Compound fissure means a progressive fracture originating in a 
horizontal split head which turns up or down in the head of the rail as 
a smooth, bright, or dark surface progressing until substantially at a 
right angle to the length of the rail. Compound fissures require 
examination of both faces of the fracture to locate the horizontal split 
head from which they originate.
    (3) Horizontal split head means a horizontal progressive defect 
originating inside of the rail head, usually one-quarter inch or more 
below the running surface and progressing horizontally in all 
directions, and generally accompanied by a flat spot on the running 
surface. The defect appears as a crack lengthwise of the rail when it 
reaches the side of the rail head.
    (4) Vertical split head means a vertical split through or near the 
middle of the head, and extending into or through it. A crack or rust 
streak may show under the head close to the web or pieces may be split 
off the side of the head.
    (5) Split web means a lengthwise crack along the side of the web and 
extending into or through it.
    (6) Piped rail means a vertical split in a rail, usually in the web, 
due to failure of the shrinkage cavity in the ingot to unite in rolling.
    (7) Broken base means any break in the base of the rail.
    (8) Detail fracture means a progressive fracture originating at or 
near the surface of the rail head. These fractures should not be 
confused with transverse fissures, compound fissures, or other defects 
which have internal origins. Detail fractures may arise from shelly 
spots, head checks, or flaking.
    (9) Engine burn fracture means a progressive fracture originating in 
spots where driving wheels have slipped on top of the rail head. In 
developing downward they frequently resemble the compound or even 
transverse fissures with which they should not be confused or 
classified.
    (10) Ordinary break means a partial or complete break in which there 
is no sign of a fissure, and in which none of the other defects 
described in this paragraph (b) are found.
    (11) Damaged rail means any rail broken or injured by wrecks, 
broken, flat, or unbalanced wheels, slipping, or similar causes.

[[Page 129]]

    (12) Flattened rail means a short length of rail, not a joint, which 
has flattened out across the width of the rail head to a depth of \3/8\ 
inch or more below the rest of the rail. Flattened rail occurrences have 
no repetitive regularity and thus do not include corrugations, and have 
no apparent localized cause such as a weld or engine burn. Their 
individual length is relatively short, as compared to a condition such 
as head flow on the low rail of curves.
    (13) Bolt hole crack means a crack across the web, originating from 
a bolt hole, and progressing on a path either inclined upward toward the 
rail head or inclined downward toward the base. Fully developed bolt 
hole cracks may continue horizontally along the head/web or base/web 
fillet, or they may progress into and through the head or base to 
separate a piece of the rail end from the rail. Multiple cracks 
occurring in one rail end are considered to be a single defect. However, 
bolt hole cracks occurring in adjacent rail ends within the same joint 
shall be reported as separate defects.
    (14) Defective weld means a field or plant weld containing any 
discontinuities or pockets, exceeding 5 percent of the rail head area 
individually or 10 percent in the aggregate, oriented in or near the 
transverse plane, due to incomplete penetration of the weld metal 
between the rail ends, lack of fusion between weld and rail end metal, 
entrainment of slag or sand, under-bead or other shrinkage cracking, or 
fatigue cracking. Weld defects may originate in the rail head, web, or 
base, and in some cases, cracks may progress from the defect into either 
or both adjoining rail ends.
    (15) Head and web separation means a progressive fracture, 
longitudinally separating the head from the web of the rail at the head 
fillet area.

[63 FR 34029, June 22, 1998; 63 FR 51638, Sept. 28, 1998]



Sec. 213.339  Inspection of rail in service.

    (a) A continuous search for internal defects shall be made of all 
rail in track at least twice annually with not less than 120 days 
between inspections.
    (b) Inspection equipment shall be capable of detecting defects 
between joint bars, in the area enclosed by joint bars.
    (c) Each defective rail shall be marked with a highly visible 
marking on both sides of the web and base.
    (d) If the person assigned to operate the rail defect detection 
equipment being used determines that, due to rail surface conditions, a 
valid search for internal defects could not be made over a particular 
length of track, the test on that particular length of track cannot be 
considered as a search for internal defects under Sec. 213.337(a).
    (e) If a valid search for internal defects cannot be conducted for 
reasons described in paragraph (d) of this section, the track owner 
shall, before the expiration of time limits--
    (1) Conduct a valid search for internal defects;
    (2) Reduce operating speed to a maximum of 25 miles per hour until 
such time as a valid search for internal defects can be made; or
    (3) Remove the rail from service.



Sec. 213.341  Initial inspection of new rail and welds.

    The track owner shall provide for the initial inspection of newly 
manufactured rail, and for initial inspection of new welds made in 
either new or used rail. A track owner may demonstrate compliance with 
this section by providing for:
    (a) In-service inspection--A scheduled periodic inspection of rail 
and welds that have been placed in service, if conducted in accordance 
with the provisions of Sec. 213.339, and if conducted not later than 90 
days after installation, shall constitute compliance with paragraphs (b) 
and (c) of this section;
    (b) Mill inspection--A continuous inspection at the rail 
manufacturer's mill shall constitute compliance with the requirement for 
initial inspection of new rail, provided that the inspection equipment 
meets the applicable requirements specified in Sec. 213.339. The track 
owner shall obtain a copy of the manufacturer's report of inspection and 
retain it as a record until the rail receives its first scheduled 
inspection under Sec. 213.339;
    (c) Welding plant inspection--A continuous inspection at a welding 
plant, if

[[Page 130]]

conducted in accordance with the provisions of paragraph (b) of this 
section, and accompanied by a plant operator's report of inspection 
which is retained as a record by the track owner, shall constitute 
compliance with the requirements for initial inspection of new rail and 
plant welds, or of new plant welds made in used rail; and
    (d) Inspection of field welds--An initial inspection of field welds, 
either those joining the ends of CWR strings or those made for isolated 
repairs, shall be conducted not less than one day and not more than 30 
days after the welds have been made. The initial inspection may be 
conducted by means of portable test equipment. The track owner shall 
retain a record of such inspections until the welds receive their first 
scheduled inspection under Sec. 213.339.
    (e) Each defective rail found during inspections conducted under 
paragraph (a) or (d) of this section shall be marked with highly visible 
markings on both sides of the web and base and the remedial action as 
appropriate under Sec. 213.337 will apply.



Sec. 213.343  Continuous welded rail (CWR).

    Each track owner with track constructed of CWR shall have in effect 
and comply with written procedures which address the installation, 
adjustment, maintenance and inspection of CWR, and a training program 
for the application of those procedures, which shall be submitted to the 
Federal Railroad Administration by March 21, 1999. FRA reviews each plan 
for compliance with the following--
    (a) Procedures for the installation and adjustment of CWR which 
include--
    (1) Designation of a desired rail installation temperature range for 
the geographic area in which the CWR is located; and
    (2) De-stressing procedures/methods which address proper attainment 
of the desired rail installation temperature range when adjusting CWR.
    (b) Rail anchoring or fastening requirements that will provide 
sufficient restraint to limit longitudinal rail and crosstie movement to 
the extent practical, and specifically addressing CWR rail anchoring or 
fastening patterns on bridges, bridge approaches, and at other locations 
where possible longitudinal rail and crosstie movement associated with 
normally expected train-induced forces, is restricted.
    (c) Procedures which specifically address maintaining a desired rail 
installation temperature range when cutting CWR including rail repairs, 
in-track welding, and in conjunction with adjustments made in the area 
of tight track, a track buckle, or a pull-apart. Rail repair practices 
shall take into consideration existing rail temperature so that--
    (1) When rail is removed, the length installed shall be determined 
by taking into consideration the existing rail temperature and the 
desired rail installation temperature range; and
    (2) Under no circumstances should rail be added when the rail 
temperature is below that designated by paragraph (a)(1) of this 
section, without provisions for later adjustment.
    (d) Procedures which address the monitoring of CWR in curved track 
for inward shifts of alinement toward the center of the curve as a 
result of disturbed track.
    (e) Procedures which control train speed on CWR track when --
    (1) Maintenance work, track rehabilitation, track construction, or 
any other event occurs which disturbs the roadbed or ballast section and 
reduces the lateral and/or longitudinal resistance of the track; and
    (2) In formulating the procedures under this paragraph (e), the 
track owner shall--
    (i) Determine the speed required, and the duration and subsequent 
removal of any speed restriction based on the restoration of the 
ballast, along with sufficient ballast re-consolidation to stabilize the 
track to a level that can accommodate expected train-induced forces. 
Ballast re-consolidation can be achieved through either the passage of 
train tonnage or mechanical stabilization procedures, or both; and
    (ii) Take into consideration the type of crossties used.
    (f) Procedures which prescribe when physical track inspections are 
to be performed to detect buckling prone

[[Page 131]]

conditions in CWR track. At a minimum, these procedures shall address 
inspecting track to identify --
    (1) Locations where tight or kinky rail conditions are likely to 
occur;
    (2) Locations where track work of the nature described in paragraph 
(e)(1) of this section have recently been performed; and
    (3) In formulating the procedures under this paragraph (f), the 
track owner shall--
    (i) Specify the timing of the inspection; and
    (ii) Specify the appropriate remedial actions to be taken when 
buckling prone conditions are found.
    (g) The track owner shall have in effect a comprehensive training 
program for the application of these written CWR procedures, with 
provisions for periodic re-training, for those individuals designated 
under Sec. 213.305(c) of this part as qualified to supervise the 
installation, adjustment, and maintenance of CWR track and to perform 
inspections of CWR track.
    (h) The track owner shall prescribe recordkeeping requirements 
necessary to provide an adequate history of track constructed with CWR. 
At a minimum, these records shall include:
    (1) Rail temperature, location and date of CWR installations. This 
record shall be retained for at least one year; and
    (2) A record of any CWR installation or maintenance work that does 
not conform with the written procedures. Such record shall include the 
location of the rail and be maintained until the CWR is brought into 
conformance with such procedures.
    (i) As used in this section--
    (1) Adjusting/de-stressing means the procedure by which a rail's 
temperature is re-adjusted to the desired value. It typically consists 
of cutting the rail and removing rail anchoring devices, which provides 
for the necessary expansion and contraction, and then re-assembling the 
track.
    (2) Buckling incident means the formation of a lateral mis-alinement 
sufficient in magnitude to constitute a deviation of 5 inches measured 
with a 62-foot chord. These normally occur when rail temperatures are 
relatively high and are caused by high longitudinal compressive forces.
    (3) Continuous welded rail (CWR) means rail that has been welded 
together into lengths exceeding 400 feet.
    (4) Desired rail installation temperature range means the rail 
temperature range, within a specific geographical area, at which forces 
in CWR should not cause a buckling incident in extreme heat, or a pull-
apart during extreme cold weather.
    (5) Disturbed track means the disturbance of the roadbed or ballast 
section, as a result of track maintenance or any other event, which 
reduces the lateral or longitudinal resistance of the track, or both.
    (6) Mechanical stabilization means a type of procedure used to 
restore track resistance to disturbed track following certain 
maintenance operations. This procedure may incorporate dynamic track 
stabilizers or ballast consolidators, which are units of work equipment 
that are used as a substitute for the stabilization action provided by 
the passage of tonnage trains.
    (7) Rail anchors means those devices which are attached to the rail 
and bear against the side of the crosstie to control longitudinal rail 
movement. Certain types of rail fasteners also act as rail anchors and 
control longitudinal rail movement by exerting a downward clamping force 
on the upper surface of the rail base.
    (8) Rail temperature means the temperature of the rail, measured 
with a rail thermometer.
    (9) Tight/kinky rail means CWR which exhibits minute alinement 
irregularities which indicate that the rail is in a considerable amount 
of compression.
    (10) Train-induced forces means the vertical, longitudinal, and 
lateral dynamic forces which are generated during train movement and 
which can contribute to the buckling potential.
    (11) Track lateral resistance means the resistance provided to the 
rail/crosstie structure against lateral displacement.
    (12) Track longitudinal resistance means the resistance provided by 
the

[[Page 132]]

rail anchors/rail fasteners and the ballast section to the rail/crosstie 
structure against longitudinal displacement.

[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]



Sec. 213.345  Vehicle qualification testing.

    (a) All rolling stock types which operate at Class 6 speeds and 
above shall be qualified for operation for their intended track classes 
in order to demonstrate that the vehicle dynamic response to track 
alinement and geometry variations are within acceptable limits to assure 
safe operation. Rolling stock operating in Class 6 within one year prior 
to the promulgation of this subpart shall be considered as being 
successfully qualified for Class 6 track and vehicles presently 
operating at Class 7 speeds by reason of conditional waivers shall be 
considered as qualified for Class 7.
    (b) The qualification testing shall ensure that, at any speed less 
than 10 m.p.h. above the proposed maximum operating speed, the equipment 
will not exceed the wheel/rail force safety limits and the truck lateral 
accelerations specified in Sec. 213.333, and the testing shall 
demonstrate the following:
    (1) The vertical acceleration, as measured by a vertical 
accelerometer mounted on the car floor, shall be limited to no greater 
than 0.55g single event, peak-to-peak.
    (2) The lateral acceleration, as measured by a lateral accelerometer 
mounted on the car floor, shall be limited to no greater than 0.3g 
single event, peak-to-peak; and
    (3) The combination of the lateral acceleration (L) and the vertical 
acceleration (V) within any period of two consecutive seconds as 
expressed by the square root of (V2 + L2) shall be 
limited to no greater than 0.604, where L may not exceed 0.3g and V may 
not exceed 0.55g.
    (c) To obtain the test data necessary to support the analysis 
required in paragraphs (a) and (b) of this section, the track owner 
shall have a test plan which shall consider the operating practices and 
conditions, signal system, road crossings and trains on adjacent tracks 
during testing. The track owner shall establish a target maximum testing 
speed (at least 10 m.p.h. above the maximum proposed operating speed) 
and target test and operating conditions and conduct a test program 
sufficient to evaluate the operating limits of the track and equipment. 
The test program shall demonstrate vehicle dynamic response as speeds 
are incrementally increased from acceptable Class 6 limits to the target 
maximum test speeds. The test shall be suspended at that speed where any 
of the safety limits specified in paragraph (b) are exceeded.
    (d) At the end of the test, when maximum safe operating speed is 
known along with permissible levels of cant deficiency, an additional 
run shall be made with the subject equipment over the entire route 
proposed for revenue service at the speeds the railroad will request FRA 
to approve for such service and a second run again at 10 m.p.h. above 
this speed. A report of the test procedures and results shall be 
submitted to FRA upon the completions of the tests. The test report 
shall include the design flange angle of the equipment which shall be 
used for the determination of the lateral to vertical wheel load safety 
limit for the track/vehicle interaction safety measurements required per 
Sec. 213.333(l).
    (e) As part of the submittal required in paragraph (d) of the 
section, the operator shall include an analysis and description of the 
signal system and operating practices to govern operations in Classes 7 
and 8. This statement shall include a statement of sufficiency in these 
areas for the class of operation. Operation at speeds in excess of 150 
m.p.h. is authorized only in conjunction with a rule of particular 
applicability addressing other safety issues presented by the system.
    (f) Based on test results and submissions, FRA will approve a 
maximum train speed and value of cant deficiency for revenue service.

[63 FR 34029, June 22, 1998; 63 FR 54078, Oct. 8, 1998]



Sec. 213.347  Automotive or railroad crossings at grade.

    (a) There shall be no at-grade (level) highway crossings, public or 
private, or rail-to-rail crossings at-grade on Class 8 and 9 track.

[[Page 133]]

    (b) If train operation is projected at Class 7 speed for a track 
segment that will include rail-highway grade crossings, the track owner 
shall submit for FRA's approval a complete description of the proposed 
warning/barrier system to address the protection of highway traffic and 
high speed trains. Trains shall not operate at Class 7 speeds over any 
track segment having highway-rail grade crossings unless:
    (1) An FRA-approved warning/barrier system exists on that track 
segment; and
    (2) All elements of that warning/barrier system are functioning.



Sec. 213.349  Rail end mismatch.

    Any mismatch of rails at joints may not be more than that prescribed 
by the following table--

------------------------------------------------------------------------
                                             Any mismatch of rails at
                                            joints may not be more than
                                                  the following--
                                         -------------------------------
             Class of track                                 On the gage
                                           On the tread     side of the
                                            of the rail      rail ends
                                            ends (inch)       (inch)
------------------------------------------------------------------------
Class 6, 7, 8 and 9.....................           \1/8\           \1/8\
------------------------------------------------------------------------



Sec. 213.351  Rail joints.

    (a) Each rail joint, insulated joint, and compromise joint shall be 
of a structurally sound design and dimensions for the rail on which it 
is applied.
    (b) If a joint bar is cracked, broken, or because of wear allows 
excessive vertical movement of either rail when all bolts are tight, it 
shall be replaced.
    (c) If a joint bar is cracked or broken between the middle two bolt 
holes it shall be replaced.
    (d) Each rail shall be bolted with at least two bolts at each joint.
    (e) Each joint bar shall be held in position by track bolts 
tightened to allow the joint bar to firmly support the abutting rail 
ends and to allow longitudinal movement of the rail in the joint to 
accommodate expansion and contraction due to temperature variations. 
When no-slip, joint-to-rail contact exists by design, the requirements 
of this section do not apply. Those locations, when over 400 feet long, 
are considered to be continuous welded rail track and shall meet all the 
requirements for continuous welded rail track prescribed in this 
subpart.
    (f) No rail shall have a bolt hole which is torch cut or burned.
    (g) No joint bar shall be reconfigured by torch cutting.



Sec. 213.352  Torch cut rail.

    (a) Except as a temporary repair in emergency situations no rail 
having a torch cut end shall be used. When a rail end with a torch cut 
is used in emergency situations, train speed over that rail shall not 
exceed the maximum allowable for Class 2 track. All torch cut rail ends 
in Class 6 shall be removed within six months of September 21, 1998.
    (b) Following the expiration of the time limits specified in 
paragraph (a) of this section, any torch cut rail end not removed shall 
be removed within 30 days of discovery. Train speed over that rail shall 
not exceed the maximum allowable for Class 2 track until removed.



Sec. 213.353  Turnouts, crossovers, and lift rail assemblies or other transition devices on moveable bridges.

    (a) In turnouts and track crossings, the fastenings must be intact 
and maintained so as to keep the components securely in place. Also, 
each switch, frog, and guard rail shall be kept free of obstructions 
that may interfere with the passage of wheels. Use of rigid rail 
crossings at grade is limited per Sec. 213.347.
    (b) Track shall be equipped with rail anchoring through and on each 
side of track crossings and turnouts, to restrain rail movement 
affecting the position of switch points and frogs. Elastic fasteners 
designed to restrict longitudinal rail movement are considered rail 
anchoring.
    (c) Each flangeway at turnouts and track crossings shall be at least 
1\1/2\ inches wide.

[[Page 134]]

    (d) For all turnouts and crossovers, and lift rail assemblies or 
other transition devices on moveable bridges, the track owner shall 
prepare an inspection and maintenance Guidebook for use by railroad 
employees which shall be submitted to the Federal Railroad 
Administration. The Guidebook shall contain at a minimum--
    (1) Inspection frequency and methodology including limiting 
measurement values for all components subject to wear or requiring 
adjustment.
    (2) Maintenance techniques.
    (e) Each hand operated switch shall be equipped with a redundant 
operating mechanism for maintaining the security of switch point 
position.



Sec. 213.355  Frog guard rails and guard faces; gage.

    The guard check and guard face gages in frogs shall be within the 
limits prescribed in the following table--

----------------------------------------------------------------------------------------------------------------
                                           Guard check gage--The distance
                                          between the gage line of a frog
                                             to the guard line 1 of its    Guard face gage--The distance between
             Class of track                 guard rail or guarding face,     guard lines,1 measured across the
                                            measured across the track at     track at right angles to the gage
                                          right angles to the gage line,2      line,2 may not be more than--
                                               may not be less than--
----------------------------------------------------------------------------------------------------------------
Class 6 track...........................  4[foot]6\1/2\.......  4[foot]5
Class 7 track...........................  4[foot]6\1/2\.......  4[foot]5
Class 8 track...........................  4[foot]6\1/2\.......  4[foot]5
Class 9 track...........................  4[foot]6\1/2\.......  4[foot] 5
----------------------------------------------------------------------------------------------------------------
1 A line along that side of the flangeway which is nearer to the center of the track and at the same elevation
  as the gage line.
2 A line \5/8\ inch below the top of the center line of the head of the running rail, or corresponding location
  of the tread portion of the track structure.



Sec. 213.357  Derails.

    (a) Each track, other than a main track, which connects with a Class 
7, 8 or 9 main track shall be equipped with a functioning derail of the 
correct size and type, unless railroad equipment on the track, because 
of grade characteristics cannot move to foul the main track.
    (b) For the purposes of this section, a derail is a device which 
will physically stop or divert movement of railroad rolling stock or 
other railroad on-track equipment past the location of the device.
    (c) Each derail shall be clearly visible. When in a locked position, 
a derail shall be free of any lost motion which would prevent it from 
performing its intended function.
    (d) Each derail shall be maintained to function as intended.
    (e) Each derail shall be properly installed for the rail to which it 
is applied.
    (f) If a track protected by a derail is occupied by standing 
railroad rolling stock, the derail shall be in derailing position.
    (g) Each derail on a track which is connected to a Class 7, 8 or 9 
main track shall be interconnected with the signal system.



Sec. 213.359  Track stiffness.

    (a) Track shall have a sufficient vertical strength to withstand the 
maximum vehicle loads generated at maximum permissible train speeds, 
cant deficiencies and surface defects. For purposes of this section, 
vertical track strength is defined as the track capacity to constrain 
vertical deformations so that the track shall return following maximum 
load to a configuration in compliance with the vehicle/track interaction 
safety limits and geometry requirements of this subpart.
    (b) Track shall have sufficient lateral strength to withstand the 
maximum thermal and vehicle loads generated at maximum permissible train 
speeds, cant deficiencies and lateral alinement defects. For purposes of 
this section lateral track strength is defined as the track capacity to 
constrain lateral deformations so that track shall return following 
maximum load to a configuration in compliance with the vehicle/track 
interaction safety limits and geometry requirements of this subpart.



Sec. 213.361  Right of way.

    The track owner in Class 8 and 9 shall submit a barrier plan, termed 
a ``right-of-way plan,'' to the Federal Railroad Administration for 
approval.

[[Page 135]]

At a minimum, the plan will contain provisions in areas of demonstrated 
need for the prevention of--
    (a) Vandalism;
    (b) Launching of objects from overhead bridges or structures into 
the path of trains; and
    (c) Intrusion of vehicles from adjacent rights of way.



Sec. 213.365  Visual inspections.

    (a) All track shall be visually inspected in accordance with the 
schedule prescribed in paragraph (c) of this section by a person 
designated under Sec. 213.305.
    (b) Each inspection shall be made on foot or by riding over the 
track in a vehicle at a speed that allows the person making the 
inspection to visually inspect the track structure for compliance with 
this part. However, mechanical, electrical, and other track inspection 
devices may be used to supplement visual inspection. If a vehicle is 
used for visual inspection, the speed of the vehicle may not be more 
than 5 miles per hour when passing over track crossings and turnouts, 
otherwise, the inspection vehicle speed shall be at the sole discretion 
of the inspector, based on track conditions and inspection requirements. 
When riding over the track in a vehicle, the inspection will be subject 
to the following conditions--
    (1) One inspector in a vehicle may inspect up to two tracks at one 
time provided that the inspector's visibility remains unobstructed by 
any cause and that the second track is not centered more than 30 feet 
from the track upon which the inspector is riding;
    (2) Two inspectors in one vehicle may inspect up to four tracks at a 
time provided that the inspector's visibility remains unobstructed by 
any cause and that each track being inspected is centered within 39 feet 
from the track upon which the inspectors are riding;
    (3) Each main track is actually traversed by the vehicle or 
inspected on foot at least once every two weeks, and each siding is 
actually traversed by the vehicle or inspected on foot at least once 
every month. On high density commuter railroad lines where track time 
does not permit an on track vehicle inspection, and where track centers 
are 15 foot or less, the requirements of this paragraph (b)(3) will not 
apply; and
    (4) Track inspection records shall indicate which track(s) are 
traversed by the vehicle or inspected on foot as outlined in paragraph 
(b)(3) of this section.
    (c) Each track inspection shall be made in accordance with the 
following schedule--

------------------------------------------------------------------------
             Class of track                     Required frequency
------------------------------------------------------------------------
6, 7, and 8............................  Twice weekly with at least 2
                                          calendar-day's interval
                                          between inspections.
9......................................  Three times per week.
------------------------------------------------------------------------

    (d) If the person making the inspection finds a deviation from the 
requirements of this part, the person shall immediately initiate 
remedial action.
    (e) Each switch, turnout, track crossing, and lift rail assemblies 
on moveable bridges shall be inspected on foot at least weekly. The 
inspection shall be accomplished in accordance with the Guidebook 
required under Sec. 213.353.
    (f) In track Classes 8 and 9, if no train traffic operates for a 
period of eight hours, a train shall be operated at a speed not to 
exceed 100 miles per hour over the track before the resumption of 
operations at the maximum authorized speed.

[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]



Sec. 213.367  Special inspections.

    In the event of fire, flood, severe storm, temperature extremes or 
other occurrence which might have damaged track structure, a special 
inspection shall be made of the track involved as soon as possible after 
the occurrence and, if possible, before the operation of any train over 
that track.



Sec. 213.369  Inspection records.

    (a) Each owner of track to which this part applies shall keep a 
record of each inspection required to be performed on that track under 
this subpart.
    (b) Except as provided in paragraph (e) of this section, each record 
of an inspection under Sec. 213.365 shall be prepared on the day the 
inspection is made and signed by the person making the inspection. 
Records shall specify the track inspected, date of inspection, location 
and nature of any deviation

[[Page 136]]

from the requirements of this part, and the remedial action taken by the 
person making the inspection. The owner shall designate the location(s) 
where each original record shall be maintained for at least one year 
after the inspection covered by the record. The owner shall also 
designate one location, within 100 miles of each state in which they 
conduct operations, where copies of record which apply to those 
operations are either maintained or can be viewed following 10 days 
notice by the Federal Railroad Administration.
    (c) Rail inspection records shall specify the date of inspection, 
the location and nature of any internal defects found, the remedial 
action taken and the date thereof, and the location of any intervals of 
track not tested per Sec. 213.339(d). The owner shall retain a rail 
inspection record for at least two years after the inspection and for 
one year after remedial action is taken.
    (d) Each owner required to keep inspection records under this 
section shall make those records available for inspection and copying by 
the Federal Railroad Administrator.
    (e) For purposes of compliance with the requirements of this 
section, an owner of track may maintain and transfer records through 
electronic transmission, storage, and retrieval provided that--
    (1) The electronic system be designed such that the integrity of 
each record maintained through appropriate levels of security such as 
recognition of an electronic signature, or other means, which uniquely 
identify the initiating person as the author of that record. No two 
persons shall have the same electronic identity;
    (2) The electronic storage of each record shall be initiated by the 
person making the inspection within 24 hours following the completion of 
that inspection;
    (3) The electronic system shall ensure that each record cannot be 
modified in any way, or replaced, once the record is transmitted and 
stored;
    (4) Any amendment to a record shall be electronically stored apart 
from the record which it amends. Each amendment to a record shall be 
uniquely identified as to the person making the amendment;
    (5) The electronic system shall provide for the maintenance of 
inspection records as originally submitted without corruption or loss of 
data; and
    (6) Paper copies of electronic records and amendments to those 
records, that may be necessary to document compliance with this part, 
shall be made available for inspection and copying by the FRA and track 
inspectors responsible under Sec. 213.305. Such paper copies shall be 
made available to the track inspectors and at the locations specified in 
paragraph (b) of this section.
    (7) Track inspection records shall be kept available to persons who 
performed the inspection and to persons performing subsequent 
inspections.
    (f) Each vehicle/track interaction safety record required under 
Sec. 213.333 (g), and (m) shall be made available for inspection and 
copying by the FRA at the locations specified in paragraph (b) of this 
section.

        Appendix A to Part 213--Maximum Allowable Curving Speeds

[[Page 137]]



                                                             Table 1--Three Inches Unbalance
                                                           [Elevation of outer rail (inches)]
--------------------------------------------------------------------------------------------------------------------------------------------------------
        Degree of curvature             0      \1/2\      1      1\1/2\     2      2\1/2\     3      3\1/2\     4      4\1/2\     5      5\1/2\     6
--------------------------------------------------------------------------------------------------------------------------------------------------------
 
                                                       (12) Maximum allowable operating speed (mph)
 
0[deg]30[min]......................       93      100      107      113      120      125      131      136      141      146      151      156      160
0[deg]40[min]......................       80       87       93       98      103      109      113      118      122      127      131      135      139
0[deg]50[min]......................       72       78       83       88       93       97      101      106      110      113      117      121      124
1[deg]00[min]......................       66       71       76       80       85       89       93       96      100      104      107      110      113
1[deg]15[min]......................       59       63       68       72       76       79       83       86       89       93       96       99      101
1[deg]30[min]......................       54       58       62       66       69       72       76       79       82       85       87       90       93
1[deg]45[min]......................       50       54       57       61       64       67       70       73       76       78       81       83       86
2[deg]00[min]......................       46       50       54       57       60       63       66       68       71       73       76       78       80
2[deg]15[min]......................       44       47       50       54       56       59       62       64       67       69       71       74       76
2[deg]30[min]......................       41       45       48       51       54       56       59       61       63       66       68       70       72
2[deg]45[min]......................       40       43       46       48       51       54       56       58       60       62       65       66       68
3[deg]00[min]......................       38       41       44       46       49       51       54       56       58       60       62       64       66
3[deg]15[min]......................       36       39       42       45       47       49       51       54       56       57       59       61       63
3[deg]30[min]......................       35       38       40       43       45       47       50       52       54       55       57       59       61
3[deg]45[min]......................       34       37       39       41       44       46       48       50       52       54       55       57       59
4[deg]00[min]......................       33       35       38       40       42       44       46       48       50       52       54       55       57
4[deg]30[min]......................       31       33       36       38       40       42       44       45       47       49       50       52       54
5[deg]00[min]......................       29       32       34       36       38       40       41       43       45       46       48       49       51
5[deg]30[min]......................       28       30       32       34       36       38       40       41       43       44       46       47       48
6[deg]00[min]......................       27       29       31       33       35       36       38       39       41       42       44       45       46
6[deg]30[min]......................       26       28       30       31       33       35       36       38       39       41       42       43       45
7[deg]00[min]......................       25       27       29       30       32       34       35       36       38       39       40       42       43
8[deg]00[min]......................       23       25       27       28       30       31       33       34       35       37       38       39       40
9[deg]00[min]......................       22       24       25       27       28       30       31       32       33       35       36       37       38
10[deg]00[min].....................       21       22       24       25       27       28       29       31       32       33       34       35       36
11[deg]00[min].....................       20       21       23       24       26       27       28       29       30       31       32       33       34
12[deg]00[min].....................       19       20       22       23       24       26       27       28       29       30       31       32       33
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                             Table 2--Four Inches Unbalance
                                                           [Elevation of outer rail (inches)]
--------------------------------------------------------------------------------------------------------------------------------------------------------
        Degree of curvature             0      \1/2\      1      1\1/2\     2      2\1/2\     3      3\1/2\     4      4\1/2\     5      5\1/2\     6
--------------------------------------------------------------------------------------------------------------------------------------------------------
 

[[Page 138]]

 
                                                      (12) Maximum allowable operating speed (mph)
0[deg]30[min]......................      107      113      120      125      131      136      141      146      151      156      160      165      169
0[deg]40[min]......................       93       98      104      109      113      118      122      127      131      135      139      143      146
0[deg]50[min]......................       83       88       93       97      101      106      110      113      117      121      124      128      131
1[deg]00[min]......................       76       80       85       89       93       96      100      104      107      110      113      116      120
1[deg]15[min]......................       68       72       76       79       83       86       89       93       96       99      101      104      107
1[deg]30[min]......................       62       65       69       72       76       79       82       85       87       90       93       95       98
1[deg]45[min]......................       57       61       64       67       70       73       76       78       81       83       86       88       90
2[deg]00[min]......................       53       57       60       63       65       68       71       73       76       78       80       82       85
2[deg]15[min]......................       50       53       56       59       62       64       67       69       71       73       76       78       80
2[deg]30[min]......................       48       51       53       56       59       61       63       65       68       70       72       74       76
2[deg]45[min]......................       46       48       51       53       56       58       60       62       64       66       68       70       72
3[deg]00[min]......................       44       46       49       51       53       56       58       60       62       64       65       67       69
3[deg]15[min]......................       42       44       47       49       51       53       55       57       59       61       63       65       66
3[deg]30[min]......................       40       43       45       47       49       52       53       55       57       59       61       62       64
3[deg]45[min]......................       39       41       44       46       48       50       52       53       55       57       59       60       62
4[deg]00[min]......................       38       40       42       44       46       48       50       52       53       55       57       58       60
4[deg]30[min]......................       36       38       40       42       44       45       47       49       50       52       53       55       56
5[deg]00[min]......................       34       36       38       40       41       43       45       46       48       49       51       52       53
5[deg]30[min]......................       32       34       36       38       39       41       43       44       46       47       48       50       51
6[deg]00[min]......................       31       33       35       36       38       39       41       42       44       45       46       48       49
6[deg]30[min]......................       30       31       33       35       36       38       39       41       42       43       44       46       47
7[deg]00[min]......................       29       30       32       34       35       36       38       39       40       42       43       44       45
8[deg]00[min]......................       27       28       30       31       33       34       35       37       38       39       40       41       42
9[deg]00[min]......................       25       27       28       30       31       32       33       35       36       37       38       39       40
10[deg]00[min].....................       24       25       27       28       29       30       32       33       34       35       36       37       38
11[deg]00[min].....................       23       24       25       27       28       29       30       31       32       33       34       35       36
12[deg]00[min].....................       22       23       24       26       27       28       29       30       31       32       33       34       35
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 139]]

           Appendix B to Part 213--Schedule of Civil Penalties

------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation     Violation \1\
------------------------------------------------------------------------
Subpart A--General:
    213.4(a) Excepted track \2\.........          $2,500          $5,000
    213.4(b) Excepted track \2\.........           2,500           5,000
    213.4(c) Excepted track \2\.........           2,500           5,000
    213.4(d) Excepted track \2\.........           2,500           5,000
    213.4(e):
        (1) Excepted track .............           5,000           7,500
        (2) Excepted track .............           7,000          10,000
        (3) Excepted track .............           7,000          10,000
        (4) Excepted track .............           5,000           7,500
    213.4(f) Excepted track.............           2,000           4,000
    213.7 Designation of qualified                 1,000           2,000
     persons to supervise certain
     renewals and inspect track.........
    213.9 Classes of track: Operating              2,500           2,500
     speed limits.......................
    213.11 Restoration or renewal of               2,500           2,500
     track under traffic conditions.....
    213.13 Measuring track not under               1,000           2,000
     load...............................
Subpart B--Roadbed:
    213.33 Drainage.....................           2,500           5,000
    213.37 Vegetation...................           1,000           2,000
Subpart C--Track Geometry:
    213.53 Gage.........................           5,000           7,500
    13.55 Alinement.....................           5,000           7,500
    213.57 Curves; elevation and speed             2,500           5,000
     limitations........................
    213.59 Elevation of curved track;              2,500           2,500
     runoff.............................
213.63 Track surface....................           5,000           7,500
Subpart D--Track surface:
    213.103 Ballast; general............           2,500           5,000
    213.109 Crossties
        (a) Material used...............           1,000           2,000
        (b) Distribution of ties........           2,500           5,000
        (c) Sufficient number of                   1,000           2,000
         nondefective ties..............
        (d) Joint ties..................           2,500           5,000
        (e) Track constructed without              2,500           5,000
         crossties......................
    213.113 Defective rails.............           5,000           7,500
    213.115 Rail end mismatch...........           2,500           5,000
    213.119 Continuous welded rail
        (a) through (h).................           5,000           7,500
    213.121 (a) Rail joints.............           2,500           5,000
    213.121 (b) Rail joints.............           2,500           5,000
    213.121 (c) Rail joints.............           5,000           7,500
    213.121 (d) Rail joints.............           2,500           5,000
    213.121 (e) Rail joints.............           2,500           5,000
    213.121 (f) Rail joints.............           2,500           5,000
    213.121 (g) Rail joints.............           2,500           5,000
    213.121 (h) Rail joints.............           5,000           7,500
    213.122 Torch cut rail..............           2,500           5,000
    213.123 Tie plates..................           1,000           2,000
    213.127 Rail fastenings.............           2,500           5,000
    213.133 Turnouts and track                     1,000           1,000
     crossings, generally...............
    213.135 Switches:
        (a) through (g).................           2,500           5,000
        (h) chipped or worn points......           5,000           7,500
    213.137 Frogs.......................           2,500           5,000
    213.139 Spring rail frogs...........           2,500           5,000
    213.141 Self-guarded frogs..........           2,500           5,000
    213.143 Frog guard rails and guard             2,500           5,000
     faces; gage........................
Subpart E--Track appliances and track-
 related devices:
    213.205 Derails.....................           2,500           5,000
Subpart F--Inspection:
    213.233 Track inspections...........           2,000           4,000
    213.235 Switches, crossings,                   2,000           4,000
     transition devices.................
    213.237 Inspection of rail..........           2,500           5,000
    213.239 Special inspections.........           2,500           5,000
    213.241 Inspection records..........           1,000           1,000
Subpart G--High Speed:
    213.305 Designation of qualified               1,000           2,000
     individuals; general qualifications
    213.307 Class of track; operating              2,500           5,000
     speed limits.......................
    213.309 Restoration or renewal of              2,500           5,000
     track under traffic conditions.....
    213.311 Measuring track not under              1,000           2,000
     load...............................
    213.319 Drainage....................           2,500           5,000
    213.321 Vegetation..................           1,000           2,000
    213.323 Track gage..................           5,000           7,500

[[Page 140]]

 
    213.327 Alinement...................           5,000           7,500
    213.329 Curves, elevation and speed            2,500           5,000
     limits.............................
    213.331 Track surface...............           5,000           7,500
    213.333 Automated vehicle inspection           5,000           7,500
     systems............................
    213.335 Crossties
        (a) Material used...............           1,000           2,000
        (b) Distribution of ties........           2,500           5,000
        (c) Sufficient number of                   1,000           2,000
         nondefective ties, non-concrete
        (d) Sufficient number of                   1,000           2,000
         nondefective concrete ties.....
        (e) Joint ties..................           2,500           5,000
        (f) Track constructed without              2,500           5,000
         crossties......................
        (g) Non-defective ties                     2,500           5,000
         surrounding defective ties.....
        (h) Tie plates..................           2,500           5,000
        (i) Tie plates..................           1,000           2,000
    213.337 Defective rails.............           5,000           7,500
    213.339 Inspection of rail in                  2,500           5,000
     service............................
    213.341 Inspection of new rail......           2,500           5,000
    213.343 Continuous welded rail (a)             5,000           7,500
     through (h)........................
    213.345 Vehicle qualification                  5,000           7,500
     testing (a) through (b)............
        (c) through (e).................           2,500           5,000
    213.347 Automotive or railroad                 5,000           7,500
     crossings at grade.................
    213.349 Rail end mismatch...........           2,500           5,000
    213.351 (a) Rail joints.............           2,500           5,000
    213.351 (b) Rail joints.............           2,500           5,000
    213.351 (c) Rail joints.............           5,000           7,500
     213.351 (d) Rail joints............           2,500           5,000
    213.351 (e) Rail joints.............           2,500           5,000
    213.351 (f) Rail joints.............           5,000           7,500
    213.351 (g) Rail joints.............           5,000           7,500
    213. 352 Torch cut rails............           2,500           5,000
    213.353 Turnouts, crossovers,                  1,000           2,000
     transition devices.................
    213.355 Frog guard rails and guard             2,500           5,000
     faces; gage........................
    213.357 Derails.....................           2,500           5,000
    213.359 Track stiffness.............           5,000           7,500
    213.361 Right of way................           5,000           7,500
    213.365 Visual inspections..........           2,500           5,000
    213.367 Special inspections.........           2,500           5,000
    213.369 Inspections records.........           2,000           4,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  CFR Part 209, Appendix A.
\2\ In addition to assessment of penalties for each instance of
  noncompliance with the requirements identified by this footnote, track
  segments designated as excepted track that are or become ineligible
  for such designation by virtue of noncompliance with any of the
  requirements to which this footnote applies are subject to all other
  requirements of Part 213 until such noncompliance is remedied.


[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]

  Appendix C to Part 213--Statement of Agency Policy on the Safety of 
                            Railroad Bridges

    1. The structural integrity of bridges that carry railroad tracks is 
important to the safety of railroad employees and to the public. The 
responsibility for the safety of railroad bridges rests with the owner 
of the track carried by the bridge, together with any other party to 
whom that responsibility has been assigned by the track owner.
    2. The capacity of a bridge to safely support its traffic can be 
determined only by intelligent application of engineering principles and 
the laws of physics. Bridge owners should use, as FRA does, those 
principles to assess the integrity of railroad bridges.
    3. The long term ability of a structure to perform its function is 
an economic issue beyond the intent of this policy. In assessing a 
bridge's structural condition, FRA focuses on the present safety of the 
structure, rather than its appearance or long term usefulness.
    4. FRA inspectors conduct regular evaluations of railroad bridge 
inspection and management practices. The objective of these evaluations 
is to document the practices of the evaluated railroad and to disclose 
any program weaknesses that could affect the safety of the public or 
railroad employees. When the evaluation discloses problems, FRA seeks a 
cooperative resolution. If safety is jeopardized by a bridge owner's 
failure to resolve a bridge problem, FRA will use available legal means, 
including issuance of emergency orders, to protect the safety of 
railroad employees and the public.
    5. This policy statement addresses the integrity of bridges that 
carry railroad tracks. It does not address the integrity of other types 
of structures on railroad property (i.e.,

[[Page 141]]

tunnels or bridges carrying highways) or other features over railroads 
(i.e., highway overpasses).
    6. The guidelines published in this statement are advisory, rather 
than regulatory, in nature. They indicate those elements FRA deems 
essential to successful bridge management programs. FRA uses the 
guidelines when evaluating bridge inspection and management practices.

                               Guidelines

    1. Responsibility for safety of railroad bridges
    (a) Track owner. The owner of the track on a bridge, or another 
person assuming responsibility for the compliance of that track with 
this Part under provisions of Sec. 213.5, is responsible for ensuring 
that the bridge is capable of safely carrying all railroad traffic 
operated on that track, and for specifying the maximum loads that may be 
operated over the bridge.
    (b) Divided ownership. Where the owner of the track on a bridge does 
not own the bridge, the track owner should ensure that the bridge owner 
is following a program that will maintain the integrity of the bridge. 
The track owner either should participate in the inspection of the 
bridge, or should obtain and review reports of inspections performed by 
the bridge owner. The track owner should maintain current information 
regarding loads that may be operated over the bridge, either from its 
own engineering evaluations or as provided by a competent engineer 
representing the bridge owner. Information on permissible loads may be 
communicated by the bridge owner either in terms of specific car and 
locomotive configurations and weights, or as values representing a 
standard railroad bridge rating reference system. The most common 
standard bridge rating reference system incorporated in the Manual for 
Railway Engineering of the American Railway Engineering and Maintenance 
of Way Association is the dimensional and proportional load 
configuration devised by Theodore Cooper. Other reference systems may be 
used where convenient, provided their effects can be defined in terms of 
shear, bending and pier reactions as necessary for a comprehensive 
evaluation and statement of the capacity of a bridge.
    (c) Other railroads. The owner of the track on a bridge should 
advise other railroads operating on that track of the maximum loads 
permitted on the bridge stated in terms of car and locomotive 
configurations and weights. No railroad should operate a load which 
exceeds those limits without specific authority from, and in accordance 
with restrictions placed by, the track owner.

                     2. Capacity of Railroad Bridges

    (a) Determination. The safe capacity of bridges should be determined 
by competent engineers using accepted principles of structural design 
and analysis.
    (b) Analysis. Proper analysis of a bridge means knowledge of the 
actual dimensions, materials and properties of the structural members of 
the bridge, their condition, and the stresses imposed in those members 
by the service loads.
    (c) Rating. The factors which were used for the design of a bridge 
can generally be used to determine and rate the load capacity of a 
bridge provided:
    (i) The condition of the bridge has not changed significantly, and
    (ii) The stresses resulting from the service loads can be correlated 
to the stresses for which the bridge was designed or rated.

                        3. Railroad Bridge Loads

    (a) Control of loads. The operating instructions for each railroad 
operating over bridges should include provisions to restrict the 
movement of cars and locomotives whose weight or configuration exceed 
the nominal capacity of the bridges.
    (b) Authority for exceptions. Equipment exceeding the nominal weight 
restriction on a bridge should be operated only under conditions 
determined by a competent engineer who has properly analyzed the 
stresses resulting from the proposed loads.
    (c) Operating conditions. Operating conditions for exceptional loads 
may include speed restrictions, restriction of traffic from adjacent 
multiple tracks, and weight limitations on adjacent cars in the same 
train.

                       4. Railroad Bridge Records

    (a) The organization responsible for the safety of a bridge should 
keep design, construction, maintenance and repair records readily 
accessible to permit the determination of safe loads. Having design or 
rating drawings and calculations that conform to the actual structure 
greatly simplifies the process of making accurate determinations of safe 
bridge loads.
    (b) Organizations acquiring railroad property should obtain original 
or usable copies of all bridge records and drawings, and protect or 
maintain knowledge of the location of the original records.

       5. Specifications for Design and Rating of Railroad Bridges

    (a) The recommended specifications for the design and rating of 
bridges are those found in the Manual for Railway Engineering published 
by the American Railway Engineering and Maintenance-of-way Association. 
These specifications incorporate recognized principles of structural 
design and analysis to provide for the safe and economic utilization

[[Page 142]]

of railroad bridges during their expected useful lives. These 
specifications are continually reviewed and revised by committees of 
competent engineers. Other specifications for design and rating, 
however, have been successfully used by some railroads and may continue 
to be suitable.
    (b) A bridge can be rated for capacity according to current 
specifications regardless of the specification to which it was 
originally designed.

               6. Periodic Inspections of Railroad Bridges

    (a) Periodic bridge inspections by competent inspectors are 
necessary to determine whether a structure conforms to its design or 
rating condition and, if not, the degree of nonconformity.
    (b) The prevailing practice throughout the railroad industry is to 
inspect railroad bridges at least annually. Inspections at more frequent 
intervals may be indicated by the nature or condition of a structure or 
intensive traffic levels.

              7. Underwater Inspections of Railroad Bridges

    (a) Inspections of bridges should include measuring and recording 
the condition of substructure support at locations subject to erosion 
from moving water.
    (b) Stream beds often are not visible to the inspector. Indirect 
measurements by sounding, probing, or any other appropriate means are 
necessary in those cases. A series of records of those readings will 
provide the best information in the event unexpected changes suddenly 
occur. Where such indirect measurements do not provide the necessary 
assurance of foundation integrity, diving inspections should be 
performed as prescribed by a competent engineer.

                        8. Seismic Considerations

    (a) Owners of bridges should be aware of the risks posed by 
earthquakes in the areas in which their bridges are located. Precautions 
should be taken to protect the safety of trains and the public following 
an earthquake.
    (b) Contingency plans for seismic events should be prepared in 
advance, taking into account the potential for seismic activity in an 
area.
    (c) The predicted attenuation of ground motion varies considerably 
within the United States. Local ground motion attenuation values and the 
magnitude of an earthquake both influence the extent of the area 
affected by an earthquake. Regions with low frequency of seismic events 
produce less data from which to predict attenuation factors. That 
uncertainty should be considered when designating the area in which 
precautions should be taken following the first notice of an earthquake. 
In fact, earthquakes in such regions might propagate their effects over 
much wider areas than earthquakes of the same magnitude occurring in 
regions with frequent seismic activity.

               9. Special Inspections of Railroad Bridges

    (a) A special bridge inspection should be performed after an 
occurrence that might have reduced the capacity of the bridge, such as a 
flood, an earthquake, a derailment, or an unusual impact.
    (b) When a railroad learns that a bridge might have suffered damage 
through an unusual occurrence, it should restrict train operations over 
the bridge until the bridge is inspected and evaluated.

                 10. Railroad Bridge Inspection Records

    (a) Bridge inspections should be recorded. Records should identify 
the structure inspected, the date of the inspection, the name of the 
inspector, the components inspected, and their condition.
    (b) Information from bridge inspection reports should be 
incorporated into a bridge management program to ensure that exceptions 
on the reports are corrected or accounted for. A series of inspection 
reports prepared over time should be maintained so as to provide a 
valuable record of trends and rates of degradation of bridge components. 
The reports should be structured to promote comprehensive inspections 
and effective communication between an inspector and an engineer who 
performs an analysis of a bridge.
    (c) An inspection report should be comprehensible to a competent 
person without interpretation by the reporting inspector.

              11. Railroad Bridge Inspectors and Engineers

    (a) Bridge inspections should be performed by technicians whose 
training and experience enable them to detect and record indications of 
distress on a bridge. Inspectors should provide accurate measurements 
and other information about the condition of the bridge in enough detail 
so that an engineer can make a proper evaluation of the safety of the 
bridge.
    (b) Accurate information about the condition of a bridge should be 
evaluated by an engineer who is competent to determine the capacity of 
the bridge. The inspector and the evaluator often are not the same 
individual. The quality of the bridge evaluation depends on the quality 
of the communication between them.

                       12. Scheduling Inspections

    (a) A bridge management program should include a means to ensure 
that each bridge

[[Page 143]]

under the program is inspected at the frequency prescribed for that 
bridge by a competent engineer.
    (b) Bridge inspections should be scheduled from an accurate bridge 
inventory list that includes the due date of the next inspection.

             13. Special Considerations for Railroad Bridges

    Railroad bridges differ from other types of bridges in the types of 
loads they carry, in their modes of failure and indications of distress, 
and in their construction details and components. Proper inspection and 
analysis of railroad bridges require familiarity with the loads, details 
and indications of distress that are unique to this class of structure. 
Particular care should be taken that modifications to railroad bridges, 
including retrofits for protection against the effects of earthquakes, 
are suitable for the structure to which they are to be applied. 
Modifications should not adversely affect the serviceability of the 
bridge nor its accessibility for periodic or special inspection.

[65 FR 52670, Aug. 30, 2000]



PART 214--RAILROAD WORKPLACE SAFETY--Table of Contents




                           Subpart A--General

Sec.
214.1 Purpose and scope.
214.3 Application.
214.4 Preemptive effect.
214.5 Responsibility for compliance.
214.7 Definitions.

                Subpart B--Bridge Worker Safety Standards

214.101 Purpose and scope.
214.103 Fall protection, generally.
214.105 Fall protection systems standards and practices.
214.107 Working over or adjacent to water.
214.109 Scaffolding.
214.111 Personal protective equipment, generally.
214.113 Head protection.
214.115 Foot protection.
214.117 Eye and face protection.

                  Subpart C--Roadway Worker Protection

214.301 Purpose and scope.
214.302 Information collection requirements.
214.303 Railroad on-track safety programs, generally.
214.305 Compliance dates.
214.307 Review and approval of individual on-track safety programs by 
          FRA.
214.309 On-track safety program documents.
214.311 Responsibility of employers.
214.313 Responsibility of individual roadway workers.
214.315 Supervision and communication.
214.317 On-track safety procedures, generally.
214.319 Working limits, generally.
214.321 Exclusive track occupancy.
214.323 Foul time.
214.325 Train coordination.
214.327 Inaccessible track.
214.329 Train approach warning provided by watchmen/lookouts.
214.331 Definite train location.
214.333 Informational line-ups of trains.
214.335 On-track safety procedures for roadway work groups.
214.337 On-track safety procedures for lone workers.
214.339 Audible warning from trains.
214.341 Roadway maintenance machines.
214.343 Training and qualification, general.
214.345 Training for all roadway workers.
214.347 Training and qualification for lone workers.
214.349 Training and qualification of watchmen/lookouts.
214.351 Training and qualification of flagmen.
214.353 Training and qualification of roadway workers who provide on-
          track safety for roadway work groups.
214.355 Training and qualification in on-track safety for operators of 
          roadway maintenance machines.

  Subpart D--On-Track Roadway Maintenance Machines and Hi-Rail Vehicles

214.501 Purpose and scope.
214.503 Good-faith challenges; procedures for notification and 
          resolution.
214.505 Required environmental control and protection systems for new 
          on-track roadway maintenance machines with enclosed cabs.
214.507 Required safety equipment for new on-track roadway maintenance 
          machines.
214.509 Required visual illumination and reflective devices for new on-
          track roadway maintenance machines.
214.511 Required audible warning devices for new on-track roadway 
          maintenance machines.
214.513 Retrofitting of existing on-track roadway maintenance machines; 
          general.
214.515 Overhead covers for existing on-track roadway maintenance 
          machines.
214.517 Retrofitting of existing on-track roadway maintenance machines 
          manufactured on or after January 1, 1991.
214.518 Safe and secure positions for riders.
214.519 Floors, decks, stairs, and ladders of on-track roadway 
          maintenance machines.

[[Page 144]]

214.521 Flagging equipment for on-track roadway maintenance machines and 
          hi-rail vehicles.
214.523 Hi-rail vehicles.
214.525 Towing with on-track roadway maintenance machines or hi-rail 
          vehicles.
214.527 On-track roadway maintenance machines; inspection for compliance 
          and schedule for repairs.
214.529 In-service failure of primary braking system.
214.531 Schedule of repairs; general.
214.533 Schedule of repairs subject to availability of parts.

Appendix A to Part 214--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49

    Source: 57 FR 28127, June 24, 1992, unless otherwise noted.



                           Subpart A--General



Sec. 214.1  Purpose and scope.

    (a) The purpose of this part is to prevent accidents and casualties 
to employees involved in certain railroad inspection, maintenance and 
construction activities.
    (b) This part prescribes minimum Federal safety standards for the 
railroad workplace safety subjects addressed herein. This part does not 
restrict a railroad or railroad contractor from adopting and enforcing 
additional or more stringent requirements not inconsistent with this 
part.



Sec. 214.3  Application.

    This part applies to railroads that operate rolling equipment on 
track that is part of the general railroad system of transportation.



Sec. 214.4   Preemptive effect.

    Under 49 U.S.C. 20106 (formerly section 205 of the Federal Railroad 
Safety Act of 1970 (45 U.S.C. 434)), issuance of the regulations in this 
part preempts any State law, rule, regulation, order, or standard 
covering the same subject matter, except a provision directed at an 
essentially local safety hazard that is not incompatible with this part 
and that does not unreasonably burden on interstate commerce.

[61 FR 65975, Dec. 16, 1996]



Sec. 214.5  Responsibility for compliance.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that penalties may be assessed against individuals only for willful 
violations, and where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury, 
or has caused death or injury, a penalty not to exceed $22,000 per 
violation may be assessed. See appendix A to this part for a statement 
of agency civil penalty policy.

[57 FR 28127, June 24, 1992, as amended at 63 FR 11620, Mar. 10, 1998]



Sec. 214.7  Definitions.

    Adjacent tracks mean two or more tracks with track centers spaced 
less than 25 feet apart.
    Anchorage means a secure point of attachment for lifelines, lanyards 
or deceleration devices that is independent of the means of supporting 
or suspending the employee.
    Body belt means a strap that can be secured around the waist or body 
and attached to a lanyard, lifeline, or deceleration device.
    Body harness means a device with straps that is secured about the 
person in a manner so as to distribute the fall arrest forces over (at 
least) the thighs, shoulders, pelvis, waist, and chest and that can be 
attached to a lanyard, lifeline, or deceleration device.
    Class I, Class II, and Class III have the meaning assigned by, Title 
49 Code of Federal Regulations part 1201, General Instructions 1-1.
    Competent person means one who is capable of identifying existing 
and predictable hazards in the workplace and

[[Page 145]]

who is authorized to take prompt corrective measures to eliminate them.
    Control operator means the railroad employee in charge of a remotely 
controlled switch or derail, an interlocking, or a controlled point, or 
a segment of controlled track.
    Controlled track means track upon which the railroad's operating 
rules require that all movements of trains must be authorized by a train 
dispatcher or a control operator.
    Deceleration device means any mechanism, including, but not limited 
to, rope grabs, ripstitch lanyards, specially woven lanyards, tearing or 
deforming lanyards, and automatic self-retracting lifelines/lanyards 
that serve to dissipate a substantial amount of energy during a fall 
arrest, or otherwise limit the energy on a person during fall arrest.
    Definite train location means a system for establishing on-track 
safety by providing roadway workers with information about the earliest 
possible time that approaching trains may pass specific locations as 
prescribed in Sec. 214.331 of this part.
    Designated official means any person(s) designated by the employer 
to receive notification of non-complying conditions on on-track roadway 
maintenance machines and hi-rail vehicles.
    Effective securing device when used in relation to a manually 
operated switch or derail means one which is:
    (a) Vandal resistant;
    (b) Tamper resistant; and
    (c) Designed to be applied, secured, uniquely tagged and removed 
only by the class, craft or group of employees for whom the protection 
is being provided.
    Employee means an individual who is engaged or compensated by a 
railroad or by a contractor to a railroad to perform any of the duties 
defined in this part.
    Employer means a railroad, or a contractor to a railroad, that 
directly engages or compensates individuals to perform any of the duties 
defined in this part.
    Equivalent means alternative designs, materials, or methods that the 
railroad or railroad contractor can demonstrate will provide equal or 
greater safety for employees than the means specified in this part.
    Exclusive track occupancy means a method of establishing working 
limits on controlled track in which movement authority of trains and 
other equipment is withheld by the train dispatcher or control operator, 
or restricted by flagmen, as prescribed in Sec. 214.321 of this part.
    Flagman when used in relation to roadway worker safety means an 
employee designated by the railroad to direct or restrict the movement 
of trains past a point on a track to provide on-track safety for roadway 
workers, while engaged solely in performing that function.
    Foul time is a method of establishing working limits on controlled 
track in which a roadway worker is notified by the train dispatcher or 
control operator that no trains will operate within a specific segment 
of controlled track until the roadway worker reports clear of the track, 
as prescribed in Sec. 214.323 of this part.
    Fouling a track means the placement of an individual or an item of 
equipment in such proximity to a track that the individual or equipment 
could be struck by a moving train or on-track equipment, or in any case 
is within four feet of the field side of the near running rail.
    Free fall means the act of falling before the personal fall arrest 
system begins to apply force to arrest the fall.
    Free fall distance means the vertical displacement of the fall 
arrest attachment point on a person's body harness between onset of the 
fall and the point at which the system begins to apply force to arrest 
the fall. This distance excludes deceleration distance and lifeline and 
lanyard elongation, but includes any deceleration device slide distance 
or self-retracting lifeline/lanyard extension before they operate and 
fall arrest forces occur.
    Hi-rail vehicle means a roadway maintenance machine that is 
manufactured to meet Federal Motor Vehicle Safety Standards and is 
equipped with retractable flanged wheels so that the vehicle may travel 
over the highway or on railroad tracks.
    Hi-rail vehicle, new means a hi-rail vehicle that is ordered after 
December 26,

[[Page 146]]

2003 or completed after September 27, 2004.
    Inaccessible track means a method of establishing working limits on 
non-controlled track by physically preventing entry and movement of 
trains and equipment.
    Individual train detection means a procedure by which a lone worker 
acquires on-track safety by seeing approaching trains and leaving the 
track before they arrive and which may be used only under circumstances 
strictly defined in this part.
    Informational line-up of trains means information provided in a 
prescribed format to a roadway worker by the train dispatcher regarding 
movements of trains authorized or expected on a specific segment of 
track during a specific period of time.
    Lanyard means a flexible line of rope, wire rope, or strap that is 
used to secure a body harness to a deceleration device, lifeline, or 
anchorage.
    Lifeline means a component of a fall arrest system consisting of a 
flexible line that connects to an anchorage at one end to hang 
vertically (vertical lifeline) or to an anchorage at both ends to 
stretch horizontally (horizontal lifeline), and that serves as a means 
for connecting other components of a personal fall arrest system to the 
anchorage.
    Lone worker means an individual roadway worker who is not being 
afforded on-track safety by another roadway worker, who is not a member 
of a roadway work group, and who is not engaged in a common task with 
another roadway worker.
    Non-controlled track means track upon which trains are permitted by 
railroad rule or special instruction to move without receiving 
authorization from a train dispatcher or control operator.
    On-track roadway maintenance machine means a self-propelled, rail-
mounted, non-highway, maintenance machine whose light weight is in 
excess of 7,500 pounds, and whose purpose is not for the inspection of 
railroad track.
    On-track roadway maintenance machine, existing means any on-track 
roadway maintenance machine that does not meet the definition of a ``new 
on-track roadway maintenance machine.''
    On-track roadway maintenance machine, new means an on-track roadway 
maintenance machine that is ordered after December 26, 2003, and 
completed after September 27, 2004.
    On-track safety means a state of freedom from the danger of being 
struck by a moving railroad train or other railroad equipment, provided 
by operating and safety rules that govern track occupancy by personnel, 
trains and on-track equipment.
    Personal fall arrest system means a system used to arrest the fall 
of a person from a working level. It consists of an anchorage, 
connectors, body harness, lanyard, deceleration device, lifeline, or 
combination of these.
    Qualified means a status attained by an employee who has 
successfully completed any required training for, has demonstrated 
proficiency in, and has been authorized by the employer to perform the 
duties of a particular position or function.
    Railroad means all forms of non-highway ground transportation that 
run on rails or electro-magnetic guideways, including (1) commuter or 
other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high-speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    Railroad bridge means a structure supporting one or more railroad 
tracks above land or water with a span length of 12 feet or more 
measured along the track centerline. This term applies to the entire 
structure between the faces of the backwalls of abutments or equivalent 
components, regardless of the number of spans, and includes all such 
structures, whether of timber, stone, concrete, metal, or any 
combination thereof.
    Railroad bridge worker or bridge worker means any employee of, or 
employee of a contractor of, a railroad owning or responsible for the 
construction, inspection, testing, or maintenance of a

[[Page 147]]

bridge whose assigned duties, if performed on the bridge, include 
inspection, testing, maintenance, repair, construction, or 
reconstruction of the track, bridge structural members, operating 
mechanisms and water traffic control systems, or signal, communication, 
or train control systems integral to that bridge.
    Restricted speed means a speed that will permit a train or other 
equipment to stop within one-half the range of vision of the person 
operating the train or other equipment, but not exceeding 20 miles per 
hour, unless further restricted by the operating rules of the railroad.
    Roadway maintenance machine means a device powered by any means of 
energy other than hand power which is being used on or near railroad 
track for maintenance, repair, construction or inspection of track, 
bridges, roadway, signal, communications, or electric traction systems. 
Roadway maintenance machines may have road or rail wheels or may be 
stationary.
    Roadway work group means two or more roadway workers organized to 
work together on a common task.
    Roadway worker means any employee of a railroad, or of a contractor 
to a railroad, whose duties include inspection, construction, 
maintenance or repair of railroad track, bridges, roadway, signal and 
communication systems, electric traction systems, roadway facilities or 
roadway maintenance machinery on or near track or with the potential of 
fouling a track, and flagmen and watchmen/lookouts as defined in this 
section.
    Self-retracting lifeline/lanyard means a deceleration device that 
contains a drum-wound line that may be slowly extracted from, or 
retracted onto, the drum under slight tension during normal employee 
movement, and which, after onset of a fall, automatically locks the drum 
and arrests the fall.
    Snap-hook means a connector comprised of a hook-shaped member with a 
normally closed keeper, that may be opened to permit the hook to receive 
an object and, when released, automatically closes to retain the object.
    Train approach warning means a method of establishing on-track 
safety by warning roadway workers of the approach of trains in ample 
time for them to move to or remain in a place of safety in accordance 
with the requirements of this part.
    Train coordination means a method of establishing working limits on 
track upon which a train holds exclusive authority to move whereby the 
crew of that train yields that authority to a roadway worker.
    Train dispatcher means the railroad employee assigned to control and 
issue orders governing the movement of trains on a specific segment of 
railroad track in accordance with the operating rules of the railroad 
that apply to that segment of track.
    Watchman/lookout means an employee who has been annually trained and 
qualified to provide warning to roadway workers of approaching trains or 
on-track equipment. Watchmen/lookouts shall be properly equipped to 
provide visual and auditory warning such as whistle, air horn, white 
disk, red flag, lantern, fusee. A watchman/lookout's sole duty is to 
look out for approaching trains/on-track equipment and provide at least 
fifteen seconds advanced warning to employees before arrival of trains/
on-track equipment.
    Working limits means a segment of track with definite boundaries 
established in accordance with this part upon which trains and engines 
may move only as authorized by the roadway worker having control over 
that defined segment of track. Working limits may be established through 
``exclusive track occupancy,'' ``inaccessible track,'' ``foul time'' or 
``train coordination'' as defined herein.

[57 FR 28127, June 24, 1992, as amended at 61 FR 65975, Dec. 16, 1996; 
67 FR 1906, Jan. 15, 2002; 68 FR 44407, July 28, 2003]



                Subpart B--Bridge Worker Safety Standards



Sec. 214.101  Purpose and scope.

    (a) The purpose of this subpart is to prevent accidents and 
casualties arising from the performance of work on railroad bridges.
    (b) This subpart prescribes minimum railroad safety rules for 
railroad employees performing work on bridges. Each railroad and 
railroad contractor

[[Page 148]]

may prescribe additional or more stringent operating rules, safety 
rules, and other special instructions not inconsistent with this 
subpart.
    (c) These provisions apply to all railroad employees, railroads, and 
railroad contractors performing work on railroad bridges.
    (d) Any working conditions involving the protection of railroad 
employees working on railroad bridges not within the subject matter 
addressed by this chapter, including respiratory protection, hazard 
communication, hearing protection, welding and lead exposure standards, 
shall be governed by the regulations of the U.S. Department of Labor, 
Occupational Safety and Health Administration.



Sec. 214.103  Fall protection, generally.

    (a) Except as provided in paragraphs (b) through (d) of this 
section, when bridge workers work twelve feet or more above the ground 
or water surface, they shall be provided and shall use a personal fall 
arrest system or safety net system. All fall protection systems required 
by this section shall conform to the standards set forth in Sec. 214.105 
of this subpart.
    (b)(1) This section shall not apply if the installation of the fall 
arrest system poses a greater risk than the work to be performed. In any 
action brought by FRA to enforce the fall protection requirements, the 
railroad or railroad contractor shall have the burden of proving that 
the installation of such device poses greater exposure to risk than 
performance of the work itself.
    (2) This section shall not apply to bridge workers engaged in 
inspection of railroad bridges conducted in full compliance with the 
following conditions:
    (i) The railroad or railroad contractor has a written program in 
place that requires training in, adherence to, and use of safe 
procedures associated with climbing techniques and procedures to be 
used;
    (ii) The bridge worker to whom this exception applies has been 
trained and qualified according to that program to perform bridge 
inspections, has been previously and voluntarily designated to perform 
inspections under the provision of that program, and has accepted the 
designation;
    (iii) The bridge worker to whom this exception applies is familiar 
with the appropriate climbing techniques associated with all bridge 
structures the bridge worker is responsible for inspecting;
    (iv) The bridge worker to whom this exception applies is engaged 
solely in moving on or about the bridge or observing, measuring and 
recording the dimensions and condition of the bridge and its components; 
and
    (v) The bridge worker to whom this section applies is provided all 
equipment necessary to meet the needs of safety, including any 
specialized alternative systems required.
    (c) This section shall not apply where bridge workers are working on 
a railroad bridge equipped with walkways and railings of sufficient 
height, width, and strength to prevent a fall, so long as bridge workers 
do not work beyond the railings, over the side of the bridge, on ladders 
or other elevation devices, or where gaps or holes exist through which a 
body could fall. Where used in place of fall protection as provided for 
in Sec. 214.105, this paragraph (c) is satisfied by:
    (1) Walkways and railings meeting standards set forth in the 
American Railway Engineering Association's Manual for Railway 
Engineering; and
    (2) Roadways attached to railroad bridges, provided that bridge 
workers on the roadway deck work or move at a distance six feet or more 
from the edge of the roadway deck, or from an opening through which a 
person could fall.
    (d) This section shall not apply where bridge workers are performing 
repairs or inspections of a minor nature that are completed by working 
exclusively between the outside rails, including but not limited to, 
routine welding, spiking, anchoring, spot surfacing, and joint bolt 
replacement.

[67 FR 1906, Jan. 15, 2002]



Sec. 214.105  Fall protection systems standards and practices.

    (a) General requirements. All fall protection systems required by 
this subpart shall conform to the following:
    (1) Fall protection systems shall be used only for personal fall 
protection.

[[Page 149]]

    (2) Any fall protection system subjected to impact loading shall be 
immediately and permanently removed from service unless fully inspected 
and determined by a competent person to be undamaged and suitable for 
reuse.
    (3) All fall protection system components shall be protected from 
abrasions, corrosion, or any other form of deterioration.
    (4) All fall protection system components shall be inspected prior 
to each use for wear, damage, corrosion, mildew, and other 
deterioration. Defective components shall be permanently removed from 
service.
    (5) Prior to use and after any component or system is changed, 
bridge workers shall be trained in the application limits of the 
equipment, proper hook-up, anchoring and tie-off techniques, methods of 
use, and proper methods of equipment inspection and storage.
    (6) The railroad or railroad contractor shall provide for prompt 
rescue of bridge workers in the event of a fall.
    (7) Connectors shall have a corrosion-resistant finish, and all 
surfaces and edges shall be smooth to prevent damage to interfacing 
parts of the system.
    (8) Connectors shall be drop forged, pressed or formed steel, or 
made of equivalent-strength materials.
    (9) Anchorages, including single- and double-head anchors, shall be 
capable of supporting at least 5,000 pounds per bridge worker attached, 
or shall be designed, installed, and used under supervision of a 
qualified person as part of a complete personal fall protection system 
that maintains a safety factor of at least two.
    (b) Personal fall arrest systems. All components of a personal fall 
arrest system shall conform to the following standards:
    (1) Lanyards and vertical lifelines that tie off one bridge worker 
shall have a minimum breaking strength of 5,000 pounds.
    (2) Self-retracting lifelines and lanyards that automatically limit 
free fall distance to two feet or less shall have components capable of 
sustaining a minimum static tensile load of 3,000 pounds applied to the 
device with the lifeline or lanyard in the fully extended position.
    (3) Self-retracting lifelines and lanyards that do not limit free 
fall distance to two feet or less, ripstitch, and tearing and deformed 
lanyards shall be capable of withstanding 5,000 pounds applied to the 
device with the lifeline or lanyard in the fully extended position.
    (4) Horizontal lifelines shall be designed, installed, and used 
under the supervision of a competent person, as part of a complete 
personal fall arrest system that maintains a safety factor of at least 
two.
    (5) Lifelines shall not be made of natural fiber rope.
    (6) Body belts shall not be used as components of personal fall 
arrest systems.
    (7) The personal fall arrest system shall limit the maximum 
arresting force on a bridge worker to 1,800 pounds when used with a body 
harness.
    (8) The personal fall arrest system shall bring a bridge worker to a 
complete stop and limit maximum deceleration distance a bridge worker 
travels to 3.5 feet.
    (9) The personal fall arrest system shall have sufficient strength 
to withstand twice the potential impact energy of a bridge worker free 
falling a distance of six feet, or the free fall distance permitted by 
the system, whichever is less.
    (10) The personal fall arrest system shall be arranged so that a 
bridge worker cannot free fall more than six feet and cannot contact the 
ground or any lower horizontal surface of the bridge.
    (11) Personal fall arrest systems shall be worn with the attachment 
point of the body harness located in the center of the wearer's back 
near shoulder level, or above the wearer's head.
    (12) When vertical lifelines are used, each bridge worker shall be 
provided with a separate lifeline.
    (13) Devices used to connect to a horizontal lifeline that may 
become a vertical lifeline shall be capable of locking in either 
direction.
    (14) Dee-rings and snap-hooks shall be capable of sustaining a 
minimum tensile load of 3,600 pounds without cracking, breaking, or 
taking permanent deformation.

[[Page 150]]

    (15) Dee-rings and snap-hooks shall be capable of sustaining a 
minimum tensile load of 5,000 pounds.
    (16) Snap-hooks shall not be connected to each other.
    (17) Snap-hooks shall be dimensionally compatible with the member to 
which they are connected to prevent unintentional disengagement, or 
shall be a locking snap-hook designed to prevent unintentional 
disengagement.
    (18) Unless of a locking type, snap-hooks shall not be engaged:
    (i) Directly, next to a webbing, rope, or wire rope;
    (ii) To each other;
    (iii) To a dee-ring to which another snap-hook or other connector is 
attached;
    (iv) To a horizontal lifeline; or
    (v) To any object that is incompatibly shaped or dimensioned in 
relation to the snap-hook so that unintentional disengagement could 
occur.
    (c) Safety net systems. Use of safety net systems shall conform to 
the following standards and practices:
    (1) Safety nets shall be installed as close as practicable under the 
walking/working surface on which bridge workers are working, but shall 
not be installed more than 30 feet below such surface.
    (2) If the distance from the working surface to the net exceeds 30 
feet, bridge workers shall be protected by personal fall arrest systems.
    (3) The safety net shall be installed such that any fall from the 
working surface to the net is unobstructed.
    (4) Except as provided in this section, safety nets and net 
installations shall be drop-tested at the jobsite after initial 
installation and before being used as a fall protection system, whenever 
relocated, after major repair, and at six-month intervals if left in one 
place. The drop-test shall consist of a 400-pound bag of sand 30 inches, 
plus or minus two inches, in diameter dropped into the net from the 
highest (but not less than 3\1/2\ feet) working surface on which bridge 
workers are to be protected.
    (i) When the railroad or railroad contractor demonstrates that a 
drop-test is not feasible and, as a result, the test is not performed, 
the railroad or railroad contractor, or designated competent person, 
shall certify that the net and its installation are in compliance with 
the provisions of this section by preparing a certification record prior 
to use of the net.
    (ii) The certification shall include an identification of the net, 
the date it was determined that the net was in compliance with this 
section, and the signature of the person making this determination. Such 
person's signature shall certify that the net and its installation are 
in compliance with this section. The most recent certification for each 
net installation shall be available at the jobsite where the subject net 
is located.
    (5) Safety nets and their installations shall be capable of 
absorbing an impact force equal to that produced by the drop test 
specified in this section.
    (6) The safety net shall be installed such that there is no contact 
with surfaces or structures below the net when subjected to an impact 
force equal to the drop test specified in this section.
    (7) Safety nets shall extend outward from the outermost projection 
of the work surface as follows:
    (i) When the vertical distance from the working level to the 
horizontal plane of the net is 5 feet or less, the minimum required 
horizontal distance of the outer edge of the net beyond the edge of the 
working surface is 8 feet.
    (ii) When the vertical distance from the working level to the 
horizontal plane of the net is 5 feet, but less than 10 feet, the 
minimum required horizontal distance of the outer edge of the net beyond 
the edge of the working surface is 10 feet.
    (iii) When the vertical distance from the working level to the 
horizontal plane of the net is more than 10 feet, the minimum required 
horizontal distance of the outer edge of the net beyond the edge of the 
working surface is 13 feet.
    (8) Defective nets shall not be used. Safety nets shall be inspected 
at least once a week for mildew, wear, damage, and other deterioration. 
Defective components shall be removed permanently from service.
    (9) Safety nets shall be inspected after any occurrence that could 
affect the integrity of the safety net system.

[[Page 151]]

    (10) Tools, scraps, or other materials that have fallen into the 
safety net shall be removed as soon as possible, and at least before the 
next work shift.
    (11) Each safety net shall have a border rope for webbing with a 
minimum breaking strength of 5,000 pounds.
    (12) The maximum size of each safety net mesh opening shall not 
exceed 36 square inches and shall not be longer than 6 inches on any 
side measured center-to-center of mesh ropes or webbing. All mesh 
crossing shall be secured to prevent enlargement of the mesh opening.
    (13) Connections between safety net panels shall be as strong as 
integral net components and shall be spaced not more than 6 inches 
apart.

[67 FR 1906, Jan. 15, 2002; 67 FR 11055, Mar. 12, 2002]



Sec. 214.107  Working over or adjacent to water.

    (a) Bridge workers working over or adjacent to water with a depth of 
four feet or more, or where the danger of drowning exists, shall be 
provided and shall use life vests or buoyant work vests in compliance 
with U.S. Coast Guard requirements in 46 CFR 160.047, 160.052, and 
160.053. Life preservers in compliance with U.S. Coast Guard 
requirements in 46 CFR 160.055 shall also be within ready access. This 
section shall not apply to bridge workers using personal fall arrest 
systems or safety nets that comply with this subpart.
    (b) Life vests or buoyant work vests shall not be required when 
bridge workers are conducting inspections that involve climbing 
structures above or below the bridge deck.
    (c) Prior to each use, all flotation devices shall be inspected for 
defects that reduce their strength or bouyancy by designated individuals 
trained by the railroad or railroad contractor. Defective units shall 
not be used.
    (d) Where life vests are required by paragraph (a) of this section, 
ring buoys with at least 90 feet of line shall be provided and readily 
available for emergency rescue operations. Distance between ring buoys 
shall not exceed 200 feet.
    (e) Where life vests are required, at least one lifesaving skiff, 
inflatable boat, or equivalent device shall be immediately available. If 
it is determined by a competent person that environmental conditions, 
including weather, water speed, and terrain, merit additional 
protection, the skiff or boat shall be manned.

[57 FR 28127, June 24, 1992, as amended at 67 FR 1908, Jan. 15, 2002]



Sec. 214.109  Scaffolding.

    (a) Scaffolding used in connection with railroad bridge maintenance, 
inspection, testing, and construction shall be constructed and 
maintained in a safe condition and meet the following minimum 
requirements:
    (1) Each scaffold and scaffold component, except suspension ropes 
and guardrail systems, but including footings and anchorage, shall be 
capable of supporting, without failure, its own weight and at least four 
times the maximum intended load applied or transmitted to that scaffold 
or scaffold component.
    (2) Guardrail systems shall be capable of withstanding, without 
failure, a force of at least 200 pounds applied within two inches of the 
top edge, in any outward or downward direction, at any point along the 
top edge.
    (3) Top edge height of toprails, or equivalent guardrail system 
member, shall be 42 inches, plus or minus three inches. Supports shall 
be at intervals not to exceed eight feet. Toeboards shall be a minimum 
of four inches in height.
    (4) Midrails, screens, mesh, intermediate vertical members, solid 
panels, and equivalent structural members shall be capable of 
withstanding, without failure, a force of at least 150 pounds applied in 
any downward or outward direction at any point along the midrail or 
other member.
    (5) Midrails shall be installed at a height midway between the top 
edge of the guardrail system and the walking/working level.
    (b) Scaffolds shall not be altered or moved while they are occupied. 
This paragraph does not apply to vertical movements of mobile scaffolds 
that are designed to move vertically while occupied.
    (c) An access ladder or equivalent safe access shall be provided.

[[Page 152]]

    (d) All exposed surfaces shall be prepared and cleared to prevent 
injury due to laceration, puncture, tripping, or falling hazard.
    (e) All scaffold design, construction, and repair shall be completed 
by competent individuals trained and knowledgeable about design 
criteria, intended use, structural limitations, and procedures for 
proper repair.
    (f) Manually propelled mobile ladder stands and scaffolds shall 
conform to the following:
    (1) All manually propelled mobile ladder stands and scaffolds shall 
be capable of carrying the design load.
    (2) All ladder stands, scaffolds, and scaffold components shall be 
capable of supporting, without failure, displacement, or settlement, its 
own weight and at least four times the maximum intended load applied or 
transmitted to that ladder stand, scaffold, or scaffold component.
    (3) All exposed surfaces shall be free from sharp edges or burrs.
    (4) The maximum work level height shall not exceed four times the 
minimum or least base dimensions of any mobile ladder stand or scaffold. 
Where the basic mobile unit does not meet this requirement, suitable 
outrigger frames shall be employed to achieve this least base dimension, 
or equivalent provisions shall be made to guy or brace the unit against 
tipping.
    (5) The minimum platform width for any work level shall not be less 
than 20 inches for mobile scaffolds (towers). Ladder stands shall have a 
minimum step width of 16 inches. The steps of ladder stands shall be 
fabricated from slip resistant treads.
    (6) Guardrails and midrails shall conform to the requirements listed 
in paragraph (a) of this section.
    (7) A climbing ladder or stairway shall be provided for proper 
access and egress, and shall be affixed or built into the scaffold and 
so located that in its use it will not have a tendency to tip the 
scaffold.
    (8) Wheels or casters shall be capable of supporting, without 
failure, at least four times the maximum intended load applied or 
transmitted to that component. All scaffold casters shall be provided 
with a positive wheel and/or swivel lock to prevent movement. Ladder 
stands shall have at least two of the four casters and shall be of the 
swivel type.



Sec. 214.111  Personal protective equipment, generally.

    With the exception of foot protection, the railroad or railroad 
contractor shall provide and the bridge worker shall use appropriate 
personal protective equipment described in this subpart in all 
operations where there is exposure to hazardous conditions, or where 
this subpart indicates the need for using such equipment to reduce the 
hazards to railroad bridge workers. The railroad or railroad contractor 
shall require the use of foot protection when the potential for foot 
injury exists.

[67 FR 1908, Jan. 15, 2002]



Sec. 214.113  Head protection.

    (a) Railroad bridge workers working in areas where there is a 
possible danger of head injury from impact, or from falling or flying 
objects, or from electrical shock and burns, shall be provided and shall 
wear protective helmets.
    (b) Helmets for the protection of railroad bridge workers against 
impact and penetration of falling and flying objects, or from high 
voltage electrical shock and burns shall conform to the national 
consensus standards for industrial head protection (American National 
Standards Institute, Z89.1-1986, Protective Headwear for Industrial 
Workers). This incorporation by reference was approved by the Director 
of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. Copies may be obtained from the American National Standards 
Institute, 25 West 43rd Street, New York, NY 10036. Copies may be 
inspected at the Federal Railroad Administration, Docket Clerk, 1120 
Vermont Avenue NW., Washington, DC, or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, DC.

[67 FR 1908, Jan. 15, 2002]



Sec. 214.115  Foot protection.

    (a) The railroad or railroad contractor shall require railroad 
bridge workers to wear foot protection equipment when potential foot 
injury may

[[Page 153]]

result from impact, falling or flying objects, electrical shock or 
burns, or other hazardous condition.
    (b) Safety-toe footwear for railroad bridge workers shall conform to 
the national consensus standards for safety-toe footwear (American 
National Standards Institute, American National Standard Z41-1991, 
Standard for Personal Protection-Protective Footwear). This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies 
may be obtained from American National Standards Institute, 25 West 43rd 
Street, New York, NY 10036. Copies may be inspected at the Federal 
Railroad Administration, Docket Clerk, 1120 Vermont Avenue, Washington, 
DC, or at the Office of the Federal Register, 800 North Capitol Street, 
NW., suite 700, Washington DC.

[67 FR 1908, Jan. 15, 2002]



Sec. 214.117  Eye and face protection.

    (a) Railroad bridge workers shall be provided and shall wear eye and 
face protection equipment when potential eye or face injury may result 
from physical, chemical, or radiant agents.
    (b) Eye and face protection equipment required by this section shall 
conform to the national consensus standards for occupational and 
educational eye and face protection (American National Standards 
Institute, Z87.1-1989, Practice for Occupational and Educational Eye and 
Face Protection). This incorporation by reference was approved by the 
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. Copies may be obtained from the American National 
Standards Institute, 25 West 43rd Street, New York, NY 10036. Copies may 
be inspected at the Federal Railroad Administration, Docket Clerk, 1120 
Vermont Avenue, Washington, DC, or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
    (c) Face and eye protection equipment required by this section shall 
be kept clean and in good repair. Use of equipment with structural or 
optical defects is prohibited.
    (d) Railroad bridge workers whose vision requires the use of 
corrective lenses, when required by this section to wear eye protection, 
shall be protected by goggles or spectacles of one of the following 
types:
    (i) Spectacles whose protective lenses provide optical correction 
the, frame of which includes shielding against objects reaching the 
wearer's eyes around the lenses;
    (ii) Goggles that can be worn over corrective lenses without 
disturbing the adjustment of the lenses; or
    (iii) Goggles that incorporate corrective lenses mounted behind the 
protective lenses.

[67 FR 1908, Jan. 15, 2002; 67 FR 11055, Mar. 12, 2002]



                  Subpart C--Roadway Worker Protection

    Source: 61 FR 65976, Dec. 16, 1996, unless otherwise noted.



Sec. 214.301  Purpose and scope.

    (a) The purpose of this subpart is to prevent accidents and 
casualties caused by moving railroad cars, locomotives or roadway 
maintenance machines striking roadway workers or roadway maintenance 
machines.
    (b) This subpart prescribes minimum safety standards for roadway 
workers. Each railroad and railroad contractor may prescribe additional 
or more stringent operating rules, safety rules, and other special 
instructions that are consistent with this subpart.
    (c) This subpart prescribes safety standards related to the movement 
of roadway maintenance machines where such movements affect the safety 
of roadway workers. This subpart does not otherwise affect movements of 
roadway maintenance machines that are conducted under the authority of a 
train dispatcher, a control operator, or the operating rules of the 
railroad.



Sec. 214.302  Information collection requirements.

    (a) The information collection requirements of this part were 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995, Public Law 104-13, Sec. 2, 109 Stat.163 
(1995) (codified as revised at 44 U.S.C. Secs. 3501-3520), and are 
assigned

[[Page 154]]

OMB control number 2130-0539. FRA may not conduct or sponsor and a 
respondent is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number.
    (b) The information collection requirements are found in the 
following sections: Secs. 214.303, 214.307, 214.309, 214.311, 214.313, 
214.315, 214.319, 214.321, 214.323, 214.325, 214.327, 214.329, 214.331, 
214.335, 214.341.



Sec. 214.303  Railroad on-track safety programs, generally.

    (a) Each railroad to which this part applies shall adopt and 
implement a program that will afford on-track safety to all roadway 
workers whose duties are performed on that railroad. Each such program 
shall provide for the levels of protection specified in this subpart.
    (b) Each on-track safety program adopted to comply with this part 
shall include procedures to be used by each railroad for monitoring 
effectiveness of and compliance with the program.



Sec. 214.305  Compliance dates.

    Each program adopted by a railroad shall comply not later than the 
date specified in the following schedule:
    (a) For each Class I railroad (including National Railroad Passenger 
Corporation) and each railroad providing commuter service in a 
metropolitan or suburban area, March 15, 1997.
    (b) For each Class II railroad, April 15, 1997.
    (c) For each Class III railroad, switching and terminal railroad, 
and any railroad not otherwise classified, May 15, 1997.
    (d) For each railroad commencing operations after the pertinent date 
specified in this section, the date on which operations commence.



Sec. 214.307  Review and approval of individual on-track safety programs by FRA.

    (a) Each railroad shall notify, in writing, the Associate 
Administrator for Safety, Federal Railroad Administration, RRS-15, 400 
Seventh Street SW, Washington, DC 20590, not less than one month before 
its on-track safety program becomes effective. The notification shall 
include the effective date of the program, the address of the office at 
which the program documents are available for review and photocopying by 
representatives of the Federal Railroad Administrator, and the name, 
title, address and telephone number of the primary person to be 
contacted with regard to review of the program. This notification 
procedure shall also apply to subsequent changes to a railroad's on-
track safety program.
    (b) After receipt of the notification from the railroad, the Federal 
Railroad Administration will conduct a formal review of the on-track 
safety program. The Federal Railroad Administration will notify the 
primary railroad contact person of the results of the review, in 
writing, whether the on-track safety program or changes to the program 
have been approved by the Administrator, and if not approved, the 
specific points in which the program or changes are deficient.
    (c) A railroad's on-track safety program will take effect by the 
established compliance dates in Sec. 214.305, without regard to the date 
of review or approval by the Federal Railroad Administration. Changes to 
a railroad's program will take effect on dates established by each 
railroad without regard to the date of review and approval by the 
Federal Railroad Administration.



Sec. 214.309  On-track safety program documents.

    Rules and operating procedures governing track occupancy and 
protection shall be maintained together in one manual and be readily 
available to all roadway workers. Each roadway worker responsible for 
the on-track safety of others, and each lone worker, shall be provided 
with and shall maintain a copy of the program document.



Sec. 214.311  Responsibility of employers.

    (a) Each employer is responsible for the understanding and 
compliance by its employees with its rules and the requirements of this 
part.
    (b) Each employer shall guarantee each employee the absolute right 
to challenge in good faith whether the on-track safety procedures to be 
applied

[[Page 155]]

at the job location comply with the rules of the operating railroad, and 
to remain clear of the track until the challenge is resolved.
    (c) Each employer shall have in place a written procedure to achieve 
prompt and equitable resolution of challenges made in accordance with 
Secs. 214.311(b) and 214.313(d).



Sec. 214.313  Responsibility of individual roadway workers.

    (a) Each roadway worker is responsible for following the on-track 
safety rules of the railroad upon which the roadway worker is located.
    (b) A roadway worker shall not foul a track except when necessary 
for the performance of duty.
    (c) Each roadway worker is responsible to ascertain that on-track 
safety is being provided before fouling a track.
    (d) Each roadway worker may refuse any directive to violate an on-
track safety rule, and shall inform the employer in accordance with 
Sec. 214.311 whenever the roadway worker makes a good faith 
determination that on-track safety provisions to be applied at the job 
location do not comply with the rules of the operating railroad.



Sec. 214.315  Supervision and communication.

    (a) When an employer assigns duties to a roadway worker that call 
for that employee to foul a track, the employer shall provide the 
employee with a job briefing that includes information on the means by 
which on-track safety is to be provided, and instruction on the on-track 
safety procedures to be followed.
    (b) A job briefing for on-track safety shall be deemed complete only 
after the roadway worker has acknowledged understanding of the on-track 
safety procedures and instructions presented.
    (c) Every roadway work group whose duties require fouling a track 
shall have one roadway worker designated by the employer to provide on-
track safety for all members of the group. The designated person shall 
be qualified under the rules of the railroad that conducts train 
operations on those tracks to provide the protection necessary for on-
track safety of each individual in the group. The responsible person may 
be designated generally, or specifically for a particular work 
situation.
    (d) Before any member of a roadway work group fouls a track, the 
designated person providing on-track safety for the group under 
paragraph (c) of this section shall inform each roadway worker of the 
on- track safety procedures to be used and followed during the 
performance of the work at that time and location. Each roadway worker 
shall again be so informed at any time the on-track safety procedures 
change during the work period. Such information shall be given to all 
roadway workers affected before the change is effective, except in cases 
of emergency. Any roadway workers who, because of an emergency, cannot 
be notified in advance shall be immediately warned to leave the fouling 
space and shall not return to the fouling space until on-track safety is 
re-established.
    (e) Each lone worker shall communicate at the beginning of each duty 
period with a supervisor or another designated employee to receive a job 
briefing and to advise of his or her planned itinerary and the 
procedures that he or she intends to use for on-track safety. When 
communication channels are disabled, the job briefing shall be conducted 
as soon as possible after the beginning of the work period when 
communications are restored.



Sec. 214.317  On-track safety procedures, generally.

    Each employer subject to the provisions of this part shall provide 
on-track safety for roadway workers by adopting a program that contains 
specific rules for protecting roadway workers that comply with the 
provisions of Secs. 214.319 through 214.337 of this part.



Sec. 214.319  Working limits, generally.

    Working limits established on controlled track shall conform to the 
provisions of Sec. 214.321 Exclusive track occupancy, or Sec. 214.323 
Foul time, or Sec. 214. 325 Train coordination. Working limits 
established on non-controlled track shall conform to the provision of 
Sec. 214.327 Inaccessible track. Working limits established under any 
procedure

[[Page 156]]

shall, in addition, conform to the following provisions:
    (a) Only a roadway worker who is qualified in accordance with 
Sec. 214.353 of this part shall establish or have control over working 
limits for the purpose of establishing on-track safety.
    (b) Only one roadway worker shall have control over working limits 
on any one segment of track.
    (c) All affected roadway workers shall be notified before working 
limits are released for the operation of trains. Working limits shall 
not be released until all affected roadway workers have either left the 
track or have been afforded on-track safety through train approach 
warning in accordance with Sec. 214.329 of this subpart.



Sec. 214.321  Exclusive track occupancy.

    Working limits established on controlled track through the use of 
exclusive track occupancy procedures shall comply with the following 
requirements:
    (a) The track within working limits shall be placed under the 
control of one roadway worker by either:
    (1) Authority issued to the roadway worker in charge by the train 
dispatcher or control operator who controls train movements on that 
track,
    (2) Flagmen stationed at each entrance to the track within working 
limits and instructed by the roadway worker in charge to permit the 
movement of trains and equipment into the working limits only as 
permitted by the roadway worker in charge, or
    (3) The roadway worker in charge causing fixed signals at each 
entrance to the working limits to display an aspect indicating ``Stop.''
    (b) An authority for exclusive track occupancy given to the roadway 
worker in charge of the working limits shall be transmitted on a written 
or printed document directly, by relay through a designated employee, in 
a data transmission, or by oral communication, to the roadway worker by 
the train dispatcher or control operator in charge of the track.
    (1) Where authority for exclusive track occupancy is transmitted 
orally, the authority shall be written as received by the roadway worker 
in charge and repeated to the issuing employee for verification.
    (2) The roadway worker in charge of the working limits shall 
maintain possession of the written or printed authority for exclusive 
track occupancy while the authority for the working limits is in effect.
    (3) The train dispatcher or control operator in charge of the track 
shall make a written or electronic record of all authorities issued to 
establish exclusive track occupancy.
    (c) The extent of working limits established through exclusive track 
occupancy shall be defined by one of the following physical features 
clearly identifiable to a locomotive engineer or other person operating 
a train or railroad equipment:
    (1) A flagman with instructions and capability to hold all trains 
and equipment clear of the working limits;
    (2) A fixed signal that displays an aspect indicating ``Stop'';
    (3) A station shown in the time-table, and identified by name with a 
sign, beyond which train movement is prohibited by train movement 
authority or the provisions of a direct train control system.
    (4) A clearly identifiable milepost sign beyond which train movement 
is prohibited by train movement authority or the provisions of a direct 
train control system; or
    (5) A clearly identifiable physical location prescribed by the 
operating rules of the railroad that trains may not pass without proper 
authority.
    (d) Movements of trains and roadway maintenance machines within 
working limits established through exclusive track occupancy shall be 
made only under the direction of the roadway worker having control over 
the working limits. Such movements shall be restricted speed unless a 
higher speed has been specifically authorized by the roadway worker in 
charge of the working limits.



Sec. 214.323  Foul time.

    Working limits established on controlled track through the use of 
foul time procedures shall comply with the following requirements:
    (a) Foul time may be given orally or in writing by the train 
dispatcher or

[[Page 157]]

control operator only after that employee has withheld the authority of 
all trains to move into or within the working limits during the foul 
time period.
    (b) Each roadway worker to whom foul time is transmitted orally 
shall repeat the track number, track limits and time limits of the foul 
time to the issuing employee for verification before the foul time 
becomes effective.
    (c) The train dispatcher or control operator shall not permit the 
movement of trains or other on-track equipment onto the working limits 
protected by foul time until the roadway worker who obtained the foul 
time has reported clear of the track.



Sec. 214.325  Train coordination.

    Working limits established by a roadway worker through the use of 
train coordination shall comply with the following requirements:
    (a) Working limits established by train coordination shall be within 
the segments of track or tracks upon which only one train holds 
exclusive authority to move.
    (b) The roadway worker who establishes working limits by train 
coordination shall communicate with a member of the crew of the train 
holding the exclusive authority to move, and shall determine that:
    (1) The train is visible to the roadway worker who is establishing 
the working limits,
    (2) The train is stopped,
    (3) Further movements of the train will be made only as permitted by 
the roadway worker in charge of the working limits while the working 
limits remain in effect, and
    (4) The crew of the train will not give up its exclusive authority 
to move until the working limits have been released to the train crew by 
the roadway worker in charge of the working limits.



Sec. 214.327  Inaccessible track.

    (a) Working limits on non-controlled track shall be established by 
rendering the track within working limits physically inaccessible to 
trains at each possible point of entry by one of the following features:
    (1) A flagman with instructions and capability to hold all trains 
and equipment clear of the working limits;
    (2) A switch or derail aligned to prevent access to the working 
limits and secured with an effective securing device by the roadway 
worker in charge of the working limits;
    (3) A discontinuity in the rail that precludes passage of trains or 
engines into the working limits;
    (4) Working limits on controlled track that connects directly with 
the inaccessible track, established by the roadway worker in charge of 
the working limits on the inaccessible track; or
    (5) A remotely controlled switch aligned to prevent access to the 
working limits and secured by the control operator of such remotely 
controlled switch by application of a locking or blocking device to the 
control of that switch, when:
    (i) The control operator has secured the remotely controlled switch 
by applying a locking or blocking device to the control of the switch, 
and
    (ii) The control operator has notified the roadway worker who has 
established the working limits that the requested protection has been 
provided, and
    (iii) The control operator is not permitted to remove the locking or 
blocking device from the control of the switch until receiving 
permission to do so from the roadway worker who established the working 
limits.
    (b) Trains and roadway maintenance machines within working limits 
established by means of inaccessible track shall move only under the 
direction of the roadway worker in charge of the working limits, and 
shall move at restricted speed.
    (c) No operable locomotives or other items of on-track equipment, 
except those present or moving under the direction of the roadway worker 
in charge of the working limits, shall be located within working limits 
established by means of inaccessible track.



Sec. 214.329  Train approach warning provided by watchmen/lookouts.

    Roadway workers in a roadway work group who foul any track outside 
of working limits shall be given warning of approaching trains by one or 
more

[[Page 158]]

watchmen/lookouts in accordance with the following provisions:
    (a) Train approach warning shall be given in sufficient time to 
enable each roadway worker to move to and occupy a previously arranged 
place of safety not less than 15 seconds before a train moving at the 
maximum speed authorized on that track can pass the location of the 
roadway worker.
    (b) Watchmen/lookouts assigned to provide train approach warning 
shall devote full attention to detecting the approach of trains and 
communicating a warning thereof, and shall not be assigned any other 
duties while functioning as watchmen/lookouts.
    (c) The means used by a watchman/lookout to communicate a train 
approach warning shall be distinctive and shall clearly signify to all 
recipients of the warning that a train or other on-track equipment is 
approaching.
    (d) Every roadway worker who depends upon train approach warning for 
on-track safety shall maintain a position that will enable him or her to 
receive a train approach warning communicated by a watchman/lookout at 
any time while on-track safety is provided by train approach warning.
    (e) Watchmen/lookouts shall communicate train approach warnings by a 
means that does not require a warned employee to be looking in any 
particular direction at the time of the warning, and that can be 
detected by the warned employee regardless of noise or distraction of 
work.
    (f) Every roadway worker who is assigned the duties of a watchman/
lookout shall first be trained, qualified and designated in writing by 
the employer to do so in accordance with the provisions of Sec. 214.349.
    (g) Every watchman/lookout shall be provided by the employer with 
the equipment necessary for compliance with the on-track safety duties 
which the watchman/lookout will perform.



Sec. 214.331  Definite train location.

    A roadway worker may establish on-track safety by using definite 
train location only where permitted by and in accordance with the 
following provisions:
    (a) A Class I railroad or a commuter railroad may only use definite 
train location to establish on-track safety at points where such 
procedures were in use on January 15, 1997.
    (b) Each Class I or commuter railroad shall include in its on-track 
safety program for approval by FRA in accordance with Sec. 214.307 of 
this part a schedule for phase-out of the use of definite train location 
to establish on-track safety.
    (c) A railroad other than a Class I or commuter railroad may use 
definite train location to establish on-track safety on subdivisions 
only where:
    (1) Such procedures were in use on January 15, 1997, or
    (2) The number of trains operated on the subdivision does not 
exceed:
    (i) Three during any nine-hour period in which roadway workers are 
on duty, and
    (ii) Four during any twelve-hour period in which roadway workers are 
on duty.
    (d) Definite train location shall only be used to establish on-track 
safety according to the following provisions:
    (1) Definite train location information shall be issued only by the 
one train dispatcher who is designated to authorize train movements over 
the track for which the information is provided.
    (2) A definite train location list shall indicate all trains to be 
operated on the track for which the list is provided, during the time 
for which the list is effective.
    (3) Trains not shown on the definite train location list shall not 
be operated on the track for which the list is provided, during the time 
for which the list is effective, until each roadway worker to whom the 
list has been issued has been notified of the train movement, has 
acknowledged the notification to the train dispatcher, and has canceled 
the list. A list thus canceled shall then be invalid for on-track 
safety.
    (4) Definite train location shall not be used to establish on-track 
safety within the limits of a manual interlocking, or on track over 
which train movements are governed by a Traffic Control System or by a 
Manual Block System.
    (5) Roadway workers using definite train location for on-track 
safety shall

[[Page 159]]

not foul a track within ten minutes before the earliest time that a 
train is due to depart the last station at which time is shown in 
approach to the roadway worker's location nor until that train has 
passed the location of the roadway worker.
    (6) A railroad shall not permit a train to depart a location 
designated in a definite train location list before the time shown 
therein.
    (7) Each roadway worker who uses definite train location to 
establish on-track safety must be qualified on the relevant physical 
characteristics of the territory for which the train location 
information is provided.



Sec. 214.333  Informational line-ups of trains.

    (a) A railroad is permitted to include informational line-ups of 
trains in its on-track safety program for use only on subdivisions of 
that railroad upon which such procedure was in effect on March 14, 1996.
    (b) Each procedure for the use of informational line-ups of trains 
found in an on-track safety program shall include all provisions 
necessary to protect roadway workers using the procedure against being 
struck by trains or other on-track equipment.
    (c) Each on-track safety program that provides for the use of 
informational line-ups shall include a schedule for discontinuance of 
the procedure by a definite date.



Sec. 214.335  On-track safety procedures for roadway work groups.

    (a) No employer subject to the provisions of this part shall require 
or permit a roadway worker who is a member of a roadway work group to 
foul a track unless on-track safety is provided by either working 
limits, train approach warning, or definite train location in accordance 
with the applicable provisions of Secs. 214.319, 214.321, 213.323, 
214.325, 214.327, 214.329 and 214.331 of this part.
    (b) No roadway worker who is a member of a roadway work group shall 
foul a track without having been informed by the roadway worker 
responsible for the on-track safety of the roadway work group that on-
track safety is provided.
    (c) Roadway work groups engaged in large-scale maintenance or 
construction shall be provided with train approach warning in accordance 
with Sec. 214.327 for movements on adjacent tracks that are not included 
within working limits.



Sec. 214.337  On-track safety procedures for lone workers.

    (a) A lone worker who fouls a track while performing routine 
inspection or minor correction may use individual train detection to 
establish on-track safety only where permitted by this section and the 
on-track safety program of the railroad.
    (b) A lone worker retains an absolute right to use on-track safety 
procedures other than individual train detection if he or she deems it 
necessary, and to occupy a place of safety until such other form of on-
track safety can be established.
    (c) Individual train detection may be used to establish on-track 
safety only:
    (1) By a lone worker who has been trained, qualified, and designated 
to do so by the employer in accordance with Sec. 214.347 of this 
subpart;
    (2) While performing routine inspection and minor correction work;
    (3) On track outside the limits of a manual interlocking, a 
controlled point, or a remotely controlled hump yard facility;
    (4) Where the lone worker is able to visually detect the approach of 
a train moving at the maximum speed authorized on that track, and move 
to a previously determined place of safety, not less than 15 seconds 
before the train would arrive at the location of the lone worker;
    (5) Where no power-operated tools or roadway maintenance machines 
are in use within the hearing of the lone worker; and
    (6) Where the ability of the lone worker to hear and see approaching 
trains and other on-track equipment is not impaired by background noise, 
lights, precipitation, fog, passing trains, or any other physical 
conditions.
    (d) The place of safety to be occupied by a lone worker upon the 
approach of a train may not be on a track, unless

[[Page 160]]

working limits are established on that track.
    (e) A lone worker using individual train detection for on-track 
safety while fouling a track may not occupy a position or engage in any 
activity that would interfere with that worker's ability to maintain a 
vigilant lookout for, and detect the approach of, a train moving in 
either direction as prescribed in this section.
    (f) A lone worker who uses individual train detection to establish 
on-track safety shall first complete a written Statement of On-track 
Safety. The Statement shall designate the limits of the track for which 
it is prepared and the date and time for which it is valid. The 
statement shall show the maximum authorized speed of trains within the 
limits for which it is prepared, and the sight distance that provides 
the required warning of approaching trains. The lone worker using 
individual train detection to establish on-track safety shall produce 
the Statement of On-track Safety when requested by a representative of 
the Federal Railroad Administrator.



Sec. 214.339  Audible warning from trains.

    Each railroad shall require that the locomotive whistle be sounded, 
and the locomotive bell be rung, by trains approaching roadway workers 
on or about the track. Such audible warning shall not substitute for on-
track safety procedures prescribed in this part.



Sec. 214.341  Roadway maintenance machines.

    (a) Each employer shall include in its on-track safety program 
specific provisions for the safety of roadway workers who operate or 
work near roadway maintenance machines. Those provisions shall address:
    (1) Training and qualification of operators of roadway maintenance 
machines.
    (2) Establishment and issuance of safety procedures both for general 
application and for specific types of machines.
    (3) Communication between machine operators and roadway workers 
assigned to work near or on roadway maintenance machines.
    (4) Spacing between machines to prevent collisions.
    (5) Space between machines and roadway workers to prevent personal 
injury.
    (6) Maximum working and travel speeds for machines dependent upon 
weather, visibility, and stopping capabilities.
    (b) Instructions for the safe operation of each roadway machine 
shall be provided and maintained with each machine large enough to carry 
the instruction document.
    (1) No roadway worker shall operate a roadway maintenance machine 
without having been trained in accordance with Sec. 214.355.
    (2) No roadway worker shall operate a roadway maintenance machine 
without having complete knowledge of the safety instructions applicable 
to that machine.
    (3) No employer shall assign roadway workers to work near roadway 
machines unless the roadway worker has been informed of the safety 
procedures applicable to persons working near the roadway machines and 
has acknowledged full understanding.
    (c) Components of roadway maintenance machines shall be kept clear 
of trains passing on adjacent tracks. Where operating conditions permit 
roadway maintenance machines to be less than four feet from the rail of 
an adjacent track, the on-track safety program of the railroad shall 
include the procedural instructions necessary to provide adequate 
clearance between the machine and passing trains.



Sec. 214.343  Training and qualification, general.

    (a) No employer shall assign an employee to perform the duties of a 
roadway worker, and no employee shall accept such assignment, unless 
that employee has received training in the on-track safety procedures 
associated with the assignment to be performed, and that employee has 
demonstrated the ability to fulfill the responsibilities for on-track 
safety that are required of an individual roadway worker performing that 
assignment.
    (b) Each employer shall provide to all roadway workers in its employ 
initial

[[Page 161]]

or recurrent training once every calendar year on the on-track safety 
rules and procedures that they are required to follow.
    (c) Railroad employees other than roadway workers, who are 
associated with on-track safety procedures, and whose primary duties are 
concerned with the movement and protection of trains, shall be trained 
to perform their functions related to on-track safety through the 
training and qualification procedures prescribed by the operating 
railroad for the primary position of the employee, including maintenance 
of records and frequency of training.
    (d) Each employer of roadway workers shall maintain written or 
electronic records of each roadway worker qualification in effect. Each 
record shall include the name of the employee, the type of qualification 
made, and the most recent date of qualification. These records shall be 
kept available for inspection and photocopying by the Federal Railroad 
Administrator during regular business hours.



Sec. 214.345  Training for all roadway workers.

    The training of all roadway workers shall include, as a minimum, the 
following:
    (a) Recognition of railroad tracks and understanding of the space 
around them within which on-track safety is required.
    (b) The functions and responsibilities of various persons involved 
with on-track safety procedures.
    (c) Proper compliance with on-track safety instructions given by 
persons performing or responsible for on-track safety functions.
    (d) Signals given by watchmen/lookouts, and the proper procedures 
upon receiving a train approach warning from a lookout.
    (e) The hazards associated with working on or near railroad tracks, 
including review of on-track safety rules and procedures.



Sec. 214.347  Training and qualification for lone workers.

    Each lone worker shall be trained and qualified by the employer to 
establish on-track safety in accordance with the requirements of this 
section, and must be authorized to do so by the railroad that conducts 
train operations on those tracks.
    (a) The training and qualification for lone workers shall include, 
as a minimum, consideration of the following factors:
    (1) Detection of approaching trains and prompt movement to a place 
of safety upon their approach.
    (2) Determination of the distance along the track at which trains 
must be visible in order to provide the prescribed warning time.
    (3) Rules and procedures prescribed by the railroad for individual 
train detection, establishment of working limits, and definite train 
location.
    (4) On-track safety procedures to be used in the territory on which 
the employee is to be qualified and permitted to work alone.
    (b) Initial and periodic qualification of a lone worker shall be 
evidenced by demonstrated proficiency.



Sec. 214.349  Training and qualification of watchmen/lookouts.

    (a) The training and qualification for roadway workers assigned the 
duties of watchmen/lookouts shall include, as a minimum, consideration 
of the following factors:
    (1) Detection and recognition of approaching trains.
    (2) Effective warning of roadway workers of the approach of trains.
    (3) Determination of the distance along the track at which trains 
must be visible in order to provide the prescribed warning time.
    (4) Rules and procedures of the railroad to be used for train 
approach warning.
    (b) Initial and periodic qualification of a watchman/lookout shall 
be evidenced by demonstrated proficiency.



Sec. 214.351  Training and qualification of flagmen.

    (a) The training and qualification for roadway workers assigned the 
duties of flagmen shall include, as a minimum, the content and 
application of the operating rules of the railroad pertaining to giving 
proper stop signals to trains and holding trains clear of working 
limits.

[[Page 162]]

    (b) Initial and periodic qualification of a flagman shall be 
evidenced by demonstrated proficiency.



Sec. 214.353  Training and qualification of roadway workers who provide on-track safety for roadway work groups.

    (a) The training and qualification of roadway workers who provide 
for the on-track safety of groups of roadway workers through 
establishment of working limits or the assignment and supervision of 
watchmen/lookouts or flagmen shall include, as a minimum:
    (1) All the on-track safety training and qualification required of 
the roadway workers to be supervised and protected.
    (2) The content and application of the operating rules of the 
railroad pertaining to the establishment of working limits.
    (3) The content and application of the rules of the railroad 
pertaining to the establishment or train approach warning.
    (4) The relevant physical characteristics of the territory of the 
railroad upon which the roadway worker is qualified.
    (b) Initial and periodic qualification of a roadway worker to 
provide on track safety for groups shall be evidenced by a recorded 
examination.



Sec. 214.355  Training and qualification in on-track safety for operators of roadway maintenance machines.

    (a) The training and qualification of roadway workers who operate 
roadway maintenance machines shall include, as a minimum:
    (1) Procedures to prevent a person from being struck by the machine 
when the machine is in motion or operation.
    (2) Procedures to prevent any part of the machine from being struck 
by a train or other equipment on another track.
    (3) Procedures to provide for stopping the machine short of other 
machines or obstructions on the track.
    (4) Methods to determine safe operating procedures for each machine 
that the operator is expected to operate.
    (b) Initial and periodic qualification of a roadway worker to 
operate roadway maintenance machines shall be evidenced by demonstrated 
proficiency.



  Subpart D--On-Track Roadway Maintenance Machines and Hi-Rail Vehicles

    Source: 68 FR 44407, July 28, 2003, unless otherwise noted.



Sec. 214.501  Purpose and scope.

    (a) The purpose of this subpart is to prevent accidents and 
casualties caused by the lawful operation of on-track roadway 
maintenance machines and hi-rail vehicles.
    (b) This subpart prescribes minimum safety standards for on-track 
roadway maintenance machines and hi-rail vehicles. An employer may 
prescribe additional or more stringent standards that are consistent 
with this subpart.
    (c) Any working condition that involves the protection of employees 
engaged in roadway maintenance duties covered by this subpart but is not 
within the subject matter addressed by this subpart, including employee 
exposure to noise, shall be governed by the regulations of the U.S. 
Department of Labor, Occupational Safety and Health Administration.



Sec. 214.503  Good-faith challenges; procedures for notification and resolution.

    (a) An employee operating an on-track roadway maintenance machine or 
hi-rail vehicle shall inform the employer whenever the employee makes a 
good-faith determination that the machine or vehicle does not comply 
with FRA regulations or has a condition that inhibits its safe 
operation.
    (b) Any employee charged with operating an on-track roadway 
maintenance machine or hi-rail vehicle covered by this subpart may 
refuse to operate the machine or vehicle if the employee makes a good-
faith determination that it does not comply with the requirements of 
this subpart or has a condition that inhibits its safe operation. The 
employer shall not require the employee to operate the machine or 
vehicle until the challenge resulting from the good-faith determination 
is resolved.

[[Page 163]]

    (c) Each employer shall have in place and follow written procedures 
to assure prompt and equitable resolution of challenges resulting from 
good-faith determinations made in accordance with this section. The 
procedures shall include specific steps to be taken by the employer to 
investigate each good-faith challenge, as well as procedures to follow 
once the employer finds a challenged machine or vehicle does not comply 
with this subpart or is otherwise unsafe to operate. The procedures 
shall also include the title and location of the employer's designated 
official.



Sec. 214.505  Required environmental control and protection systems for new on-track roadway maintenance machines with enclosed cabs.

    (a) The following new on-track roadway maintenance machines shall be 
equipped with enclosed cabs with operative heating systems, operative 
air conditioning systems, and operative positive pressurized ventilation 
systems:
    (1) Ballast regulators;
    (2) Tampers;
    (3) Mechanical brooms;
    (4) Rotary scarifiers;
    (5) Undercutters; and
    (6) Functional equivalents of any of the machines identified in 
paragraphs (a)(1) through (a)(5) of this section.
    (b) New on-track roadway maintenance machines, and existing on-track 
roadway maintenance machines specifically designated by the employer, of 
the types identified in paragraphs (a)(1) through (a)(5) of this 
section, or functionally equivalent thereto, shall be capable of 
protecting employees in the cabs of the machines from exposure to air 
contaminants, in accordance with 29 CFR 1910.1000.
    (c) An employer shall maintain a list of new and designated existing 
on-track roadway maintenance machines of the types identified in 
paragraphs (a)(1) through (a)(5) of this section, or functionally 
equivalent thereto. The list shall be kept current and made available to 
the Federal Railroad Administration and other Federal and State agencies 
upon request.
    (d) An existing roadway maintenance machine of the type identified 
in paragraphs (a)(1) through (a)(5) of this section, or functionally 
equivalent thereto, becomes ``designated'' when the employer adds the 
machine to the list required in paragraph (c) of this section. The 
designation is irrevocable, and the designated existing roadway 
maintenance machine remains subject to paragraph (b) of this section 
until it is retired or sold.
    (e) If the ventilation system on a new on-track roadway maintenance 
machine or a designated existing on-track roadway maintenance machine of 
the type identified in paragraphs (a)(1) through (a)(5) of this section, 
or functionally equivalent thereto, becomes incapable of protecting an 
employee in the cab of the machine from exposure to air contaminants in 
accordance with 29 CFR 1910.1000, personal respiratory protective 
equipment shall be provided for each such employee until the machine is 
repaired in accordance with Sec. 214.531.
    (f) Personal respiratory protective equipment provided under 
paragraph (e) of this section shall comply with 29 CFR 1910.134.
    (g) New on-track roadway maintenance machines with enclosed cabs, 
other than the types identified in paragraphs (a)(1) through (a)(5) of 
this section or functionally equivalent thereto, shall be equipped with 
operative heating and ventilation systems.
    (h) When new on-track roadway maintenance machines require operation 
from non-enclosed stations outside of the main cab, the non-enclosed 
stations shall be equipped, where feasible from an engineering 
standpoint, with a permanent or temporary roof, canopy, or umbrella 
designed to provide cover from normal rainfall and midday sun.



Sec. 214.507  Required safety equipment for new on-track roadway maintenance machines.

    (a) Each new on-track roadway maintenance machine shall be equipped 
with:
    (1) A seat for each operator, except as provided in paragraph (b) of 
this section;
    (2) A safe and secure position with handholds, handrails, or a 
secure seat for each roadway worker transported on the machine. Each 
position shall be

[[Page 164]]

protected from moving parts of the machine;
    (3) A positive method of securement for turntables, on machines 
equipped with a turntable, through engagement of pins and hooks that 
block the descent of turntable devices below the rail head when not in 
use;
    (4) A windshield with safety glass, or other material with similar 
properties, and power windshield wipers or suitable alternatives that 
provide the operator an equivalent level of vision if windshield wipers 
are incompatible with the windshield material;
    (5) A machine braking system capable of effectively controlling the 
movement of the machine under normal operating conditions;
    (6) A first-aid kit that is readily accessible and complies with 29 
CFR 1926.50(d)(2); and
    (7) An operative and properly charged fire extinguisher of 5 BC 
rating or higher which is securely mounted and readily accessible to the 
operator from the operator's work station.
    (b) Each new on-track roadway maintenance machine designed to be 
operated and transported by the operator in a standing position shall be 
equipped with handholds and handrails to provide the operator with a 
safe and secure position.
    (c) Each new on-track roadway maintenance machine that weighs more 
than 32,500 pounds light weight and is operated in excess of 20 mph 
shall be equipped with a speed indicator that is accurate within 
[plusmn]5 mph of the actual speed at speeds of 10 mph and above.
    (d) Each new on-track roadway maintenance machine shall have its as-
built light weight displayed in a conspicuous location on the machine.



Sec. 214.509  Required visual illumination and reflective devices for new on-track roadway maintenance machines.

    Each new on-track roadway maintenance machine shall be equipped with 
the following visual illumination and reflective devices:
    (a) An illumination device, such as a headlight, capable of 
illuminating obstructions on the track ahead in the direction of travel 
for a distance of 300 feet under normal weather and atmospheric 
conditions;
    (b) Work lights, if the machine is operated during the period 
between one-half hour after sunset and one-half hour before sunrise or 
in dark areas such as tunnels, unless equivalent lighting is otherwise 
provided;
    (c) An operative 360-degree intermittent warning light or beacon 
mounted on the roof of the machine. New roadway maintenance machines 
that are not equipped with fixed roofs and have a light weight less than 
17,500 pounds are exempt from this requirement;
    (d) A brake light activated by the application of the machine 
braking system, and designed to be visible for a distance of 300 feet 
under normal weather and atmospheric conditions; and
    (e) Rearward viewing devices, such as rearview mirrors.



Sec. 214.511  Required audible warning devices for new on-track roadway maintenance machines.

    Each new on-track roadway maintenance machine shall be equipped 
with:
    (a) A horn or other audible warning device that produces a sound 
loud enough to be heard by roadway workers and other machine operators 
within the immediate work area. The triggering mechanism for the device 
shall be clearly identifiable and within easy reach of the machine 
operator; and
    (b) An automatic change-of-direction alarm which provides an audible 
signal that is at least three seconds long and is distinguishable from 
the surrounding noise. Change of direction alarms may be interrupted by 
the machine operator when operating the machine in the work mode if the 
function of the machine would result in a constant, or almost constant, 
sounding of the device. In any action brought by FRA to enforce the 
change-of-direction alarm requirement, the employer shall have the 
burden of proving that use of the change-of-direction alarm in a 
particular work function would cause a constant, or almost constant, 
sounding of the device.

[[Page 165]]



Sec. 214.513  Retrofitting of existing on-track roadway maintenance machines; general.

    (a) Each existing on-track roadway maintenance machine shall have a 
safe and secure position for each roadway worker transported on the 
machine and protection from moving parts of the machine.
    (b) By March 28, 2005, each existing on-track roadway maintenance 
machine shall be equipped with a permanent or portable horn or other 
audible warning device that produces a sound loud enough to be heard by 
roadway workers and other machine operators within the immediate work 
area. The triggering mechanism for the device shall be clearly 
identifiable and within easy reach of the machine operator.
    (c) By March 28, 2005, each existing on-track roadway maintenance 
machine shall be equipped with a permanent illumination device or a 
portable light that is securely placed and not hand-held. The 
illumination device or portable light shall be capable of illuminating 
obstructions on the track ahead for a distance of 300 feet under normal 
weather and atmospheric conditions when the machine is operated during 
the period between one-half hour after sunset and one-half hour before 
sunrise or in dark areas such as tunnels.



Sec. 214.515  Overhead covers for existing on-track roadway maintenance machines.

    (a) For those existing on-track roadway maintenance machines either 
currently or previously equipped with overhead covers for the operator's 
position, defective covers shall be repaired, and missing covers shall 
be reinstalled, by March 28, 2005 and thereafter maintained in 
accordance with the provisions of Sec. 214.531.
    (b) For those existing on-track roadway maintenance machines that 
are not already equipped with overhead covers for the operator's 
position, the employer shall evaluate the feasibility of providing an 
overhead cover on such a machine if requested in writing by the operator 
assigned to operate the machine or by the operator's designated 
representative. The employer shall provide the operator a written 
response to each request within 60 days. When the employer finds the 
addition of an overhead cover is not feasible, the response shall 
include an explanation of the reasoning used by the employer to reach 
that conclusion.
    (c) For purposes of this section, overhead covers shall provide the 
operator's position with cover from normal rainfall and midday sun.



Sec. 214.517  Retrofitting of existing on-track roadway maintenance machines manufactured on or after January 1, 1991.

    In addition to meeting the requirements of Sec. 214.513, after March 
28, 2005 each existing on-track roadway maintenance machine manufactured 
on or after January 1, 1991, shall have the following:
    (a) A change-of-direction alarm or rearview mirror or other rearward 
viewing device, if either device is feasible, given the machine's 
design, and if either device adds operational safety value, given the 
machine's function. In any action brought by FRA to enforce this 
requirement, the employer shall have the burden of proving that neither 
device is feasible or adds operational safety value, or both, given the 
machine's design or work function.
    (b) An operative heater, when the machine is operated at an ambient 
temperature less than 50 degrees Fahrenheit and is equipped with, or has 
been equipped with, a heater.
    (c) The light weight of the machine stenciled or otherwise clearly 
displayed on the machine, if the light weight is known.
    (d) Reflective material, or a reflective device, or operable brake 
lights.
    (e) Safety glass when its glass is normally replaced, except that 
replacement glass that is specifically intended for on-track roadway 
maintenance machines and is in the employer's inventory as of September 
26, 2003 may be utilized until exhausted.
    (f) A turntable restraint device, on machines equipped with a 
turntable, to prevent undesired lowering, or a warning light indicating 
that the turntable is not in the normal travel position.

[[Page 166]]

    (g) Handholds, handrails, or a secure seat or bench position for 
each roadway worker transported on the machine.



Sec. 214.518  Safe and secure positions for riders.

    A roadway worker, other than the machine operator(s), is prohibited 
from riding on any on-track roadway maintenance machine unless a safe 
and secure position for each roadway worker on the machine is clearly 
identified by stenciling, marking, or other written notice.



Sec. 214.519  Floors, decks, stairs, and ladders of on-track roadway maintenance machines.

    Floors, decks, stairs, and ladders of on-track roadway maintenance 
machines shall be of appropriate design and maintained to provide secure 
access and footing, and shall be free of oil, grease, or any obstruction 
which creates a slipping, falling, or fire hazard.



Sec. 214.521  Flagging equipment for on-track roadway maintenance machines and hi-rail vehicles.

    When being operated over trackage subject to a railroad operating 
rule requiring flagging, each on-track roadway maintenance machine and 
each hi-rail vehicle shall have on board a flagging kit that complies 
with the operating rules of the railroad, if the equipment is not part 
of a roadway work group or is the lead or trailing piece of equipment in 
a roadway work group operating under the same occupancy authority.



Sec. 214.523  Hi-rail vehicles.

    (a) The hi-rail gear of all hi-rail vehicles shall be inspected for 
safety at least annually and with no more than 14 months between 
inspections. Tram, wheel wear, and gage shall be measured and, if 
necessary, adjusted to allow the vehicle to be safely operated.
    (b) Each employer shall keep records pertaining to compliance with 
paragraph (a) of this section. Records may be kept on forms provided by 
the employer or by electronic means. The employer shall retain the 
record of each inspection until the next required inspection is 
performed. The records shall be made available for inspection and 
copying during normal business hours by representatives of FRA and 
States participating under part 212 of this chapter. The records may be 
kept on the hi-rail vehicle or at a location designated by the employer.
    (c) A new hi-rail vehicle shall be equipped with:
    (1) An automatic change-of-direction alarm or backup alarm that 
provides an audible signal at least three seconds long and 
distinguishable from the surrounding noise; and
    (2) An operable 360-degree intermittent warning light or beacon 
mounted on the outside of the vehicle.
    (d)(1) The operator of a hi-rail vehicle shall check the vehicle for 
compliance with this subpart, prior to using the vehicle at the start of 
the operator's work shift.
    (2) A non-complying condition that cannot be repaired immediately 
shall be tagged and dated in a manner prescribed by the employer and 
reported to the designated official.
    (3) Non-complying automatic change-of-direction alarms, backup 
alarms, and 360-degree intermittent warning lights or beacons shall be 
repaired or replaced as soon as practicable within seven calendar days.



Sec. 214.525  Towing with on-track roadway maintenance machines or hi-rail vehicles.

    (a) When used to tow pushcars or other maintenance-of-way equipment, 
each on-track roadway maintenance machine or hi-rail vehicle shall be 
equipped with a towing bar or other coupling device that provides a safe 
and secure attachment.
    (b) An on-track roadway maintenance machine or hi-rail vehicle shall 
not be used to tow pushcars or other maintenance-of-way equipment if the 
towing would cause the machine or hi-rail vehicle to exceed the 
capabilities of its braking system. In determining the limit of the 
braking system, the employer must consider the track grade (slope), as 
well as the number and weight of pushcars or other equipment to be 
towed.

[[Page 167]]



Sec. 214.527  On-track roadway maintenance machines; inspection for compliance and schedule for repairs.

    (a) The operator of an on-track roadway maintenance machine shall 
check the machine components for compliance with this subpart, prior to 
using the machine at the start of the operator's work shift.
    (b) Any non-complying condition that cannot be repaired immediately 
shall be tagged and dated in a manner prescribed by the employer and 
reported to the designated official.
    (c) The operation of an on-track roadway maintenance machine with a 
non-complying condition shall be governed by the following requirements:
    (1) An on-track roadway maintenance machine with headlights or work 
lights that are not in compliance may be operated for a period not 
exceeding 7 calendar days and only during the period between one-half 
hour before sunrise and one-half hour after sunset;
    (2) A portable horn may be substituted for a non-complying or 
missing horn for a period not exceeding seven calendar days;
    (3) A fire extinguisher readily available for use may temporarily 
replace a missing, defective or discharged fire extinguisher on a new 
on-track roadway maintenance machine for a period not exceeding 7 
calendar days, pending the permanent replacement or repair of the 
missing, defective or used fire extinguisher;
    (4) Non-complying automatic change-of-direction alarms, backup 
alarms, and 360-degree intermittent warning lights or beacons shall be 
repaired or replaced as soon as practicable within 7 calendar days; and
    (5) A structurally defective or missing operator's seat shall be 
replaced or repaired within 24 hours or by the start of the machine's 
next tour of duty, whichever is later. The machine may be operated for 
the remainder of the operator's tour of duty if the defective or missing 
operator's seat does not prevent its safe operation.



Sec. 214.529  In-service failure of primary braking system.

    (a) In the event of a total in-service failure of its primary 
braking system, an on-track roadway maintenance machine may be operated 
for the remainder of its tour of duty with the use of a secondary 
braking system or by coupling to another machine, if such operations may 
be done safely.
    (b) If the total in-service failure of an on-track roadway 
maintenance machine's primary braking system occurs where other 
equipment is not available for coupling, the machine may, if it is safe 
to do so, travel to a clearance or repair point where it shall be placed 
out of service until repaired.



Sec. 214.531  Schedule of repairs; general.

    Except as provided in Secs. 214.527(c)(5), 214.529, and 214.533, an 
on-track roadway maintenance machine or hi-rail vehicle that does not 
meet all the requirements of this subpart shall be brought into 
compliance as soon as practicable within seven calendar days. If repairs 
are not made within seven calendar days, the on-track roadway 
maintenance machine or hi-rail vehicle shall be placed out of on-track 
service.



Sec. 214.533  Schedule of repairs subject to availability of parts.

    (a) The employer shall order a part necessary to repair a non-
complying condition on an on-track roadway maintenance machine or a hi-
rail vehicle by the end of the next business day following the report of 
the defect.
    (b) When the employer cannot repair a non-complying condition as 
required by Sec. 214.531 because of the temporary unavailability of a 
necessary part, the employer shall repair the on-track roadway 
maintenance machine or hi-rail vehicle within seven calendar days after 
receiving the necessary part. The employer may continue to use the on-
track roadway maintenance machine or hi-rail vehicle with a non-
complying condition until receiving the necessary part(s) for repair, 
subject to the requirements of Sec. 214.503. However, if a non-complying 
condition is not repaired within 30 days following the report of the 
defect, the employer shall remove the on-track roadway maintenance 
machine or hi-rail vehicle from on-track service until it is brought 
into compliance with this subpart.
    (c) If the employer fails to order a part necessary to repair the 
reported

[[Page 168]]

non-complying condition, or if it fails to install an available part 
within the required seven calendar days, the on-track roadway 
maintenance machine or hi-rail vehicle shall be removed from on-track 
service until brought into compliance with this subpart.
    (d) Each employer shall maintain records pertaining to compliance 
with this section. Records may be kept on forms provided by the employer 
or by electronic means. The employer shall retain each record for at 
least one year, and the records shall be made available for inspection 
and copying during normal business hours by representatives of FRA and 
States participating under part 212 of this chapter. The records may be 
kept on the on-track roadway maintenance machine or hi-rail vehicle or 
at a location designated by the employer.

         Appendix A to Part 214--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                    Section                      Violation     Willful
------------------------------------------------------------------------
   Subpart B--Bridge Worker Safety Standards
 
214.103 Fall protection:
  (i) Failure to provide fall protection......       $5,000      $10,000
  (ii) Failure to use fall protection.........  ...........        2,500
214.105 Standards and practices:
  (a) General:
    (1) Fall protection used for other                2,500        5,000
     purposes.................................
    (2) Failure to remove from service........        2,500        5,000
    (3) Failure to protect from deterioration.        2,500        5,000
    (4) Failure to inspect and remove.........        5,000       10,000
    (5) Failure to train......................        5,000       10,000
    (6) Failure to provide for prompt rescue..        5,000       10,000
    (7) Failure to prevent damage.............        2,500        5,000
    (8) Failure to use proper connectors......        2,500        5,000
    (9) Failure to use proper anchorages......        2,500        5,000
  (b) Fall arrest system:
    (1)-(17) Failure to provide conforming            2,500        5,000
     equipment................................
  (c) Safety net systems:
    (1) Failure to install close to workplace.        2,500        5,000
    (2) Failure to provide fall arrest if over        5,000       10,000
     30 feet..................................
    (3) Failure to provide for unobstructed           5,000       10,000
     fall.....................................
    (4) Failure to test.......................        2,500        5,000
    (5) Failure to use proper equipment.......        2,500        5,000
    (6) Failure to prevent contact with               5,000       10,000
     surface below............................
    (7) Failure to properly install...........        5,000       10,000
    (8) Failure to remove defective nets......        5,000       10,000
    (9) Failure to inspect....................        5,000       10,000
    (10) Failure to remove objects............        1,000        2,500
    (11)-(13) Failure to use conforming               2,500       10,000
     equipment................................
214.107 Working over water:
  (a)(i) Failure to provide life vest.........        5,000       10,000
    (ii) Failure to use life vest.............  ...........        1,500
  (c) Failure to inspect......................        2,500        5,000
  (e)(i) Failure to provide ring bouys........        5,000       10,000
    (ii) Failure to use ring bouys............  ...........        1,500
  (f)(i) Failure to provide skiff.............        1,000        2,500
    (ii) Failure to use skiff.................  ...........        1,500
214.109 Scaffolding:
  (a)-(f) Failure to provide conforming               2,500        5,000
   equipment..................................
214.113 Head protection:
  (a)(i) Failure to provide...................        2,500        5,000
    (ii) Failure to use.......................  ...........        1,500
  (b) or (c) Failure to provide conforming            2,500        5,000
   equipment..................................
214.115 Foot protection:
  (a)(i) Failure to require use of............        2,500        5,000
    (ii) Failure to use.......................  ...........        1,500
214.117 Eye and face protection:
  (a)(i) Failure to provide...................        2,500        5,000
    (ii) Failure to use.......................  ...........        1,500
  (b) Failure to use conforming equipment.....        2,500        5,000
  (c) Use of defective equipment..............        2,500        5,000
  (d) Failure to provide for corrective lenses        2,500        5,000
  Subpart C-- Roadway Worker Protection Rule
 
214.303 Railroad on-track safety programs,
 generally:
  (a) Failure of a railroad to implement an On-      10,000       20,000
   track Safety Program.......................

[[Page 169]]

 
  (b) On-track Safety Program of a railroad           5,000       10,000
   includes no internal monitoring procedure..
214.305 Compliance Dates:
  Failure of a railroad to comply by the              5,000       10,000
   specified dates............................
214.307 Review and approval of individual on-
 track safety programs by FRA:
  (a)(i) Failure to notify FRA of adoption of         1,000        5,000
   On-track Safety Program....................
    (ii) Failure to designate primary person          1,000        2,000
     to contact for program review............
214.309 On-track safety program documents:
  (1) On-track Safety Manual not provided to          2,000        5,000
   prescribed employees.......................
  (2) On-track Safety Program documents issued        2,000        5,000
   in fragments...............................
214.311 Responsibility of employers:
  (b) Roadway worker required by employer to          5,000       10,000
   foul a track during an unresolved challenge
  (c) Roadway workers not provided with               5,000       10,000
   written procedure to resolve challenges of
   on-track safety procedures.................
214.313 Responsibility of individual roadway
 workers:
  (b) Roadway worker fouling a track when not   ...........        1,000
   necessary in the performance of duty.......
  (c) Roadway worker fouling a track without    ...........        1,500
   ascertaining that provision is made for on-
   track safety...............................
  (d) Roadway worker failing to notify          ...........        3,000
   employer of determination of improper on-
   track safety provisions....................
214.315 Supervision and communication:
  (a) Failure of employer to provide job              2,000       10,000
   briefing...................................
  (b) Incomplete job briefing.................        2,000        5,000
  (c)(i) Failure to designate roadway worker          2,000        5,000
   in charge of roadway work group............
    (ii) Designation of more than one roadway         1,000        2,000
     worker in charge of one roadway work
     group....................................
    (iii) Designation of non-qualified roadway        3,000        6,000
     worker in charge of roadway work group...
  (d)(i) Failure to notify roadway workers of         3,000        6,000
   on-track safety procedures in effect.......
    (ii) Incorrect information provided to            3,000        6,000
     roadway workers regarding on-track safety
     procedures in effect.....................
    (iii) Failure to notify roadway workers of        3,000        6,000
     change in on-track safety procedures.....
  (e)(i) Failure of lone worker to communicate  ...........        1,500
   with designated employee for daily job
   briefing...................................
    (ii) Failure of employer to provide means         3,000        6,000
     for lone worker to receive daily job
     briefing.................................
214.317 On-track safety procedures, generally:
    On-track safety rules conflict with this          5,000       10,000
     part.....................................
214.319 Working limits, generally:
  (a) Non-qualified roadway worker in charge          5,000       10,000
   of working limits..........................
  (b) More than one roadway worker in charge          2,000        5,000
   of working limits on the same track segment
  (c)(1) Working limits released without              5,000       10,000
   notifying all affected roadway workers.....
    (2) Working limits released before all            5,000       10,000
     affected roadway workers are otherwise
     protected................................
214.321 Exclusive track occupancy:
  (b) Improper transmission of authority for          2,000        5,000
   exclusive track occupancy..................
  (b)(1) Failure to repeat authority for        ...........        1,500
   exclusive track occupancy to issuing
   employee...................................
    (2) Failure to retain possession of         ...........        1,000
     written authority for exclusive track
     occupancy................................
    (3) Failure to record authority for         ...........        2,000
     exclusive track occupancy when issued....
  (c) Limits of exclusive track occupancy not         2,000        4,000
   identified by proper physical features.....
  (d)(1) Movement authorized into limits of           5,000       10,000
   exclusive track occupancy without authority
   of roadway worker in charge................
    (2) Movement authorized within limits of          5,000       10,000
     exclusive track occupancy without
     authority of roadway worker in charge....
    (3) Movement within limits of exclusive           5,000       10,000
     track occupancy exceeding restricted
     speed without authority of roadway worker
     in charge................................
214.323 Foul time:
  (a) Foul time authority overlapping movement        5,000       10,000
   authority of train or equipment............
  (b) Failure to repeat foul time authority to  ...........        1,500
   issuing employee...........................
214.325 Train coordination:
  (a) Train coordination limits established           1,500        4,000
   where more than one train is authorized to
   operate....................................
  (b)(1) Train coordination established with    ...........        1,500
   train not visible to roadway worker at the
   time.......................................
    (2) Train coordination established with     ...........        1,500
     moving train.............................
    (3) Coordinated train moving without              2,000        5,000
     authority of roadway worker in charge....
    (4) Coordinated train releasing movement          3,000        6,000
     authority while working limits are in
     effect...................................
214.327 Inaccessible track:
  (a) Improper control of entry to                    3,000        6,000
   inaccessible track.........................
    (5) Remotely controlled switch not                3,000        6,000
     properly secured by control operator.....
  (b) Train or equipment moving within                3,000        6,000
   inaccessible track limits without
   permission of roadway worker in charge.....
  (c) Unauthorized train or equipment located         2,000        5,000
   within inaccessible track limits...........
214.329 Train approach warning provided by
 watchmen/lookouts:
  (a) Failure to give timely warning of         ...........        5,000
   approaching train..........................
  (b)(1) Failure of watchman/lookout to give    ...........        3,000
   full attention to detecting approach of
   train......................................
    (2) Assignment of other duties to watchman/       3,000        5,000
     lookout..................................
  (c) Failure to provide proper warning signal        2,000        5,000
   devices....................................
  (d) Failure to maintain position to receive   ...........        2,000
   train approach warning signal..............
  (e) Failure to communicate proper warning           1,500        3,000
   signal.....................................
  (f)(1) Assignment of non-qualified person as        3,000        5,000
   watchman/lookout...........................
    (2) Non-qualified person accepting          ...........        1,500
     assignment as watchman/lookout...........
  (g) Failure to properly equip a watchman/           2,000        4,000
   lookout....................................

[[Page 170]]

 
214.331 Definite train location:
  (a) Definite train location established             3,000        5,000
   where prohibited...........................
  (b) Failure to phase out definite train             3,000        5,000
   location by required date..................
  (d)(1) Train location information issued by         2,000        5,000
   unauthorized person........................
    (2) Failure to include all trains operated        3,000        5,000
     on train location list...................
    (5) Failure to clear a by ten minutes at    ...........        2,000
     the last station at which time is shown..
    (6) Train passing station before time             3,000        5,000
     shown in train location list.............
    (7) Non-qualified person using definite           2,000        3,000
     train location to establish on- track
     safety...................................
214.333 Informational line-ups of trains:
  (a) Informational line-ups of trains used           3,000        5,000
   for on-track safety where prohibited.......
  (b) Informational line-up procedures                5,000       10,000
   inadequate to protect roadway workers......
  (c) Failure to discontinue informational            5,000       10,000
   line-ups by required date..................
214.335 On-track safety procedures for roadway
 work groups :
  (a) Failure to provide on-track safety for a        3,000        5,000
   member of a roadway work group.............
  (b) Member of roadway work group fouling a    ...........        2,000
   track without authority of employee in
   charge.....................................
  (c) Failure to provide train approach               3,000        5,000
   warning or working limits on adjacent track
   where required.............................
214.337 On-track safety procedures for lone
 workers:
  (b) Failure by employer to permit individual        5,000       10,000
   discretion in use of individual train
   detection..................................
  (c)(1) Individual train detection used by           2,000        4,000
   non-qualified employee.....................
    (2) Use of individual train detection       ...........        2,000
     while engaged in heavy or distracting
     work.....................................
    (3) Use of individual train detection in    ...........        2,000
     controlled point or manual interlocking..
    (4) Use of individual train detection with  ...........        2,000
     insufficient visibility..................
    (5) Use of individual train detection with  ...........        2,000
     interfering noise........................
    (6) Use of individual train detection       ...........        3,000
     while a train is passing.................
  (d) Failure to maintain access to place of    ...........        2,000
   safety clear of live tracks................
  (e) Lone worker unable to maintain vigilant   ...........        2,000
   lookout....................................
  (f)(1) Failure to prepare written statement   ...........        1,500
   of on-track safety.........................
    (2) Incomplete written statement of on-     ...........        1,000
     track safety.............................
    (3) Failure to produce written statement    ...........        1,500
     of on-track safety to FRA................
214.339 Audible warning from trains:
  (a) Failure to require audible warning from         2,000        4,000
   trains.....................................
  (b) Failure of train to give audible warning        1,000        3,000
   where required.............................
214.341 Roadway maintenance machines:
  (a) Failure of on-track safety program to           3,000        5,000
   include provisions for safety near roadway
   maintenance machines.......................
  (b) Failure to provide operating                    2,000        4,000
   instructions...............................
    (1) Assignment of non-qualified employee          2,000        5,000
     to operate machine.......................
    (2) Operator unfamiliar with safety               2,000        5,000
     instructions for machine.................
    (3) Roadway worker working with unfamiliar        2,000        5,000
     machine..................................
  (c) Roadway maintenance machine not clear of        3,000        6,000
   passing trains.............................
214.343 Training and qualification, general:
  (a)(1) Failure of railroad program to               5,000       10,000
   include training provisions................
    (2) Failure to provide initial training...        3,000        6,000
  (b) Failure to provide annual training......        2,500        5,000
  (c) Assignment of non-qualified railroad            4,000        8,000
   employees to provide on-track safety.......
  (d)(1) Failure to maintain records of               2,000        4,000
   qualifications.............................
    (2) Incomplete records of qualifications..        1,000        3,000
    (3) Failure to provide records of                 2,000        4,000
     qualifications to FRA....................
214.345 Training for all roadway workers
214.347 Training and qualification for lone
 workers
214.349 Training and qualification of watchmen/
 lookouts
214.351 Training and qualification of flagmen
214.353 Training and qualification of roadway
 workers who provide on-track safety for
 roadway work groups
214.355 Training and qualification in on-track
 safety for operators of roadway maintenance
 machines
    Subpart D--On-Track Roadway Maintenance
         Machines and Hi-Rail Vehicles
214.503 Good-faith challenges; procedures for
 notification and resolution:
    (a) Failure of employee to notify employer  ...........        4,000
     that the machine or vehicle does not
     comply with this subpart or has a
     condition inhibiting safe operation......
    (b) Roadway worker required to operate            5,000       10,000
     machine or vehicle when good-faith
     challenge not resolved...................
    (c) Failure of employer to have or follow         5,000       10,000
     written procedures to resolve good-faith
     challenges...............................
214.505 Required environmental control and
 protection systems for new on-track roadway
 maintenance machines with enclosed cabs:
    (a) Failure to equip new machines with            5,000       10,000
     required systems.........................
    (b) Failure of new or existing machines to        5,000       10,000
     protect employees from exposure to air
     contaminants.............................
    (c) Failure of employer to maintain               2,000        4,000
     required list of machines or make list
     available................................
    (d) Removal of ``designated machine'' from        2,000        4,000
     list before retired or sold..............
    (e) Personal respiratory protective               5,000       10,000
     equipment not provided when ventilation
     system fails.............................
    (f) Personal respiratory protective               5,000       10,000
     equipment fails to meet required
     standards................................
    (g) Other new machines with enclosed cabs         5,000       10,000
     not equipped with operable heating and
     ventilation systems......................

[[Page 171]]

 
    (h) Non-enclosed station not equipped with        5,000       10,000
     covering, where feasible.................
214.507 Required safety equipment for new on-
 track roadway maintenance machines:
    (a)(1)-(5) Failure to equip new machine or        5,000       10,000
     provide protection as specified in these
     paragraphs...............................
    (a)(6)-(7) Failure to equip new machine           2,500        5,000
     with first-aid kit or operative and
     charged fire extinguisher................
    (b) Position for operator to stand not            5,000       10,000
     properly equipped to provide safe and
     secure position..........................
    (c) New machine not equipped with accurate        2,500        5,000
     speed indicator, as required.............
    (d) As-built light weight not                     2,500        5,000
     conspicuously displayed on new machine...
214.509 Required visual illumination and              2,500        5,000
 reflective devices for new on-track roadway
 maintenance machines.........................
214.511 Required audible warning devices for          5,000       10,000
 new on-track roadway maintenance machines....
214.513 Retrofitting of existing on-track
 roadway maintenance machines; general:
    (a) Failure to provide safe and secure            5,000       10,000
     position and protection from moving parts
     2,000 4,000 inside cab for each roadway
     worker transported on machine............
    (b) Horn or other audible warning device          2,500        5,000
     is missing, inoperable, or has non-
     compliant triggering mechanism...........
    (c) Illumination device or portable light         2,500        5,000
     missing, inoperable, improperly secured,
     or incapable of illuminating track as
     required.................................
214.515 Overhead covers for existing on-track
 roadway maintenance machines:
    (a) Failure to repair, reinstall, or              5,000       10,000
     maintain overhead cover as required......
    (b) Failure to provide written response to        2,000        4,000
     operator's request within 60 days........
214.517 Retrofitting of existing on-track
 roadway maintenance machines manufactured on
 or after January 1, 1991:
    (a) Failure to equip machine with change-         5,000       10,000
     of-direction alarm or rearward viewing
     device...................................
    (b) Failure to equip machine with                 5,000       10,000
     operative heater.........................
    (c) Failure to display light weight of            2,500        5,000
     machine as required......................
    (d) Failure to equip machine with                 5,000       10,000
     reflective material, reflective device,
     or operable brake lights.................
    (e) Failure to install or replace safety          5,000       10,000
     glass as required........................
    (f) Failure to equip machine with                 5,000       10,000
     turntable restraint device or warning
     light as required........................
    (g) Failure to equip machine with                 5,000       10,000
     handholds, handrails, or secure seat or
     bench position as required...............
214.518 Safe and secure position for riders...        5,000       10,000
214.519 Floors, decks, stairs, and ladders for        5,000       10,000
 on-track roadway maintenance machines........
214.521 Flagging equipment for on-track               2,500        5,000
 roadway maintenance machines and hi-rail
 vehicles.....................................
214.523 Hi-rail vehicles:
    (a) Failure to inspect hi-rail gear               5,000       10,000
     annually.................................
    (b) Failure to maintain inspection record         2,000        4,000
     or make record available to FRA..........
    (c) Failure to equip new hi-rail vehicle          2,500        5,000
     with alarm and light or beacon as
     required.................................
    (d)(2) Failure of operator to tag, date or        2,000        4,000
     report non-complying condition...........
    (d)(3) Failure to repair or replace non-          2,500        5,000
     complying alarms, lights or beacons as
     required.................................
214.525 Towing with on-track roadway                  5,000       10,000
 maintenance machines or hi-rail vehicles.....
214.527 On-track roadway maintenance machines;
 inspection for compliance and schedule for
 repairs:
    (a) Failure of operator to check on-track         2,000        4,000
     roadway maintenance machine for
     compliance...............................
    (b) Failure of oeprator to tag, date, or          2,000        4,000
     report noncomplying condition............
    (c)(1)-(4) Failure to meet requirements           2,500        5,000
     for operating on-track roadway
     maintenance machine with non-complying
     headlights, work lights, horn, fire
     extinguisher, alarm, warning light, or
     beacon...................................
    (c)(5) Failure to repair or replace               5,000       10,000
     defective or missing operator's seat
     within required time period..............
214.529 In-service failure of primary braking         5,000       10,000
 system.......................................
214.531 Schedule of repairs; general..........        2,500        5,000
214.533 Schedule of repairs subject to
 availability of parts:
    (a)-(c) Failure to order necessary                2,500        5,000
     part(s), make repair(s), or remove on-
     track roadway maintenance machine or hi-
     rail vehicle from service as required....
    (d) Failure to maintain record or make            2,000        4,000
     record available to FRA..................
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[57 FR 28127, June 24, 1992, as amended at 61 FR 65981, Dec. 16, 1996; 
63 FR 11620, Mar. 10, 1998; 68 FR 44412, July 28, 2003]



PART 215--RAILROAD FREIGHT CAR SAFETY STANDARDS--Table of Contents




                           Subpart A--General

Sec.
215.1 Scope of part.
215.3 Application.
215.5 Definitions.
215.7 Prohibited acts.
215.9 Movement of defective cars for repair.
215.11 Designated inspectors.
215.13 Pre-departure inspection.
215.15 Periodic inspection.

[[Page 172]]

                    Subpart B--Freight Car Components

215.101 Scope.

                            Suspension System

215.103 Defective wheel.
215.105 Defective axle.
215.107 Defective plain bearing box: General.
215.109 Defective plain bearing box: Journal lubrication system.
215.111 Defective plain bearing.
215.113 Defective plain bearing wedge.
215.115 Defective roller bearing.
215.117 Defective roller bearing adapter.
215.119 Defective freight car truck.

                               Car Bodies

215.121 Defective car body.

                              Draft System

215.123 Defective couplers.
215.125 Defective uncoupling device.
215.127 Defective draft arrangement.
215.129 Defective cushioning device.

                     Subpart C--Restricted Equipment

215.201 Scope.
215.203 Restricted cars.

                          Subpart D--Stenciling

215.301 General.
215.303 Stenciling of restricted cars.
215.305 Stenciling of maintenance-of-way equipment.

Appendix A to Part 215--Railroad Freight Car Components
Appendix B to Part 215--Schedule of Civil Penalties
Appendix C to Part 215--FRA Freight Car Standards Defect Code
Appendix D to Part 215--Pre-Departure Inspection Procedure

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 
1.49.

    Source: 44 FR 77340, Dec. 31, 1979, unless otherwise noted.



                           Subpart A--General



Sec. 215.1  Scope of part.

    This part prescribes minimum Federal safety standards for railroad 
freight cars.



Sec. 215.3  Application.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
this part applies to each railroad freight car in service on:
    (1) Standard gage track of a railroad; or
    (2) Any other standard gage track while the car is being operated 
by, or is otherwise under the control of, a railroad.
    (b) Sections 215.15 and 215.303 of this part do not apply to any 
car:
    (1) Owned by a Canadian or Mexican Railroad; and
    (2) Having a Canadian or Mexican reporting mark and car number.
    (c) This part does not apply to a railroad freight car that is:
    (1) Operated solely on track inside an industrial or other non-
railroad installation; or
    (2) Used exclusively in dedicated service as defined in 
Sec. 215.5(d) of this part; or
    (3) Maintenance-of-way equipment (including self-propelled 
maintenance-of-way equipment) if that equipment is not used in revenue 
service and is stenciled in accordance with Sec. 215.305 of this part.
    (4) Operated in a passenger train and that is inspected, tested, 
maintained, and operated pursuant to the requirements contained in part 
238 of this chapter.

[44 FR 77340, Dec. 31, 1979, as amended at 65 FR 41305, July 3, 2000]



Sec. 215.5  Definitions.

    As used in this part:
    (a) Break means a fracture resulting in complete separation into 
parts;
    (b) Cracked means fractured without complete separation into parts, 
except that castings with shrinkage cracks or hot tears that do not 
significantly diminish the strength of the member are not considered to 
be ``cracked'';
    (c) Railroad freight car means a car designed to carry freight, or 
railroad personnel, by rail and includes a:
    (1) Box car;
    (2) Refrigerator car;
    (3) Ventilator car;
    (4) Stock car;
    (5) Gondola car;
    (6) Hopper car;
    (7) Flat car;
    (8) Special car;
    (9) Caboose car;
    (10) Tank car; and
    (11) Yard car.

[[Page 173]]

    (d) Dedicated service means the exclusive assignment of cars to the 
transportation of freight between specified points under the following 
conditions:
    (1) The cars are operated--
    (i) Primarily on track that is inside an industrial or other non-
railroad installation; and
    (ii) Only occasionally over track of a railroad;
    (2) The cars are not operated--
    (i) At speeds of more than 15 miles per hour; and
    (ii) Over track of a railroad--
    (A) For more than 30 miles in one direction; or
    (B) On a round trip of more than 60 miles;
    (3) The cars are not freely interchanged among railroads;
    (4) The words ``Dedicated Service'' are stenciled, or otherwise 
displayed, in clearly legible letters on each side of the car body;
    (5) The cars have been examined and found safe to operate in 
dedicated service; and
    (6) The railroad must--
    (i) Notify the FRA in writing that the cars are to be operated in 
dedicated service;
    (ii) Identify in that notice--
    (A) The railroads affected;
    (B) The number and type of cars involved;
    (C) The commodities being carried; and
    (D) The territorial and speed limits within which the cars will be 
operated; and
    (iii) File the notice required by this paragraph not less than 30 
days before the cars operate in dedicated service;
    (e) In service when used in connection with a railroad freight car, 
means each railroad freight car subject to this part unless the car:
    (1) Has a ``bad order'' or ``home shop for repairs'' tag or card 
containing the prescribed information attached to each side of the car 
and is being handled in accordance with Sec. 215.9 of this part;
    (2) Is in a repair shop or on a repair track;
    (3) Is on a storage track and is empty; or
    (4) Has been delivered in interchange but has not been accepted by 
the receiving carrier.
    (f) Railroad means all forms of non-highway ground transportation 
that run on rails or electromagnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    (g) State inspector means an inspector who is participating in 
investigative and surveillance activities under section 206 of the 
Federal Railroad Safety Act of 1970 (45 U.S.C. 435).

[44 FR 77340, Dec. 31, 1979, as amended at 45 FR 26710, Apr. 21, 1980; 
54 FR 33228, Aug. 14, 1989]



Sec. 215.7  Prohibited acts.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix B to this

[[Page 174]]

part for a statement of agency civil penalty policy.

[53 FR 28599, July 28, 1988, as amended at 53 FR 52925, Dec. 29, 1988; 
63 FR 11620, Mar. 10, 1998]



Sec. 215.9  Movement of defective cars for repair.

    (a) A railroad freight car which has any component described as 
defective in this part may be moved to another location for repair only 
after the railroad has complied with the following:
    (1) A person designated under Sec. 215.11 shall determine:
    (i) That it is safe to move the car; and
    (ii) The maximum speed and other restrictions necessary for safely 
conducting the movement;
    (2)(i) The person in charge of the train in which the car is to be 
moved shall be notified in writing and inform all other crew members of 
the presence of the defective car and the maximum speed and other 
restrictions determined under paragraph (a)(1)(ii) of this section.
    (ii) A copy of the tag or card described in paragraph (a)(3) of this 
section may be used to provide the notification required by paragraph 
(a)(2)(i) of this section.
    (3) A tag or card bearing the words ``bad order'' or ``home shop for 
repairs'' and containing the following information, shall be securely 
attached to each side of the car--
    (i) The reporting mark and car number;
    (ii) The name of the inspecting railroad;
    (iii) The inspection location and date;
    (iv) The nature of each defect;
    (v) Movement restrictions;
    (vi) The destination for shopping or repair; and
    (vii) The signature of a person designated under Sec. 215.11.
    (b)(1) The tag or card required by paragraph (a)(3) of this section 
may only be removed from the car by a person designated under 
Sec. 215.11 of this part.
    (2) A record or copy of each tag or card attached to or removed from 
a car shall be retained for 90 days and, upon request, shall be made 
available within 15 calendar days for inspection by FRA or State 
inspectors.
    (3) Each tag or card removed from a car shall contain a notification 
stating the date, location, reason for its removal, and the signature of 
the person who removed it from the car. These recordkeeping requirements 
have been approved by the Office of Management and Budget in accordance 
with the Federal Reports Act of 1942.
    (c) Movement of a freight car under paragraph (a) of this section 
may be made only for the purpose of effecting repairs. If the car is 
empty, it may not be placed for loading. If the car is loaded, it may 
not be placed for unloading unless unloading is consistent with 
determinations made and restrictions imposed under paragraph (a)(1) of 
this section and--
    (1) The car is consigned for a destination on the line of haul 
between the point where the car was found defective and the point where 
repairs are made; or
    (2) Unloading is necessary for the safe repair of the car.
    (d) Nothing in this section authorizes the movement of a freight car 
subject to a Special Notice for Repairs unless the movement is made in 
accordance with the restrictions contained in the Special Notice.

[44 FR 77340, Dec. 31, 1979; 45 FR 26710, Apr. 21, 1980]



Sec. 215.11  Designated inspectors.

    (a) Each railroad that operates railroad freight cars to which this 
part applies shall designate persons qualified to inspect railroad 
freight cars for compliance with this part and to make the 
determinations required by Sec. 215.9 of this part.
    (b) Each person designated under this section shall have 
demonstrated to the railroad a knowledge and ability to inspect railroad 
freight cars for compliance with the requirements of this part and to 
make the determinations required by Sec. 215.9 of this part.
    (c) With respect to designations under this section, each railroad 
shall maintain written records of:
    (1) Each designation in effect; and
    (2) The basis for each designation.

[45 FR 26710, Apr. 21, 1980]

[[Page 175]]



Sec. 215.13  Pre-departure inspection.

    (a) At each location where a freight car is placed in a train, the 
freight car shall be inspected before the train departs. This inspection 
may be made before or after the car is placed in the train.
    (b) At a location where an inspector designated under Sec. 215.11 is 
on duty for the purpose of inspecting freight cars, the inspection 
required by paragraph (a) of this section shall be made by that 
inspector to determine whether the car is in compliance with this part.
    (c) At a location where a person designated under Sec. 215.11 is not 
on duty for the purpose of inspecting freight cars, the inspection 
required by paragraph (a) shall, as a minimum, be made for those 
conditions set forth in appendix D to this part.
    (d) Performance of the inspection prescribed by this section does 
not relieve a railroad of its liability under Sec. 215.7 for failure to 
comply with any other provision of this part.

[45 FR 26710, Apr. 21, 1980]



Sec. 215.15  Periodic inspection.

    (a) After June 30, 1980, a railroad may not place or continue in 
service a freight car that has not received an initial periodic 
inspection in accordance with 49 CFR 215.25, as in effect on October 6, 
1976 (41 FR 44044), unless--
    (1) The car is a high utilization car built or reconditioned after 
December 31, 1977; or
    (2) The car is a non-high utilization car built or reconditioned 
after December 31, 1971.
    (b) A freight car that has received an initial periodic inspection 
under paragraph (a) of this section shall be stenciled to so indicate in 
accordance with 49 CFR 215.11 and appendix C of this part, as in effect 
on October 6, 1976 (41 FR 44044). This stenciling need not be retained 
on the car after June 30, 1981.
    (c) As used in this section, ``high utilization car'' means a car--
    (1) Specifically equipped to carry trucks, automobiles, containers, 
trailers, or removable trailer bodies for the transportation of freight; 
or
    (2) Assigned to a train that operates in a continuous round trip 
cycle between the same two points.



                    Subpart B--Freight Car Components



Sec. 215.101  Scope.

    This subpart contains safety requirements prohibiting a railroad 
from placing or continuing in service a freight car that has certain 
defective components.

                            Suspension System



Sec. 215.103  Defective wheel.

    A railroad may not place or continue in service a car, if--
    (a) A wheel flange on the car is worn to a thickness of \7/8\ of an 
inch, or less, at a point \3/8\ of an inch above the tread of the wheel;
    (b) The height of a wheel flange on the car, from the tread to the 
top of the flange, is 1\1/2\ inches, or more;
    (c) The thickness of a rim of a wheel on the car is \11/16\ of an 
inch, or less;
    (d) A wheel rim, flange, plate, or hub area on the car has a crack 
or break;
    (e) A wheel on the car has a chip or gouge in the flange that is 
1\1/2\ inches in length and \1/2\ inch in width, or more;
    (f) A wheel on the car has--
    (1) A slid flat or shelled spot that is more than 2\1/2\ inches in 
length; or
    (2) Two adjoining flat or shelled spots each of which is more than 
two inches in length;
    (g) A wheel on the car shows evidence of being loose such as oil 
seepage on the back hub or back plate;
    (h) A wheel on the car shows signs of having been overheated as 
evidenced by a reddish brown discoloration, to a substantially equal 
extent on both the front and the back face of the rim, that extends on 
either face more than four inches into the plate area measured from the 
inner edge of the front or back face of the rim; or,
    (i) A wheel on the car has been welded unless the car is being moved 
for repair in accordance with Sec. 215.9 of this part.

[44 FR 77340, Dec. 31, 1979, as amended at 50 FR 13382, Apr. 4, 1985]



Sec. 215.105  Defective axle.

    A railroad may not place or continue in service a car, if--
    (a) An axle on the car has a crack or is broken;

[[Page 176]]

    (b) An axle on the car has a gouge in the surface that is--
    (1) Between the wheel seats; and
    (2) More than one-eighth inch in depth;
    (c) An axle on the car, used in conjunction with a plain bearing, 
has an end collar that is broken or cracked;
    (d) A journal on the car shows evidence of overheating, as evidenced 
by a pronounced blue black discoloration; or
    (e) The surface of the plain bearing journal on the axle, or the 
fillet on the axle, has--
    (1) A ridge;
    (2) A depression;
    (3) A circumferential score;
    (4) Corrugation;
    (5) A scratch;
    (6) A continuous streak;
    (7) Pitting;
    (8) Rust; or
    (9) Etching.



Sec. 215.107  Defective plain bearing box: General.

    A railroad may not place or continue in service a car, if the car 
has--
    (a) A plain bearing box that does not contain visible free oil;
    (b) A plain bearing box lid that is missing, broken, or open except 
to receive servicing; or
    (c) A plain bearing box containing foreign matter, such as dirt, 
sand, or coal dust, that can reasonably be expected to--
    (1) Damage the bearing; or
    (2) Have a detrimental effect on the lubrication of the journal and 
the bearings.



Sec. 215.109  Defective plain bearing box: Journal lubrication system.

    A railroad may not place or continue in service a car, if the car 
has a plain bearing box with a lubricating pad that--
    (a) Has a tear extending half the length or width of the pad, or 
more;
    (b) Shows evidence of having been scorched, burned, or glazed;
    (c) Contains decaying or deteriorated fabric that impairs proper 
lubrication of the pad;
    (d) Has--
    (1) An exposed center core (except by design); or
    (2) Metal parts contacting the journal; or
    (e) Is--
    (1) Missing; or
    (2) Not in contact with the journal.



Sec. 215.111  Defective plain bearing.

    A railroad may not place or continue in service a car, if the car 
has a plain bearing--
    (a) That is missing, cracked, or broken;
    (b) On which the bearing liner--
    (1) Is loose; or
    (2) Has a broken out piece; or
    (c) That shows signs of having been overheated, as evidenced by--
    (1) Melted babbitt;
    (2) Smoke from hot oil; or
    (3) Journal surface damage.



Sec. 215.113  Defective plain bearing wedge.

    A railroad may not place or continue in service a car, if a plain 
bearing wedge on that car is--
    (a) Missing;
    (b) Cracked;
    (c) Broken; or
    (d) Not located in its design position.



Sec. 215.115  Defective roller bearing.

    (a) A railroad may not place or continue in service a car, if the 
car has--
    (1) A roller bearing that shows signs of having been overheated as 
evidenced by--
    (i) Discoloration; or
    (ii) Other telltale signs of overheating such as damage to the seal 
or distortion of any bearing component;
    (2) A roller bearing with a--
    (i) Loose or missing cap screw; or
    (ii) Broken, missing, or improperly applied cap screw lock; or
    (3) A roller bearing with a seal that is loose or damaged, or 
permits leakage of lubricant in clearly formed droplets.
    (b)(1) A railroad may not continue in service a car that has a 
roller bearing whose truck was involved in a derailment unless the 
bearing has been inspected and tested by:
    (i) Visual examination to determine whether it shows any sign of 
damage; and

[[Page 177]]

    (ii) Spinning freely its wheel set or manually rotating the bearing 
to determine whether the bearing makes any unusual noise.
    (2) The roller bearing shall be disassembled from the axle and 
inspected internally if--
    (i) It shows any external sign of damage;
    (ii) It makes any unusual noise when its wheel set is spun freely or 
the bearing is manually rotated;
    (iii) Its truck was involved in a derailment at a speed of more than 
10 miles per hour; or
    (iv) Its truck was dragged on the ground for more than 200 feet.
    (3) Each defective roller bearing shall be repaired or replaced 
before the car is placed back in service.

[44 FR 77340, Dec. 31, 1979, as amended at 45 FR 26711, Apr. 21, 1980]



Sec. 215.117  Defective roller bearing adapter.

    A railroad may not place or continue in service a car, if the car 
has a roller bearing adapter that is--
    (a) Cracked or broken;
    (b) Not in its design position; or
    (c) Worn on the crown of the adapter to the extent that the frame 
bears on the relief portion of the adapter, as shown in the figure below 
(see figure 1).



Sec. 215.119  Defective freight car truck.

    A railroad may not place or continue in service a car, if the car 
has--
    (a) A side frame or bolster that--
    (1) Is broken; or
    (2) Has a crack of \1/4\ of an inch or more in the transverse 
direction on a tension member;
    (b) A truck equipped with a snubbing device that is ineffective, as 
evidenced by--
    (1) A snubbing friction element that is worn beyond a wear 
indicator;
    (2) A snubber wear plate that is loose, missing (except by design), 
or worn through;
    (3) A broken or missing snubber activating spring; or
    [GRAPHIC] [TIFF OMITTED] TC01AP91.002
    

[[Page 178]]


    (4) Snubber unit that is broken, or in the case of hydraulic units, 
is broken or leaking clearly formed droplets of oil or other fluid.
    (c) A side bearing in any of the following conditions:
    (1) Part of the side bearing assembly is missing or broken;
    (2) The bearings at one end of the car, on both sides, are in 
contact with the body bolster (except by design);
    (3) The bearings at one end of the car have a total clearance from 
the body bolster of more than \3/4\ of an inch; or
    (4) At diagonally opposite sides of the car, the bearings have a 
total clearance from the body bolsters of more than \3/4\ of an inch;
    (d) Truck springs--
    (1) That do not maintain travel or load;
    (2) That are compressed solid; or
    (3) More than one outer spring of which is broken, or missing, in 
any spring cluster;
    (e) Interference between the truck bolster and the center plate that 
prevents proper truck rotations; or
    (f) Brake beam shelf support worn so excessively that it does not 
support the brake beam.

                               Car Bodies



Sec. 215.121  Defective car body.

    A railroad may not place or continue in service a car, if:
    (a) Any portion of the car body, truck, or their appurtenances 
(except wheels) has less than a 2\1/2\ inch clearance from the top of 
rail;
    (b) The car center sill is:
    (1) Broken;
    (2) Cracked more than 6 inches; or
    (3) Permanently bent or buckled more than 2\1/2\ inches in any six 
foot length;
    (c) The car has a coupler carrier that is:
    (1) Broken;
    (2) Missing;
    (3) Non-resilient and the coupler has a type F head.
    (d) After December 1, 1983, the car is a box car and its side doors 
are not equipped with operative hangers, or the equivalent, to prevent 
the doors from becoming disengaged.
    (e) The car has a center plate:
    (1) That is not properly secured;
    (2) Any portion of which is missing; or
    (3) That is broken; or
    (4) That has two or more cracks through its cross section 
(thickness) at the edge of the plate that extend to the portion of the 
plate that is obstructed from view while the truck is in place; or
    (f) The car has a broken sidesill, crossbearer, or body bolster.

[44 FR 77340, Dec. 31, 1979, as amended at 47 FR 53737, Dec. 29, 1982]

                              Draft System



Sec. 215.123  Defective couplers.

    A railroad may not place or continue in service a car, if--
    (a) The car is equipped with a coupler shank that is bent out of 
alignment to the extent that the coupler will not couple automatically 
with the adjacent car;
    (b) The car has a coupler that has a crack in the highly stressed 
junction area of the shank and head as shown in the figure below (see 
figure 2).
    (c) The car has a coupler knuckle that is broken or cracked on the 
inside pulling face of the knuckle.
    (d) The car has a knuckle pin or knuckle thrower that is:
    (1) Missing; or
    (2) Inoperative; or
    (e) The car has a coupler retainer pin lock that is--

[[Page 179]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.003

    (1) Missing; or
    (2) Broken; or
    (f) The car has a coupler with any of the following conditions:
    (1) The locklift is inoperative;
    (2) The coupler assembly does not have anticreep protection to 
prevent unintentional unlocking of the coupler lock; or
    (3) The coupler lock is--
    (i) Missing;
    (ii) Inoperative;
    (iii) Bent;
    (iv) Cracked; or
    (v) Broken.



Sec. 215.125  Defective uncoupling device.

    A railroad may not place or continue in service a car, if the car 
has an uncoupling device without sufficient vertical and lateral 
clearance to prevent--
    (a) Fouling on curves; or
    (b) Unintentional uncouplings.



Sec. 215.127  Defective draft arrangement.

    A railroad may not place or continue in service a car, if--
    (a) The car has a draft gear that is inoperative;
    (b) The car has a broken yoke;
    (c) An end of car cushioning unit is--
    (1) Leaking clearly formed droplets; or
    (2) Inoperative;
    (d) A vertical coupler pin retainer plate--
    (1) Is missing (except by design); or
    (2) Has a missing fastener;
    (e) The car has a draft key, or draft key retainer, that is--

[[Page 180]]

    (1) Inoperative; or
    (2) Missing; or
    (f) The car has a missing or broken follower plate.



Sec. 215.129  Defective cushioning device.

    A railroad may not place or continue in service a car if it has a 
cushioning device that is--
    (a) Broken;
    (b) Inoperative; or
    (c) Missing a part--

unless its sliding components have been effectively immobilized.



                     Subpart C--Restricted Equipment



Sec. 215.201  Scope.

    This subpart contains requirements restricting the use of certain 
railroad freight cars.



215.203  Restricted cars.

    (a) This section restricts the operation of any railroad freight car 
that is--
    (1) More than 50 years old, measured from the date of original 
construction;
    (2) Equipped with any design or type component listed in appendix A 
to this part; or
    (3) Equipped with a Duryea underframe constructed before April 1, 
1950, except for a caboose which is operated as the last car in a train.
    (b) A railroad may not place or continue in service a railroad 
freight car described in paragraph (a) of this section, except under 
conditions approved by the Federal Railroad Administrator.
    (c) A railroad may petition the Administrator to continue in service 
a car described in paragraph (a) of this section. Each petition shall be
    (1) Be submitted not less than 90 days before the car is to be 
operated;
    (2) Be submitted in triplicate; and
    (3) State or describe the following:
    (i) The name and principal business address of the petitioning 
railroad.
    (ii) The name and address of the entity that controls the operation 
and maintenance of the car involved.
    (iii) The number, type, capacity, reporting marks, and car numbers 
of the cars, their condition, status, and age measured from the date of 
original construction.
    (iv) The design, type component, or other item that causes the car 
to be restricted.
    (v) The maximum load the cars would carry.
    (vi) The maximum speed at which the cars would be operated.
    (vii) That each car has been examined and found to be safe to 
operate under the conditions set forth in the petition.
    (viii) The territorial limits within which the cars are to be 
operated and the name of each railroad that will receive the cars in 
interchange.



                          Subpart D--Stenciling



Sec. 215.301  General.

    The railroad or private car owner reporting mark, the car number, 
and built date shall be stenciled, or otherwise displayed, in clearly 
legible letters and numbers not less than seven inches high, except 
those of the built date which shall not be less than one inch high:
    (a) On each side of each railroad freight car body; and
    (b) In the case of a tank car, in any location that is visible to a 
person walking at track level beside the car.



Sec. 215.303  Stenciling of restricted cars.

    (a) Each restricted railroad freight car that is described in 
Sec. 215.205(a) of this part shall be stenciled, or marked--
    (1) In clearly legible letters; and
    (2) In accordance with paragraphs (b) and (c) of this section.
    (b) The letter ``R'' shall be--
    (1) Placed immediately below or to the right of the car number;
    (2) The same color as the reporting mark; and
    (3) The same size as the reporting mark.
    (c) The following terms, to the extent needed to completely indicate 
the basis for the restricted operation of the car, shall be placed on 
the car following the symbol ``R'' in letters not less than one inch 
high:
    (1) Age.
    (2) Coupler.
    (3) Draft.
    (4) Bearings.
    (5) Truck.

[[Page 181]]

    (6) Underframe.
    (7) Wheels.
    (8) Yoke.



Sec. 215.305  Stenciling of maintenance-of-way equipment.

    (a) Maintenance-of-way equipment (including self-propelled 
maintenance-of-way equipment) described in Sec. 215.3(c)(3) shall be 
stenciled, or marked--
    (1) In clearly legible letters; and
    (2) In accordance with paragraph (b) of this section.
    (b) The letters ``MW'' must be--
    (1) At least 2 inches high; and
    (2) Placed on each side of the car.

[44 FR 77340, Dec. 31, 1979, as amended at 45 FR 26711, Apr. 21, 1980]

         Appendix A to Part 215--Railroad Freight Car Components

    List of components whose use is restricted by Sec. 215.203 of this 
part.

A. Air brakes:
    The ``K'' type.

B. Axles:
    1. Former AAR alternate standard tubular type.
    2. Axle with letters ``RJ'' stamped on the end of the journal.

C. Couplers:
    1. AAR type ``D'', top or bottom operated.
    2. AAR type ``E'' with 5 by 7 shank.

D. Draft arrangement:
    1. Miner FR-16 and FR-19-F draft gears.
    2. Farlow draft attachment.

E. Plain journal bearings:
    Cartridge type.

F. Roller bearings:
    1. Nippon Sieko Kabushiki Kaish (NSK) size 6\1/2\ by 
12 (marked ``AAR 11'').
    2. Hyatt cylindrical bearing, all sizes (marked ``AAR 2'').
    3. SKF ``Piggybacker'' spherical roller, size 6 by 
11 (marked ``AAR 7'').

G. Trucks:
    1. Arch bar type.
    2. Truck with cast steel pedestal side frame, short wheel base, and 
no bolster.

H. Truck bolsters:
    1. A bolster with one of the following pattern numbers listed 
according to manufacturer:

------------------------------------------------------------------------
                                       Dresser                Lenoir car
               A.S.F.                (Symington)   Birdsboro     works
------------------------------------------------------------------------
21183-B............................      BO 5234        1458     CS-184.
                                     ...........        1468
21183-N............................      BO 5263        1471     CS-611.
                                         BO 7076
21648-C............................    BO 7076-A
22056-E............................      BO 7115
------------------------------------------------------------------------

    2. Bolster cast before 1927.
    3. Bolster without an identification mark or pattern number.
I. 1. Truck side frames:
    A side frame with one of the following pattern numbers listed 
according to manufacturer:

------------------------------------------------------------------------
                                       National
               A.S.F.                  castings     Buckeye    Dominion
------------------------------------------------------------------------
7273................................    33793-1B      3-1776     TF-5100
7323................................  ..........       F-420
21362 (cast prior to June 1941).....
------------------------------------------------------------------------


------------------------------------------------------------------------
                                                               Canadian
      Pittsburgh steel foundry          Scullin   Bettendorf     steel
                                         steel                  foundry
------------------------------------------------------------------------
31673...............................   42-CS-180      UT 456       26565
4-1862..............................
3-1674..............................        4665
4-2045..............................        4770
12897...............................        4942
12921...............................        5220
21263...............................        5364
                                          5364-C
                                          5364-E
                                          5811-A
                                          5869-B
                                          6577-A
------------------------------------------------------------------------

    2. Side frame cast before 1927.
    3. Side frame without an identification mark or pattern number.
    4. Side frame with an ``I'', ``T'', or ``L'' section compression or 
tension member.
J. Wheels:
    1. Cast iron wheel.
    2. Cast steel wheel marked ``AAR X-2.''
    3. Southern cast steel wheel manufactured before May 7, 1958.
    4. Griffin, three-riser cast steel wheel, ball rim design, 70-ton 
capacity.
    5. Griffin, three-riser cast steel wheel, two-wear, 70- and 50-ton 
capacity, 33 inch, (marked X-5 or CS-2).
    6. Wrought steel wheel manufactured before 1927, as indicated by 
marking on wheel.
    7. Cast steel wheel marked AAR X-4.
    8. Davis cast steel wheel.
    9. One-wear, 70-ton Southern (ABEX) U1 cast steel wheels dated May 
7, 1958 through December 31, 1969.
    A. Wheels dated May 7, 1958, to January 1, 1964, are marked with the 
symbol ``70T'' cast on the back of the wheel plate; they are not marked 
``U-1.''

[[Page 182]]

    B. Wheels dated January 1, 1964 through December 31, 1969, are 
marked with the symbols ``CJ-33'' and ``U-1'' or ``70T'' and ``U-1'' 
cast on the back of the wheel plate.
K. Yokes:
    1. Riveted type.
    2. Keyless type.
    3. Vertical key type.

         Appendix B to Part 215--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
Subpart A--General:
    215.9 Movement for repair:
        (a), (c)..............................        (\1\)        (\1\)
        (b)...................................       $2,500       $5,000
    215.11 Designation of qualified persons...        2,500        5,000
    215.13 Pre-departure inspection...........        2,000        4,000
Subpart B--Freight Car Components:
    215.103 Defective wheel:
        (a) Flange thickness of:
            (1) 7/8 or less but            2,500        5,000
             more than \13/16\.....
            (2) \13/16\ or less....        5,000        7,500
        (b) Flange height of:
            (1) 1\1/2\ or greater          2,500        5,000
             but less than 1\5/8\..
            (2) 1\5/8\ or more.....        5,000        7,500
        (c) Rim thickness of:
            (1) \11/16\ or less but        2,500        5,000
             more than \5/8\.......
            (2) \5/8\ or less......        5,000        7,500
        (d) Wheel rim, flange plate hub width:
            (1) Crack of less than 1..............................
            (2) Crack of 1 or more.        5,000        7,500
            (3) Break.........................        5,000        7,500
        (e) Chip or gouge in flange of:
            (1) 1\1/2\ or more but         2,500        5,000
             less than 1\5/8\ in
             length; and \1/2\ or
             more but less than \5/8\ in width.....................
            (2) 1\5/8\ or more in          5,000        7,500
             length; or \5/8\ or
             more in width....................
        (f) Slid flat or shelled spot(s):
            (1)(i) One spot more than 2\1/            2,500        5,000
             2\, but less than 3, in length...............
             (ii) One spot 3 or            5,000        7,500
             more in length...................
            (2)(i) Two adjoining spots each of        2,500        5,000
             which is more than 2
             but less than 2\1/2\
             in length........................
             (ii) Two adjoining spots both of         5,000        7,500
             which are at least 2
             in length, if either spot is 2\1/
             2\, or more in length.
        (g) Loose on axle                             6,000        8,500
        (h) Overheated; discoloration
         extending:
            (1) more than 4 but            2,500        5,000
             less than 4\1/2\......
            (2) 4\1/2\ or more.....        5,000        7,500
        (i) Welded                                    5,000        7,500
    215.105 Defective axle:
        (a)(1) Crack of 1 or less..        2,500        5,000
         (2) Crack of more than 1..        5,000        7,500
         (3) Break............................        6,000        8,500
        (b) Gouge in surface that is between          2,500        5,000
         the wheel seats and is more than \1/
         8\ in depth...............
        (c) End collar with crack or break....        2,500        5,000
        (d) Journal overheated................        5,000        7,500
        (e) Journal surface has: a ridge; a           2,500        5,000
         depression; a circumferential score;
         corrugation; a scratch; a continuous
         streak; pitting; rust; or etching....
    215.107 Defective plain bearing box:
     general:
        (a)(1) No visible free oil............        1,500        3,000
         (2) Lubricating pad dry (no                  5,000        7,500
         expression of oil observed when pad
         is compressed).......................
        (b) Box lid is missing, broken, or            1,000        2,000
         open except to receive servicing.....
        (c) Contains foreign matter that can          2,500        5,000
         be expected to damage the bearing or
         have a detrimental effect on the
         lubrication of the journal and
         bearing..............................
    215.109 Defective plain bearing box:
     journal lubrication system:
        (a) Lubricating pad has a tear........        1,000        2,000
        (b) Lubricating pad scorched, burned,         2,500        5,000
         or glazed............................
        (c) Lubricating pad contains decaying         2,500        5,000
         or deteriorating fabric..............
        (d) Lubricating pad has an exposed            2,500        5,000
         center core or metal parts contacting
         the journal..........................
        (e) Lubricating pad is missing or not         5,000        7,500
         in contact with the journal..........
    215.111 Defective plain bearing:
        (a) Missing...........................        5,000        7,500
        (b) Bearing liner is loose or has             2,500        5,000
         piece broken out.....................
        (c) Overheated........................        5,000        7,500
    215.113 Defective plain bearing wedge:
        (a) Missing...........................        5,000        7,500
        (b) Cracked...........................        2,500        5,000

[[Page 183]]

 
        (c) Broken............................        5,000        7,500
        (d) Not located in its design position        5,000        7,500
    215.115 Defective roller bearing:
        (a)(1) Overheated.....................        5,000        7,500
         (2) (i) Cap screw(s) loose...........        2,500        5,000
             (ii) Cap screw lock broken,              1,000        2,000
             missing or improperly applied....
         (3) Seal is loose or damaged, or             2,500        5,000
         permits leakage of lubricant.........
        (b)(1) Not inspected and tested after         2,500        5,000
         derailment...........................
         (2) Not disassembled after derailment        2,500        5,000
         (3) Not repaired or replaced after           5,000        7,500
         derailment...........................
    215.117 Defective roller bearing adapter:
        (a) Cracked or broken.................        2,500        5,000
        (b) Not in its design position........        5,000        7,500
        (c) Worn on the crown.................        2,500        5,000
    215.119 Defective freight car truck:
        (a)(1) A side frame or bolster that is        5,000        7,500
         broken...............................
         (2)(i) Side frame or bolster with            2,500        5,000
         crack of: \1/4\ or more,
         but less than 1...........
             (ii) 1 or more........        5,000        7,500
        (b) A snubbing device that is                 2,500        5,000
         ineffective or missing...............
        (c) Side bearing(s):
            (1) Assembly missing or broken....        5,000        7,500
            (2) In contact except by design...        5,000        7,500
            (3), (4) Total clearance at one
             end or at diagonally opposite
             sides of:........................
             (i) more than \3/4\           2,500        5,000
             but not more than 1...
             (ii) more than 1......        5,000        7,500
        (d) Truck spring(s):
            (1) Do not maintain travel or load        2,500        5,000
            (2) Compressed solid..............        2,500        5,000
            (3) Outer truck springs broken or
             missing:
             (i) Two outer springs............        2,500        5,000
             (ii) Three or more outer springs.        5,000        7,500
        (e) Truck bolster-center plate                5,000        7,500
         interference.........................
        (f) Brake beam shelf support worn.....        2,500        5,000
    215.121 Defective car body:
        (a) Has less than 2\1/2\           2,500        5,000
         clearance from the top of rail.......
        (b) Car center sill is:
            (1) Broken........................        6,000        8,500
            (2) Cracked more than 6        2,500        5,000
            (3) Bent or buckled more than 2\1/        2,500        5,000
             2\ in any 6' length...
        (c) Coupler carrier that is broken or         2,500        5,000
         missing..............................
        (d) Car door not equipped with                5,000        7,500
         operative safety hangers.............
        (e)(1) Center plate not properly              5,000        7,500
         secured..............................
         (2) Portion missing..................        2,500        5,000
         (3) Broken...........................        5,000        7,500
         (4) Two or more cracks...............        2,500        5,000
        (f) Broken sidesill, crossbearer, or          2,500        5,000
         body bolster.........................
    215.123 Defective couplers:
        (a) Shank bent out of alignment.......        1,000        2,000
        (b) Crack in highly stressed junction         2,500        5,000
         area.................................
        (c) Coupler knuckle broken or cracked.        2,500        5,000
        (d) Coupler knuckle pin or thrower            2,500        5,000
         that is missing or inoperative.......
        (e) Coupler retainer pin lock that is         1,000        2,000
         missing or broken....................
        (f) Coupler with following conditions:        2,500        5,000
         locklift inoperative; no anticreep
         protection; or coupler lock is
         missing, inoperative, bent, cracked,
         or broken............................
    215.125 Defective uncoupling device.......        2,500        5,000
    215.127 Defective draft arrangement:
        (a) Draft gear that is inoperative....        2,500        5,000
        (b) Yoke that is broken...............        2,500        5,000
        (c) End of car cushioning unit is             2,500        5,000
         leaking or inoperative...............
        (d) Vertical coupler pin retainer             5,000        7,500
         plate missing or has missing fastner.
        (e) Draft key or draft key retainer           5,000        7,500
         that is inoperative or missing.......
        (f) Follower plate that is missing or         2,500        5,000
         broken...............................
    215.129 Defective cushioning device.......        2,500        5,000
Subpart C--Restricted equipment:
    215.203 Restricted cars...................        2,500        5,000
Subpart D--Stencilling:
    215.301 General...........................        1,000        2,000
    215.303 Stencilling of restricted cars....        1,000        2,000

[[Page 184]]

 
    215.305 Stencilling of maintenance-of-way.        1,000        2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. Generally, when two or more violations of these regulations
  are discovered with respect to a single freight car that is placed or
  continued in service by a railroad, the appropriate penalties set
  forth above are aggregated up to a maximum of $10,000 per day.
  However, a failure to perform, with respect to a particular freight
  car, the predeparture inspection required by Sec.  215.13 of this part
  will be treated as a violation separate and distinct from, and in
  addition to, any substantive violative conditions found on the car.
  The Administrator reserves the right to assess a penalty of up to
  $22,000 for any violation where circumstances warrant. See 49 CFR part
  209, appendix A.
Failure to observe any condition for movement set forth in paragraphs
  (a) and (c) of Sec.  215.9 will deprive the railroad of the benefit of
  the movement-for-repair provision and make the railroad and any
  responsible individuals liable for penalty under the particular
  regulatory section(s) concerning the substantive defect(s) present on
  the freight car at the time of movement.
Maintenance-of-way equipment not stenciled in accordance with Sec.
  215.305 is subject to all requirements of this part. See Sec.
  215.3(c)(3).


[53 FR 52925, Dec. 29, 1988, as amended at 63 FR 11620, Mar. 10, 1998]

      Appendix C to Part 215--FRA Freight Car Standards Defect Code

    The following defect code has been established for use by FRA and 
State inspectors to report defects observed during inspection of freight 
cars. The purpose of the code is to establish a uniform language among 
FRA, States, and the railroad industry that will facilitate 
communication, recordkeeping, and statistical analyses. The code may not 
be substituted for the description of defects on bad order tags affixed 
to cars being moved for repair under Sec. 215.9. However, it may be used 
to supplement that description.

                                  Index

                                 General

215.009 Improper Movement of Defective Cars.
215.011 Designation of Qualified Persons.
215.013 Failure to Perform a Pre-departure Inspection.
215.015 Failure to Complete Initial Periodic Inspection as Required.

                         Freight Car Components

                            Suspension System

215.103 Defective Wheel.
215.105 Defective Axle.
215.107 Defective Plain Bearing Box: General.
215.109 Defective Plain Bearing Box: Journal Lubrication System.
215.111 Defective Plain Bearing.
215.113 Defective Plain Bearing Wedge.
215.115 Defective Roller Bearing.
215.117 Defective Roller Bearing Adapter.
215.119 Defective Freight Car Truck.

                               Car Bodies

215.121 Defective Car Body.

                              Draft System

215.123 Defective Couplers.
215.125 Defective Uncoupling Device.
215.127 Defective Draft Arrangement.
215.129 Defective Cushioning Device.

                          Restricted Equipment

215.203 Restricted Cars.

                               Stenciling

215.301 Improper Stenciling.
215.303 Improper Stenciling of Restricted Cars.
215.305 Improper Stenciling of Maintenance-of-Way Equipment.

                         Description of Defects

215.009 Failure to meet conditions for movement of defective cars for 
          repairs.
215.011 Designation of Qualified Persons.
    (A)(1) Railroad fails to designate persons qualified to inspect 
freight cars;
    (2) Persons designated does not have knowledge and ability to 
inspect freight cars for compliance with the requirements of this part.
    (B) Railroad fails to maintain written record of:
    (1) Each designation in effect;
    (2) The basis for this designation.
215.013 Failure to perform pre-departure inspection.
215.015 Periodic Inspection.
    (A) Railroad fails to perform the periodic inspection as required by 
June 30, 1980 on:
    (1) High utilization car built prior to December 31, 1977;
    (2) Non-high utilization car built prior to December 31, 1971;
    (B) A freight car improperly stenciled for periodic inspection.
215.103 Defective Wheel.
    (A)(1) Flanges \7/8\ or less at \3/8\ above 
the tread;
    (2) Flanges \13/16\ or less at \3/8\ above the 
tread;
    (3) Flanges \3/4\ or less at \3/8\ above the 
tread;
    (B)(1) Flange is 1\1/2\ or more from the tread to top of 
flange;
    (2) Flange is 1\5/8\ or more from the tread to top of 
flange;
    (3) Flange is 1\3/4\.
    (C)(1) Rim thickness is \11/16\ or less;

[[Page 185]]

    (2) Rim thickness is \5/8\ or less;
    (3) Rim thickness is \9/16\ or less;
    (D) Wheel cracked or broken in: (1) rim, (2) flange, (3) plate or 
(4) hub area.
    (E) Wheel chip or gouge in flange:
    (1) 1\1/2\ length and \1/2\ in width or more;
    (2) 1\5/8\ length and \5/8\ in width or more;
    (3) 1\3/4\ in length and \3/4\ in width or 
more.
    (F) Wheel has slid flat spot or shelled spot:
    (1) 2\1/2\ in length or more;
    (2) Has two adjoining flat spots each of which is 2 in 
length or greater;
    (3) A single flat spot 3 in length or more;
    (4) Has two adjoining flat spots one of which is at least 
2 in length and the other is 2\1/2\ or greater.
    (G) Has a loose wheel.
    (H) Overheated with discoloration extending: (1) More than 
4; (2) 4\1/2\ or more.
    (I) A welded wheel on car that is not moving for repairs.
215.105 Defective Axle.
    (A) Cracked or broken:
    (1) Cracked 1' or less;
    (2) Cracked greater than 1;
    (3) Broken or cracked with visible separation of metal.
    (B) Gouge between wheel seats more than \1/8\ in depth:
    (C) Broken or cracked end collar on plain bearing axle.
    (D) Overheated journal.
    (E) Surface of plain bearing journal or fillet has (1) ridge, (2) 
depression, (3) circumferential score, (4) corrugation, (5) scratch, (6) 
continuous streak, (7) pitting, (8) rust, (9) etching.
215.107 Defective plain bearing box.
    (A) (1) Does not contain visible free oil;
    (2) A journal box with dry pad.
    (B) Lid is missing, broken or open except to receive service.
    (C) Box has foreign matter that will damage bearing or prevent 
lubrication.
215.109 Defective plain bearing box: journal lubrication system.
    (A) Pad torn half the length or width.
    (B) Scorched, burned or glazed.
    (C) Contains decaying or deteriorated fabric.
    (D) Has exposed core except by design of metal parts in contact with 
journal.
    (E)(1) Missing;
    (2) Not in contact with journal.
215.111 Defective plain bearing.
    (A) Missing, cracked or broken.
    (B)(1) Bearing lining is loose;
    (2) Broken out piece.
    (C) Overheated as evidenced by:
    (1) Melted babbit;
    (2) Smoke from hot oil;
    (3) Journal surface damaged.
215.113 Defective plain bearing wedge.
    (A) Missing.
    (B) Cracked.
    (C) Broken.
    (D) Not located in design position.
215.115 Defective roller bearing.
    (A)(1) Overheated;
    (2) Loose or missing cap screw;
    (3) Roller bearing seal loose or damaged permitting loss of 
lubricant;
    (4) Two or more missing cap screws.
    (B)(1) Failure to inspect if involved in derailment;
    (2) Failure to disassemble if required under this part;
    (3) Failure to repair or replace defective roller bearings.
215.117 Defective roller bearing adapter.
    (A) Cracked or broken.
    (B) Not in design position.
    (C) Worn excessively as shown on Figure 1 in relief portion.
215.119 Defective freight car trucks.
    (A)(1) Side frame or bolster broken;
    (2) Cracked \1/4\ or more in transverse direction on 
tension member;
    (3) Cracked 1 or more in transverse direction on tension 
member.
    (B) Has ineffective snubbing devices.
    (C)(1) Missing or broken side bearing;
    (2) Side bearing in contact except by design;
    (3) Excessive side bearing clearance at one end of car;
    (4) Excessive side bearing clearance on opposite sides at diagonal 
ends of car.
    (D)(1) Has truck springs that will not maintain travel or load;
    (2) Truck springs that are compressed solid;
    (3) Has two springs broken in a cluster;
    (4) Has three or more springs broken.
    (E) Truck bolster and center plate interference preventing rotation.
    (F) Has broken beam shelf supports worn so that shelf will not 
support beam.
215.121 Defective car body.
    (A) Improper clearance--less than 2\1/2\ from top of 
rail.
    (B) Center sill is:
    (1) Broken;
    (2) Cracked more than 6;
    (3) Bent or buckled more than 2\1/2\ in any 6-foot 
length.
    (C) Coupler carrier is:
    (1) Broken;
    (2) Missing;
    (3) Non-resilient when used with coupler with F head.
    (D) Car door not equipped with operative safety hangers.
    (E) If center plate:
    (1) Any portion missing;
    (2) Broken or cracked as defined in this part.
    (F) Broken side sills, crossbars or body bolster.
215.123 Defective couplers.
    (A) Coupler shank bent.
    (B) Coupler cracked in highly stressed area of head and shank.
    (C) Coupler knuckle broken.

[[Page 186]]

    (D) Coupler knuckle pin or knuckle throw:
    (1) Missing;
    (2) Inoperative.
    (E) Coupler retainer pin lock:
    (1) Missing;
    (2) Broken.
    (F)(1) Coupler locklift is inoperative;
    (2) No anti-creep protection;
    (3) Coupler lock is (i) missing, (ii) inoperative, (iii) bent, (iv) 
cracked or (v) broken.
215.125 Defective uncoupling device.
    (A) Fouling on curve.
    (B) Unintentional uncoupling.
215.127 Defective draft arrangement.
    (A) Draft gear inoperative.
    (B) Broken yoke.
    (C) End of car cushioning unit:
    (1) Leaking;
    (2) Inoperative.
    (D) Vertical coupler pin retainer plate:
    (1) Missing;
    (2) Has missing fastener.
    (E) Draft key or key retainer:
    (1) Inoperative;
    (2) Missing.
    (F) Follower plate missing or broken.
215.129 Defective cushioning device unless effectively immobilized.
    (A) Broken.
    (B) Inoperative.
    (C) Missing parts.
215.203 Operating a restricted car, except under conditions approved by 
          FRA.

                               Stenciling

215.301 Failure to stencil car number and built date on freight car as 
          required.
215.303 Failure to stencil restricted car as required.
215.305 Failure to stencil maintenance-of-way equipment as required.

       Appendix D to Part 215--Pre-departure Inspection Procedure

    At each location where a freight car is placed in a train and a 
person designated under Sec. 215.11 is not on duty for the purpose of 
inspecting freight cars, the freight car shall, as a minimum, be 
inspected for the imminently hazardous conditions listed below that are 
likely to cause an accident or casualty before the train arrives at its 
destination. These conditions are readily discoverable by a train crew 
member in the course of a customary inspection.
    1. Car body:
    (a) Leaning or listing to side.
    (b) Sagging downward.
    (c) Positioned improperly on truck.
    (d) Object dragging below.
    (e) Object extending from side.
    (f) Door insecurely attached.
    (g) Broken or missing safety appliance.
    (h) Lading leaking from a placarded hazardous material car.
    2. Insecure coupling.
    3. Overheated wheel or journal.
    4. Broken or extensively cracked wheel.
    5. Brake that fails to release.
    6. Any other apparent safety hazard likely to cause an accident or 
casualty before the train arrives at its destination.

[45 FR 26711, Apr. 21, 1980]



PART 216--SPECIAL NOTICE AND EMERGENCY ORDER PROCEDURES: RAILROAD TRACK, LOCOMOTIVE AND EQUIPMENT--Table of Contents




                           Subpart A--General

Sec.
216.1 Application.
216.3 Definitions.
216.5 Delegation and general provisions.
216.7 Penalties.

                  Subpart B--Special Notice for Repairs

216.11 Special notice for repairs--railroad freight car.
216.13 Special notice for repairs--locomotive.
216.14 Special notice for repairs--passenger equipment.
216.15 Special notice for repairs--track class.
216.17 Appeals.

                    Subpart C--Emergency Order--Track

216.21 Notice of track conditions.
216.23 Consideration of recommendation.
216.25 Issuance and review of emergency order.
216.27 Reservation of authority and discretion.

    Authority: 49 U.S.C. 20102-20104, 20107, 20111, 20133, 20701-20702, 
21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.

    Source: 41 FR 18657, May 6, 1976, unless otherwise noted.



                           Subpart A--General



Sec. 216.1  Application.

    (a) This part applies, according to its terms, to each railroad that 
uses or operates--
    (1) A railroad freight car subject to part 215 of this chapter;
    (2) A locomotive subject to 49 U.S.C. chapter 207 (49 U.S.C. 20701-
03); or
    (3) Railroad passenger equipment subject to part 238 of this 
chapter.

[[Page 187]]

    (b) This part applies, according to its terms, to each railroad 
owning track subject to part 213 of this chapter.

[41 FR 18657, May 6, 1976, as amended at 64 FR 25659, May 12, 1999]



Sec. 216.3  Definitions.

    As used in this part--
    (a) FRA means the Federal Railroad Administration.
    (b) State means a State participating in investigative and 
surveillance activities under 49 U.S.C. 20105.
    (c) Inspector includes FRA Regional Supervisors of Inspectors.

[41 FR 18657, May 6, 1976, as amended at 64 FR 25659, May 12, 1999]



Sec. 216.5  Delegation and general provisions.

    (a) The Administrator has delegated to the appropriate FRA and State 
personnel the authority to implement this part.
    (b) Communications to the Administrator relating to the operation of 
this part should be submitted in triplicate to the Docket Clerk, Office 
of Chief Counsel, Federal Railroad Administration, Washington, DC 20590.
    (c) The notices prescribed in Secs. 216.11, 216.13, 216.14, 216.15, 
and 216.21 of this part are issued on standard FRA forms indicating the 
particular subject matter. An inspector issues a notice by delivering it 
to an appropriate officer or agent immediately responsible for the 
affected locomotive, car, or track.

[41 FR 18657, May 6, 1976, as amended at 41 FR 43153, Sept. 30, 1976; 64 
FR 25659, May 12, 1999]



Sec. 216.7  Penalties.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See 49 CFR part 209, appendix A.

[53 FR 28599, July 28, 1988, as amended at 63 FR 11620, Mar. 10, 1998]



                  Subpart B--Special Notice for Repairs

    Editorial Note: Nomenclature changes to subpart B of part 216 appear 
at 64 FR 25659, May 12, 1999.



Sec. 216.11  Special notice for repairs--railroad freight car.

    (a) When an FRA Motive Power and Equipment Inspector or a State 
Equipment Inspector determines that a railroad freight car is not in 
conformity with the requirements of the FRA Freight Car Safety Standards 
set forth in part 215 of this chapter and that it is unsafe for further 
service, he notifies the railroad in writing that the car is not in 
serviceable condition. The Special Notice sets out and describes the 
defects that cause the car to be in unserviceable condition. After 
receipt of the Special Notice, the railroad shall remove the car from 
service until it is restored to serviceable condition. The car may not 
be deemed to be in serviceable condition until it complies with all 
applicable requirements of part 215 of this chapter.
    (b) The railroad shall notify the FRA Regional Administrator in 
writing when the equipment is returned to service, specifying the 
repairs completed.
    (c) A railroad freight car subject to the notice prescribed in 
paragraph (a) of this section may be moved from the place where it was 
found to be unsafe for further service to the nearest available point 
where the car can be repaired, if such movement is necessary to make 
such repairs. However, the

[[Page 188]]

movement is subject to the further restrictions of Sec. 215.9 of this 
chapter.

[41 FR 18657, May 6, 1976, as amended at 41 FR 43153, Sept. 30, 1976]



Sec. 216.13  Special notice for repairs--locomotive.

    (a) When an FRA Motive Power and Equipment Inspector or State 
Equipment Inspector determines a locomotive is not safe to operate in 
the service to which it is put, whether by reason of nonconformity with 
the FRA Railroad Locomotive Safety Standards set forth in part 229 of 
this chapter or the FRA Railroad Locomotive Inspection Regulations set 
forth in part 230 of this chapter or by reason of any other condition 
rendering the locomotive unsafe, he or she will notify the railroad in 
writing that the locomotive is not in serviceable condition. After 
receipt of the Special Notice, the railroad shall remove the locomotive 
from service until it is restored to serviceable condition. The 
locomotive may not be deemed to be in serviceable condition until it 
complies with all applicable requirements of parts 229 and 230 of this 
chapter and until all additional deficiencies identified in the Special 
Notice have been corrected.
    (b) The carrier shall notify the FRA Regional Administrator in 
writing when the locomotive is returned to service, specifying the 
repairs completed. The carrier officer or employee directly responsible 
for the repairs shall subscribe this writing under oath.

[41 FR 18657, May 6, 1976, as amended at 64 FR 25659, May 12, 1999]



Sec. 216.14  Special notice for repairs--passenger equipment.

    (a) When an FRA Motive Power and Equipment Inspector or a State 
Equipment Inspector determines that railroad passenger equipment is not 
in conformity with one or more of the requirements of the FRA Passenger 
Equipment Safety Standards set forth in part 238 of this chapter and 
that it is unsafe for further service, he or she will issue a written 
Special Notice to the railroad that the equipment is not in serviceable 
condition. The Special Notice describes the defect or defects that cause 
the equipment to be in unserviceable condition. After receipt of the 
Special Notice, the railroad shall remove the equipment from service 
until it is restored to serviceable condition. The equipment may not be 
deemed in serviceable condition until it complies with all applicable 
requirements of part 238 of this chapter.
    (b) The railroad shall notify in writing the FRA Regional 
Administrator for the FRA region in which the Special Notice was issued 
when the equipment is returned to service, specifying the repairs 
completed.
    (c) Railroad passenger equipment subject to a Special Notice may be 
moved from the place where it was found to be unsafe for further service 
to the nearest available point where the equipment can be repaired, if 
such movement is necessary to make the repairs. However, the movement is 
subject to the further restrictions of Secs. 238.15 and 238.17 of this 
chapter.

[64 FR 25659, May 12, 1999]



Sec. 216.15  Special notice for repairs--track class.

    (a) When an FRA Track Inspector or State Track Inspector determines 
that track does not comply with the requirements for the class at which 
the track is being operated, as defined in the Track Safety Standards 
(49 CFR part 213), he notifies the railroad in writing that the track is 
being lowered in class and that operations over that track must comply 
with the speed limitations prescribed in part 213 of this chapter. The 
notice describes the conditions requiring the track to be lowered in 
class, specifies the exact location of the affected track segment, and 
states the highest class and corresponding maximum speeds at which 
trains may be operated over that track. After receipt of such notice, 
the speeds at which trains operate over that track shall not exceed the 
stated maximum permissible speeds, until such time as the track conforms 
to applicable standards for a higher class.
    (b) The railroad shall notify the FRA Regional Administrator in 
writing when the track is restored to a condition permitting operations 
at speeds authorized for a higher class, specifying the repairs 
completed.

[41 FR 43153, Sept. 30, 1976]

[[Page 189]]



Sec. 216.17  Appeals.

    (a) Upon receipt of a Special Notice prescribed in Secs. 216.11, 
216.13, 216.14, or 216.15, a railroad may appeal the decision of the 
Inspector to the FRA Regional Administrator for the region in which the 
notice was given. The appeal shall be made by letter or telegram. The 
FRA Regional Administrator assigns an inspector, other than the 
inspector from whose decision the appeal is being taken, to reinspect 
the railroad freight car, locomotive, railroad passenger equipment, or 
track. The reinspection will be made immediately. If upon reinspection, 
the railroad freight car, locomotive, or passenger equipment is found to 
be in serviceable condition, or the track is found to comply with the 
requirements for the class at which it was previously operated by the 
railroad, the FRA Regional Administrator or his or her agent will 
immediately notify the railroad, whereupon the restrictions of the 
Special Notice cease to be effective. If on reinspection the decision of 
the original inspector is sustained, the FRA Regional Administrator 
notifies the railroad that the appeal has been denied.
    (b) A railroad whose appeal to the FRA Regional Administrator has 
been denied may, within thirty (30) days from the denial, appeal to the 
Administrator. After affording an opportunity for informal oral hearing, 
the Administrator may affirm, set aside, or modify, in whole or in part, 
the action of the FRA Regional Administrator.
    (c) The requirements of a Special Notice issued under this subpart 
shall remain in effect and be observed by a railroad pending appeal to 
the FRA Regional Administrator or to the Administrator.

[67 FR 19989, Apr. 23, 2002]



                    Subpart C--Emergency Order--Track



Sec. 216.21  Notice of track conditions.

    (a) When an FRA Track Inspector or State Track Inspector finds track 
conditions which may require the issuance of an Emergency order removing 
the track from service under section 203, Public Law No. 91-458, 84 
Stat. 972 (45 U.S.C. 432), the Inspector may issue a notice to the 
railroad owning the track. The notice sets out and describes the 
conditions found by the Inspector and specifies the location of defects 
on the affected track segment. The Inspector provides a copy to the FRA 
Regional Track Engineer and the FRA Regional Administrator.
    (b) In the event the railroad immediately commences repairs on the 
affected track and so advises the FRA Regional Track Engineer, the 
Regional Track Engineer assigns an Inspector to reinspect the track 
immediately on the completion of repairs. If upon reinspection the 
Inspector determines that necessary repairs have been completed, he 
withdraws the Notice of Track Conditions.



Sec. 216.23  Consideration of recommendation.

    Upon receipt of a Notice of Track Conditions issued under 
Sec. 216.21, the FRA Regional Administrator prepares a recommendation to 
the Administrator concerning the issuance of an Emergency order removing 
the affected track from service. In preparing this recommendation, the 
FRA Regional Administrator considers all written or other material 
bearing on the condition of the track received from the railroad within 
three (3) calendar days of the issuance of the Notice of Track 
Conditions and also considers the report of the FRA Regional Track 
Engineer.

[67 FR 19989, Apr. 23, 2002]



Sec. 216.25  Issuance and review of emergency order.

    (a) Upon recommendation of the FRA Regional Administrator, the 
Administrator may issue an Emergency order removing from service track 
identified in the notice issued under Sec. 216.21.
    (b) As specified in section 203, Public Law No. 91-458, 84 Stat. 972 
(45 U.S.C. 432), opportunity for review of the Emergency order is 
provided in accordance with section 554 of title 5 of the U.S.C. 
Petitions for such review must be submitted in writing to the Office of 
Chief Counsel, Federal Railroad Administration, Washington, DC 20590. 
Upon receipt of a petition, FRA will immediately contact the petitioner 
and make the necessary arrangements

[[Page 190]]

for a conference to be held at the earliest date acceptable to the 
petitioner. At this conference, the petitioner will be afforded an 
opportunity to submit facts, arguments and proposals for modification or 
withdrawal of the Emergency order. If the controversy is not resolved at 
this conference and a hearing is desired, the petitioner must submit a 
written request for a hearing within fifteen (15) days after the 
conference. The hearing will commence within fourteen (14) calendar days 
of receipt of the request and will be conducted in accordance with 
sections 556 and 575, title 5, U.S.C.
    (c) Unless stayed or modified by the Administrator, the requirements 
of each Emergency order issued under this subpart shall remain in effect 
and be observed pending decision on a petition for review.



Sec. 216.27  Reservation of authority and discretion.

    The FRA may issue Emergency orders concerning track without regard 
to the procedures prescribed in this subpart whenever the Administrator 
determines that immediate action is required to assure the public 
safety.



PART 217--RAILROAD OPERATING RULES--Table of Contents




                           Subpart A--General

Sec.
217.1 Purpose.
217.3 Application.
217.4 Definitions.
217.5 Penalty.
217.7 Operating rules; filing and recordkeeping.
217.9 Program of operational tests and inspections; recordkeeping.
217.11 Program of instruction on operating rules; recordkeeping; 
          electronic recordkeeping.
217.13 Information collection.

Appendix A to Part 217--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 39 FR 41176, Nov. 25, 1974, unless otherwise noted.



                           Subpart A--General



Sec. 217.1  Purpose.

    Through the requirements of this part, the Federal Railroad 
Administration learns the condition of operating rules and practices 
with respect to trains and other rolling equipment in the railroad 
industry, and each railroad is required to instruct its employees in 
operating practices.



Sec. 217.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate trains or other rolling equipment on 
standard gage track which is part of the general railroad system of 
transportation.
    (b) This part does not apply to--
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.

[40 FR 2690, Jan. 15, 1975, as amended at 54 FR 33229, Aug. 14, 1989]



Sec. 217.4  Definitions.

    As used in this part--
    Class I, Class II, and Class III have the meaning assigned by 
regulations of the Interstate Commerce Commission (49 CFR part 1201; 
General Instructions 1-1), as those regulations may be revised and 
applied by order of the Commission (including modifications in class 
thresholds based revenue deflator adjustments).
    Division headquarters means the location designated by the railroad 
where a high-level operating manager (e.g., a superintendent, division 
manager, or equivalent), who has jurisdiction over a portion of the 
railroad, has an office.
    System headquarters means the location designated by the railroad as 
the general office for the railroad system.

[59 FR 43070, Aug. 22, 1994]



Sec. 217.5  Penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or

[[Page 191]]

other employee or agent of a railroad; any owner, manufacturer, lessor, 
or lessee of railroad equipment, track, or facilities; any independent 
contractor providing goods or services to a railroad; and any employee 
of such owner, manufacturer, lessor, lessee, or independent contractor) 
who violates any requirement of this part or causes the violation of any 
such requirement is subject to a civil penalty of at least $500 and not 
more than $11,000 per violation, except that: Penalties may be assessed 
against individuals only for willful violations, and, where a grossly 
negligent violation or a pattern of repeated violations has created an 
imminent hazard of death or injury to persons, or has caused death or 
injury, a penalty not to exceed $22,000 per violation may be assessed. 
Each day a violation continues shall constitute a separate offense. See 
appendix A to this part for a statement of agency civil penalty policy.

[53 FR 28599, July 28, 1988, as amended at 53 FR 52927, Dec. 29, 1988; 
63 FR 11620, Mar. 10, 1998]



Sec. 217.7  Operating rules; filing and recordkeeping.

    (a) On or before December 21, 1994, each Class I railroad, Class II 
railroad, the National Railroad Passenger Corporation, and each railroad 
providing commuter service in a metropolitan or suburban area that is in 
operation on November 21, 1994, shall file with the Federal Railroad 
Administrator, Washington, DC 20590, one copy of its code of operating 
rules, timetables, and timetable special instructions which were in 
effect on November 21, 1994. Each Class I railroad, each Class II 
railroad, and each railroad providing commuter service in a metropolitan 
or suburban area that commences operations after November 21, 1994, 
shall file with the Administrator one copy of its code of operating 
rules, timetables, and timetable special instructions before it 
commences operations.
    (b) After November 21, 1994, each Class I railroad, each Class II 
railroad, the National Railroad Passenger Corporation, and each railroad 
providing commuter service in a metropolitan or suburban area shall file 
each new amendment to its code of operating rules, each new timetable, 
and each new timetable special instruction with the Federal Railroad 
Administrator within 30 days after it is issued.
    (c) On or after November 21, 1994, each Class III railroad and any 
other railroad subject to this part but not subject to paragraphs (a) 
and (b) of this section shall keep one copy of its current code of 
operating rules, timetables, and timetable special instructions and one 
copy of each subsequent amendment to its code of operating rules, each 
new timetable, and each new timetable special instruction, at its system 
headquarters, and shall make such records available to representatives 
of the Federal Railroad Administration for inspection and copying during 
normal business hours.

[59 FR 43070, Aug. 22, 1994]



Sec. 217.9  Program of operational tests and inspections; recordkeeping.

    (a) Requirement to conduct operational tests and inspections. Each 
railroad to which this part applies shall periodically conduct 
operational tests and inspections to determine the extent of compliance 
with its code of operating rules, timetables, and timetable special 
instructions in accordance with a written program retained at its system 
headquarters and at the division headquarters for each division where 
the tests are conducted.
    (b) Written program of operational tests and inspections. On or 
after November 21, 1994, or 30 days before commencing operations, 
whichever is later, each railroad to which this part applies shall 
retain one copy of its current program for periodic performance of the 
operational tests and inspections required by paragraph (a) of this 
section and one copy of each subsequent amendment to such program. These 
records shall be retained at the system headquarters of the railroad and 
at the division headquarters for each division where the tests are 
conducted, for three calendar years after the end of the calendar year 
to which they relate. These records shall be made available to 
representatives of the Federal Railroad Administration for inspection 
and copying during normal business hours. The program shall--

[[Page 192]]

    (1) Provide for operational testing and inspection under the various 
operating conditions on the railroad;
    (2) Describe each type of operational test and inspection adopted, 
including the means and procedures used to carry it out;
    (3) State the purpose of each type of operational test and 
inspection;
    (4) State, according to operating divisions where applicable, the 
frequency with which each type of operational test and inspection is 
conducted;
    (5) Begin within 30 days after November 21, 1994, or the date of 
commencing operations, whichever is later; and
    (6) Include a schedule for making the program fully operative within 
210 days after it begins.
    (c) Records of individual tests and inspections. Each railroad to 
which this part applies shall keep a record of the date, time, place, 
and result of each operational test and inspection that was performed in 
accordance with its program. Each record shall specify the officer 
administering the test and inspection and each employee tested. These 
records shall be retained at the system headquarters of the railroad and 
at the division headquarters for each division where the tests are 
conducted for one calendar year after the end of the calendar year to 
which they relate. These records shall be made available to 
representatives of the Federal Railroad Administration for inspection 
and copying during normal business hours.
    (d) Annual summary on operational tests and inspections. Before 
March 1 of each calendar year, each railroad to which this part applies, 
except for a railroad with less than 400,000 total manhours, shall 
retain, at each of its division headquarters and at the system 
headquarters of the railroad, one copy of a written summary of the 
following with respect to its previous year's activities: The number, 
type, and result of each operational test and inspection, stated 
according to operating divisions where applicable, that was conducted as 
required by paragraphs (a) and (b) of this section. These records shall 
be retained for three calendar years after the end of the calendar year 
to which they relate and shall be made available to representatives of 
the Federal Railroad Administration for inspection and copying during 
normal business hours.
    (e) Electronic recordkeeping. Each railroad to which this part 
applies is authorized to retain by electronic recordkeeping the 
information prescribed in paragraphs (b) through (d) of this section, 
provided that all of the following conditions are met:
    (1) The railroad adequately limits and controls accessibility to 
such information retained in its electronic database system and 
identifies those individuals who have such access;
    (2) The railroad has a terminal at the system headquarters and at 
each division headquarters;
    (3) Each such terminal has a desk-top computer (i.e., monitor, 
central processing unit, and keyboard) and either a facsimile machine or 
a printer connected to the computer to retrieve and produce information 
in a usable format for immediate review by FRA representatives;
    (4) The railroad has a designated representative who is authorized 
to authenticate retrieved information from the electronic system as true 
and accurate copies of the electronically kept records; and
    (5) The railroad provides representatives of the Federal Railroad 
Administration with immediate access to these records for inspection and 
copying during normal business hours and provides printouts of such 
records upon request.

[39 FR 41176, Nov. 25, 1974, as amended at 59 FR 43070, Aug. 22, 1994]



Sec. 217.11  Program of instruction on operating rules; recordkeeping; electronic recordkeeping.

    (a) To ensure that each railroad employee whose activities are 
governed by the railroad's operating rules understands those rules, each 
railroad to which this part applies shall periodically instruct each 
such employee on the meaning and application of the railroad's operating 
rules in accordance with a written program retained at its system 
headquarters and at the division headquarters for each division where 
the employee is instructed.
    (b) On or after November 21, 1994, or 30 days before commencing 
operations, whichever is later, each railroad to

[[Page 193]]

which this part applies shall retain one copy of its current program for 
the periodic instruction of its employees as required by paragraph (a) 
of this section and one copy of each subsequent amendment to that 
program. The system headquarters of the railroad shall retain one copy 
of all these records; the division headquarters for each division where 
the employees are instructed shall retain one copy of all portions of 
these records that the division applies and enforces. These records 
shall be made available to representatives of the Federal Railroad 
Administration for inspection and copying during normal business hours. 
This program shall--
    (1) Describe the means and procedures used for instruction of the 
various classes of affected employees;
    (2) State the frequency of instruction and the basis for determining 
that frequency;
    (3) Include a schedule for completing the initial instruction of 
employees who are already employed when the program begins;
    (4) Begin within 30 days after November 21, 1994, or the date of 
commencing operations, whichever is later; and
    (5) Provide for initial instruction of each employee hired after the 
program begins.
    (c) Each railroad to which this part applies is authorized to retain 
by electronic recordkeeping its program for periodic instruction of its 
employees on operating rules provided that the requirements stated in 
Sec. 217.9(e)(1) through (5) of this part are satisfied.

[39 FR 41176, Nov. 25, 1974, as amended at 59 FR 43071, Aug. 22, 1994]



Sec. 217.13  Information collection.

    (a) The information collection requirements in this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1980, Public Law 96-511, and have been 
assigned OMB control number 2130-0035.
    (b) The information collection requirements are found in the 
following sections:
    (1) Section 217.7.
    (2) Section 217.9.
    (3) Section 217.11.

[50 FR 7919, Feb. 27, 1985. Redesignated and amended at 59 FR 43071, 
Aug. 22, 1994]

         Appendix A to Part 217--Schedule Of Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
217.7 Operating rules:
    (a).......................................       $2,500       $5,000
    (b).......................................       $2,000       $5,000
    (c).......................................       $2,500       $5,000
217.9 Operational tests and inspections:
 
    (a) Program...............................       $5,000       $7,500
    (b) Record of program.....................        2,500       $5,000
    (c) Record of tests and inspections.......       $5,000       $7,500
    (d) Annual summary........................       $5,000       $7,500
217.11 Program of instruction on operating
 rules:
    (a).......................................       $5,000       $7,500
    (b).......................................       $2,500       $5,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[59 FR 43071, Aug. 22, 1994, as amended at 63 FR 11620, Mar. 10, 1998]



PART 218--RAILROAD OPERATING PRACTICES--Table of Contents




                           Subpart A--General

Sec.
218.1 Purpose.
218.3 Application.
218.5 Definitions.
218.7 Waivers.
218.9 Civil penalty.
218.11 Filing, testing, and instruction.

[[Page 194]]

              Subpart B--Blue Signal Protection of Workers

218.21 Scope.
218.22 Utility employee.
218.23 Blue signal display.
218.24 One-person crew.
218.25 Workers on a main track.
218.27 Workers on track other than main track.
218.29 Alternate methods of protection.
218.30 Remotely controlled switches.

             Subpart C--Protection of Trains and Locomotives

218.31 Scope.
218.35 Yard limits.
218.37 Flag protection.
218.39 Hump operations.
218.41 Noncompliance with hump operations rule.

      Subpart D--Prohibition Against Tampering With Safety Devices

218.51 Purpose.
218.53 Scope and definitions.
218.55 Tampering prohibited.
218.57 Responsibilities of individuals.
218.59 Responsibilities of railroads.
218.61 Authority to deactivate safety devices.

               Subpart E--Protection of Occupied Camp Cars

218.71 Purpose and scope.
218.73 Warning signal display.
218.75 Methods of protection for camp cars.
218.77 Remotely controlled switches.
218.79 Alternative methods of protection.
218.80 Movement of occupied camp cars.

Appendix A to Part 218--Schedule of Civil Penalties
Appendix B to Part 218--Statement of Agency Enforcement Policy on Blue 
          Signal Protection for Utility Employees
Appendix C to Part 218--Statement of Agency Enforcement Policy on 
          Tampering

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 44 FR 2175, Jan. 10, 1979, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 218 appear at 58 FR 
43292, Aug. 16, 1993.



                           Subpart A--General



Sec. 218.1  Purpose.

    This part prescribes minimum requirements for railroad operating 
rules and practices. Each railroad may prescribe additional or more 
stringent requirements in its operating rules, timetables, timetable 
special instructions, and other special instructions.



Sec. 218.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate rolling equipment on standard gage 
track which is part of the general railroad system of transportation.
    (b) This part does not apply to--
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation, or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.

[44 FR 2175, Jan. 10, 1979, as amended at 53 FR 28599, July 28, 1988]



Sec. 218.5  Definitions.

    Absolute block means a block in which no train is permitted to enter 
while it is occupied by another train.
    Blue signal means a clearly distinguishable blue flag or blue light 
by day and a blue light at night. When attached to the operating 
controls of a locomotive, it need not be lighted if the inside of the 
cab area of the locomotive is sufficiently lighted so as to make the 
blue signal clearly distinguishable.
    Camp car means any on-track vehicle, including outfit, camp, or bunk 
cars or modular homes mounted on flat cars used to house rail employees. 
It does not include wreck trains.
    Car shop repair track area means one or more tracks within an area 
in which the testing, servicing, repair, inspection, or rebuilding of 
railroad rolling equipment is under the exclusive control of mechanical 
department personnel.
    Controlling Locomotive means a locomotive arranged as having the 
only controls over all electrical, mechanical and pneumatic functions 
for one or more locomotives, including controls transmitted by radio 
signals if so equipped. It does not include two or more locomotives 
coupled in multiple

[[Page 195]]

which can be moved from more than one set of locomotive controls.
    Designated crew member means an individual designated under the 
railroad's operating rules as the point of contact between a train or 
yard crew and a utility employee working with that crew.
    Effective locking device when used in relation to a manually 
operated switch or a derail means one which is:
    (1) Vandal resistant;
    (2) Tamper resistant; and
    (3) Capable of being locked and unlocked only by the class, craft or 
group of employees for whom the protection is being provided.
    Flagman's signals means a red flag by day and a white light at 
night, and a specified number of torpedoes and fusees as prescribed in 
the railroad's operating rules.
    Group of workers means two or more workers of the same or different 
crafts assigned to work together as a unit under a common authority and 
who are in communication with each other while the work is being done.
    Interlocking limits means the tracks between the opposing home 
signals of an interlocking.
    Locomotive means a self-propelled unit of equipment designed for 
moving other railroad rolling equipment in revenue service including a 
self-propelled unit designed to carry freight or passenger traffic, or 
both, and may consist of one or more units operated from a single 
control.
    Locomotive servicing track area means one or more tracks, within an 
area in which the testing, servicing, repair, inspection, or rebuilding 
of locomotives is under the exclusive control of mechanical department 
personnel.
    Main track means a track, other than an auxiliary track, extending 
through yards or between stations, upon which trains are operated by 
timetable or train order or both, or the use of which is governed by a 
signal system.
    Rolling equipment includes locomotives, railroad cars, and one or 
more locomotives coupled to one or more cars.
    Switch providing access means a switch which if traversed by rolling 
equipment could permit that rolling equipment to couple to the equipment 
being protected.
    Train or yard crew means one or more railroad employees assigned a 
controlling locomotive, under the charge and control of one crew member; 
called to perform service covered by Section 2 of the Hours of Service 
Act; involved with the train or yard movement of railroad rolling 
equipment they are to work with as an operating crew; reporting and 
working together as a unit that remains in close contact if more than 
one employee; and subject to the railroad operating rules and program of 
operational tests and inspections required in Secs. 217.9 and 217.11 of 
this chapter.
    Utility employee means a railroad employee assigned to and 
functioning as a temporary member of a train or yard crew whose primary 
function is to assist the train or yard crew in the assembly, 
disassembly or classification of rail cars, or operation of trains 
(subject to the conditions set forth in Sec. 218.22 of this chapter).
    Worker means any railroad employee assigned to inspect, test, 
repair, or service railroad rolling equipment, or their components, 
including brake systems. Members of train and yard crews are excluded 
except when assigned such work on railroad rolling equipment that is not 
part of the train or yard movement they have been called to operate (or 
been assigned to as ``utility employees''). Utility employees assigned 
to and functioning as temporary members of a specific train or yard crew 
(subject to the conditions set forth in Sec. 218.22 of this chapter), 
are excluded only when so assigned and functioning.

    Note: Servicing does not include supplying cabooses, locomotives, or 
passenger cars with items such as ice, drinking water, tools, sanitary 
supplies, stationery, or flagging equipment.

    Testing does not include (i) visual observations made by an employee 
positioned on or alongside a caboose, locomotive, or passenger car; or 
(ii) marker inspections made in accordance with the provisions of 
Sec. 221.16(b) of this chapter.

[58 FR 43292, Aug. 16, 1993, as amended at 60 FR 11049, Mar. 1, 1995]

[[Page 196]]



Sec. 218.7  Waivers.

    (a) A railroad may petition the Federal Railroad Administration for 
a waiver of compliance with any requirement prescribed in this part.
    (b) Each petition for a waiver under this section must be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that waiver of compliance is in the 
public interest and is consistent with railroad safety, he may grant the 
waiver subject to any conditions he deems necessary. Notice of each 
waiver granted, including a statement of the reasons, therefore, is 
published in the Federal Register.



Sec. 218.9  Civil penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[53 FR 28599, July 28, 1988, as amended at 53 FR 52928, Dec. 29, 1988; 
63 FR 11621, Mar. 10, 1998]



Sec. 218.11  Filing, testing, and instruction.

    The operating rules prescribed in this part, and any additional or 
more stringent requirements issued by a railroad in relation to the 
operating rules prescribed in this part, shall be subject to the 
provisions of part 217 of this chapter, Railroad Operating Rules: 
Filing, Testing, and Instruction.



              Subpart B--Blue Signal Protection of Workers



Sec. 218.21  Scope.

    This subpart prescribes minimum requirements for the protection of 
railroad employees engaged in the inspection, testing, repair, and 
servicing of rolling equipment whose activities require them to work on, 
under, or between such equipment and subjects them to the danger of 
personal injury posed by any movement of such equipment.



Sec. 218.22  Utility employee.

    (a) A utility employee shall be subject to the Hours of Service Act, 
and the requirements for training and testing, control of alcohol and 
drug use, and hours of service record keeping provided for in parts 217, 
219, and 228 of this chapter.
    (b) A utility employee shall perform service as a member of only one 
train or yard crew at any given time. Service with more than one crew 
may be sequential, but not concurrent.
    (c) A utility employee may be assigned to and serve as a member of a 
train or yard crew without the protection otherwise required by subpart 
D of part 218 of this chapter only under the following conditions:
    (1) The train or yard crew is assigned a controlling locomotive that 
is under the actual control of the assigned locomotive engineer of that 
crew;
    (2) The locomotive engineer is in the cab of the controlling 
locomotive, or, while the locomotive is stationary be replaced in the 
cab by another member of the same crew;
    (3) The utility employee established communication with the crew by 
contacting the designated crew member on arriving at the train (as 
defined for the purpose of this section as one or more locomotives 
coupled, with or without cars) and before commencing any duties with the 
crew.
    (4) Before each utility employee commences duties, the designated 
crew

[[Page 197]]

member shall provide notice to each crew member of the presence and 
identity of the utility employee. Once all crew members have 
acknowledged this notice, the designated crew member shall advise the 
utility employee that he or she is authorized to work as part of the 
crew. Thereafter, communication shall be maintained in such a manner 
that each member of the train or yard crew understands the duties to be 
performed and whether those duties will cause any crew member to go on, 
under, or between the rolling equipment; and
    (5) The utility employee is performing one or more of the following 
functions: set or release hand brakes; couple or uncouple air hoses and 
other electrical or mechanical connections; prepare rail cars for 
coupling; set wheel blocks or wheel chains; conduct air brake tests to 
include cutting air brake components in or out and position retaining 
valves; inspect, test, install, remove or replace a rear end marking 
device or end of train device. Under all other circumstances a utility 
employee working on, under, or between railroad rolling equipment must 
be provided with blue signal protection in accordance with Secs. 218.23 
through 218.30 of this part.
    (d) When the utility employee has ceased all work in connection with 
that train and is no longer on, under, or between the equipment, the 
utility employee shall notify the designated crew member. The designated 
crew member shall then provide notice to each crew member that the 
utility employee is being released from the crew. Once each crew member 
has acknowledged the notice, the designated crew member shall then 
notify the utility employee that he is released from the train or yard 
crew.
    (e) Communications required by Sec. 218.22(c)(4) and (d) shall be 
conducted between the utility employee and the designated crew member. 
This communications shall be conducted either through direct verbal 
contact, by radio in compliance with part 220 of this chapter, or by 
oral telecommunication of equivalent integrity.
    (f) No more than three utility employees may be attached to one 
train or yard crew at any given time.
    (g) Any railroad employee who is not assigned to a train or yard 
crew, or authorized to work with a crew under the conditions set forth 
by paragraph (b) of this section, is a worker required to be provided 
blue signal protection in accordance with Secs. 218.23 through 218.30 of 
this part.
    (h) Nothing in this section shall affect the alternative form of 
protection specified in Sec. 221.16 of this chapter with respect to 
inspection of rear end marking devices.

[58 FR 43293, Aug. 16, 1993, as amended at 60 FR 11050, Mar. 1, 1995]



Sec. 218.23  Blue signal display.

    (a) Blue signals displayed in accordance with Sec. 218.25, 218.27, 
or 218.29 signify that workers are on, under, or between rolling 
equipment. When so displayed--
    (1) The equipment may not be coupled to;
    (2) The equipment may not be moved, except as provided for in 
Sec. 218.29;
    (3) Other rolling equipment may not be placed on the same track so 
as to reduce or block the view of a blue signal, except as provided for 
in Sec. 218.29 (a), (b) and (c); and
    (4) Rolling equipment may not pass a displayed blue signal.
    (b) Blue signals must be displayed in accordance with Sec. 218.25, 
218.27, or 218.29 by each craft or group of workers prior to their going 
on, under, or between rolling equipment and may only be removed by the 
same craft or group that displayed them.



Sec. 218.24  One-person crew.

    (a) An engineer working alone as a one-person crew shall not perform 
duties on, under, or between rolling equipment, without blue signal 
protection that complies with Sec. 218.27 or Sec. 218.29, unless the 
duties to be performed are listed in Sec. 218.22(c)(5) and the following 
protections are provided:
    (1) Each locomotive in the locomotive engineer's charge is either:
    (i) Coupled to the train or other railroad rolling equipment to be 
assisted; or
    (ii) Stopped a sufficient distance from the train or rolling 
equipment to ensure a separation of at least 50 feet; and

[[Page 198]]

    (2) Before a controlling locomotive is left unattended, the one-
member crew shall secure the locomotive as follows:
    (i) The throttle is in the IDLE position;
    (ii) The generator field switch is in the OFF position;
    (iii) The reverser handle is removed (if so equipped);
    (iv) The isolation switch is in the ISOLATE position;
    (v) The locomotive independent (engine) brake valve is fully 
applied;
    (vi) The hand brake on the controlling locomotive is fully applied 
(if so equipped); and
    (vii) A bright orange engineer's tag (a tag that is a minimum of 
three by eight inches with the words ASSIGNED LOCOMOTIVE--DO NOT 
OPERATE) is displayed on the control stand of the controlling 
locomotive.
    (b) When assisting another train or yard crew with the equipment the 
other crew was assigned to operate, a single engineer must communicate 
directly, either by radio in compliance with part 220 of this chapter or 
by oral telecommunication of equivalent integrity, with the crew of the 
train to be assisted. The crews of both trains must notify each other in 
advance of all moves to be made by their respective equipment. Prior to 
attachment or detachment of the assisting locomotive(s), the crew of the 
train to be assisted must inform the single engineer that the train is 
secured against movement. The crew of the train to be assisted must not 
move the train or permit the train to move until authorized by the 
single engineer.

[60 FR 11050, Mar. 1, 1995]

    Effective Date Note: Section 218.24 was added at 60 FR 11050, Mar. 
1, 1995, effective May 15, 1995. At 60 FR 30469, June 9, 1995, 
Sec. 218.24 was suspended effective May 15, 1995.



Sec. 218.25  Workers on a main track.

    When workers are on, under, or between rolling equipment on a main 
track:
    (a) A blue signal must be displayed at each end of the rolling 
equipment; and
    (b) If the rolling equipment to be protected includes one or more 
locomotives, a blue signal must be attached to the controlling 
locomotive at a location where it is readily visible to the engineman or 
operator at the controls of that locomotive.
    (c) When emergency repair work is to be done on, under, or between a 
locomotive or one or more cars coupled to a locomotive, and blue signals 
are not available, the engineman or operator must be notified and 
effective measures must be taken to protect the workers making the 
repairs.

[44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983]



Sec. 218.27  Workers on track other than main track.

    When workers are on, under, or between rolling equipment on track 
other than main track--
    (a) A blue signal must be displayed at or near each manually 
operated switch providing access to that track;
    (b) Each manually operated switch providing access to the track on 
which the equipment is located must be lined against movement to that 
track and locked with an effective locking device; and
    (c) The person in charge of the workers must have notified the 
operator of any remotely controlled switch that work is to be performed 
and have been informed by the operator that each remotely controlled 
switch providing access to the track on which the equipment is located 
has been lined against movement to that track and locked as prescribed 
in Sec. 218.30.
    (d) If rolling equipment requiring blue signal protection as 
provided for in this section is on a track equipped with one or more 
crossovers, both switches of each crossover must be lined against 
movement through the crossover toward that rolling equipment, and the 
switch of each crossover that provides access to the rolling equipment 
must be protected in accordance with the provisions of paragraphs (a) 
and (b), or (c) of this section.
    (e) If the rolling equipment to be protected includes one or more 
locomotives, a blue signal must be attached to the controlling 
locomotive at a location where it is readily visible to the engineman or 
operator at the controls of that locomotive.

[[Page 199]]



Sec. 218.29  Alternate methods of protection.

    Instead of providing blue signal protection for workers in 
accordance with Sec. 218.27, the following methods for blue signal 
protection may be used:
    (a) When workers are on, under, or between rolling equipment in a 
locomotive servicing track area:
    (1) A blue signal must be displayed at or near each switch providing 
entrance to or departure from the area;
    (2) Each switch providing entrance to or departure from the area 
must be lined against movement to the area and locked with an effective 
locking device; and
    (3) A blue signal must be attached to each controlling locomotive at 
a location where it is readily visible to the engineman or operator at 
the controls of that locomotive;
    (4) If the speed within this area is resticted to not more than 5 
miles per hour a derail, capable of restricting access to that portion 
of a track within the area on which the rolling equipment is located, 
will fulfill the requirements of a manually operated switch in 
compliance with paragraph (a)(2) of this section when positioned at 
least 50 feet from the end of the equipment to be protected by the blue 
signal, when locked in a derailing position with an effective locking 
device, and when a blue signal is displayed at the derail;
    (5) A locomotive may be moved onto a locomotive servicing area track 
after the blue signal has been removed from the entrance switch to the 
area. However, the locomotive must be stopped short of coupling to 
another locomotive;
    (6) A locomotive may be moved off of a locomotive servicing area 
track after the blue signal has been removed from the controlling 
locomotive to be moved and from the area departure switch;
    (7) If operated by an authorized employee under the direction of the 
person in charge of the workers, a locomotive protected by blue signals 
may be repositioned within this area after the blue signal has been 
removed from the locomotive to be repositioned and the workers on the 
affected track have been notified of the movement; and
    (8) Blue signal protection removed for the movement of locomotives 
as provided in paragraphs (a) (5) and (6) of this section must be 
restored immediately after the locomotive has cleared the switch.
    (b) When workers are on, under, or between rolling equipment in a 
car shop repair track area:
    (1) A blue signal must be displayed at or near each switch providing 
entrance to or departure from the area; and
    (2) Each switch providing entrance to or departure from the area 
must be lined against movement to the area and locked with an effective 
locking device;
    (3) If the speed within this area is restricted to not more than 5 
miles per hour, a derail capable of restricting access to that portion 
of a track within the area on which the rolling equipment is located 
will fulfill the requirements of a manually operated switch in 
compliance with paragraph (a)(2) of this section when positioned at 
least 50 feet from the end of the equipment to be protected by the blue 
signal, when locked in a derailing position with an effective locking 
device and when a blue signal is displayed at the derail;
    (4) If operated by an authorized employee under the direction of the 
person in charge of the workemen, a car mover may be used to reposition 
rolling equipment within this area after workers on the affected track 
have been notified of the movement.
    (c) Except as provided in paragraphs (a) and (b) of this section, 
when workers are on, under, or between rolling equipment on any track, 
other than a main track:
    (1) A derail capable of restricting access to that portion of the 
track on which such equipment is located, will fulfill the requirements 
of a manually operated switch when positioned no less than 150 feet from 
the end so such equipment; and
    (2) Each derail must be locked in a derailing position with an 
effective locking device and a blue signal must be displayed at each 
derail.
    (d) When emergency repair work is to be done on, under, or between a 
locomotive or one or more cars coupled to a locomotive, and blue signals 
are not available, the engineman or operator at the controls of that 
locomotive

[[Page 200]]

must be notified and effective measures must be taken to protect the 
workers making the repairs.

[44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983]



Sec. 218.30  Remotely controlled switches.

    (a) After the operator of the remotely controlled switches has 
received the notification required by Sec. 218.27(c), he must line each 
remotely controlled switch against movement to that track and apply an 
effective locking device to the lever, button, or other device 
controlling the switch before he may inform the employee in charge of 
the workers that protection has been provided.
    (b) The operator may not remove the locking device unless he has 
been informed by the person in charge of the workers that it is safe to 
do so.
    (c) The operator must maintain for 15 days a written record of each 
notification which contains the following information:
    (1) The name and craft of the employee in charge who provided the 
notification;
    (2) The number or other designation of the track involved;
    (3) The date and time the operator notified the employee in charge 
that protection had been provided in accordance with paragraph (a) of 
this section; and
    (4) The date and time the operator was informed that the work had 
been completed, and the name and craft of the employee in charge who 
provided this information.

[44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983]



             Subpart C--Protection of Trains and Locomotives



Sec. 218.31  Scope.

    This subpart prescribes minimum operating rule requirements for the 
protection of railroad employees engaged in the operation of trains, 
locomotives and other rolling equipment.

[42 FR 5065, Jan. 27, 1977]



Sec. 218.35  Yard limits.

    (a) After August 1, 1977, yard limits must be designated by--
    (1) Yard limit signs, and
    (2) Timetable, train orders, or special instructions.
    (b) After August 1, 1977, each railroad must have in effect an 
operating rule which complies with the requirements set forth below:
    (1) The main tracks within yard limits may be used, clearing the 
time an approaching designated class train is due to leave the nearest 
station where time is shown. In case of failure to clear the time of 
designated class trains, protection must be provided as Sec. 218.37. In 
yard limits where main tracks are governed by block signal system rules, 
protection as prescribed by Sec. 218.37 is not required.
    (2) Trains and engines, except designated class trains, within yard 
limits must move prepared to stop within onehalf the range of vision but 
not exceeding 20 m.p.h. unless the main track is known to be clear by 
block signal indications.
    (3) Within yard limits, movements against the current of traffic on 
the main tracks must not be made unless authorized and protected by 
train order, yardmaster, or other designated official and only under the 
operating restrictions prescribed in Sec. 218.35(b)(2).
    (c) Each railroad shall designate in the operating rule prescribed 
under paragraph (b) of this section the class or classes of trains which 
shall have superiority on the main track within yard limits.

[42 FR 5065, Jan. 27, 1977]



Sec. 218.37  Flag protection.

    (a) After August 1, 1977, each railroad must have in effect an 
operating rule which complies with the requirements set forth below:
    (1) Except as provided in paragraph (a)(2) of this section, flag 
protection shall be provided--
    (i) When a train is moving on the main track at less than one-half 
the maximum authorized speed (including slow order limits) in that 
territory, flag protection against following trains on the same track 
must be provided by a crew member by dropping off single

[[Page 201]]

lighted fusees at intervals that do not exceed the burning time of the 
fusee.
    (ii) When a train is moving on the main track at more than one-half 
the maximum authorized speed (including slow order limits) in that 
territory under circumstances in which it may be overtaken, crew members 
responsible for providing protection will take into consideration the 
grade, curvature of track, weather conditions, sight distance and 
relative speed of his train to following trains and will be governed 
accordingly in the use of fusees.
    (iii) When a train stops on main track, flag protection against 
following trains on the same track must be provided as follows: A crew 
member with flagman's signals must immediately go back at least the 
distance prescribed by timetable or other instructions for the 
territory, place at least two torpedoes on the rail at least 100 feet 
apart and display one lighted fusee. He may then return one-half of the 
distance to his train where he must remain until he has stopped the 
approaching train or is recalled. When recalled, he must leave one 
lighted fusee and while returning to his train, he must also place 
single lighted fusees at intervals that do not exceed the burning time 
of the fusee. When the train departs, a crew member must leave one 
lighted fusee and until the train resumes speed not less than one-half 
the maximum authorized speed (including slow order limits) in that 
territory, he must drop off single lighted fusees at intervals that do 
not exceed the burning time of the fusee.
    (iv) When required by the railroad's operating rules, a forward crew 
member with flagman's signals must protect the front of his train 
against opposing movements by immediately going forward at least the 
distance prescribed by timetable or other instructions for the territory 
placing at least two torpedoes on the rail at least 100 feet apart, 
displaying one lighted fusee, and remaining at that location until 
recalled.
    (v) Whenever a crew member is providing flag protection, he must not 
permit other duties to interfere with the protection of his train.
    (2) Flag protection against following trains on the same track is 
not required if--
    (i) The rear of the train is protected by at least two block 
signals;
    (ii) The rear of the train is protected by an absolute block;
    (iii) The rear of the train is within interlocking limits; or
    (iv) A train order specifies that flag protection is not required.
    (v) A railroad operates only one train at any given time.
    (b) Each railroad shall designate by timetable or other instruction 
for each territory the specific distance which a crew member providing 
flag protection must go out in order to provide adequate protection for 
his train.
    (c) Whenever the use of fusees is prohibited by a Federal, State or 
local fire regulation, each railroad operating within that jurisdiction 
shall provide alternate operating procedures to assure full protection 
of trains in lieu of flag protection required by this section.

[42 FR 5065, Jan. 27, 1977, as amended at 42 FR 38362, July 28, 1977]



Sec. 218.39  Hump operations.

    After June 30, 1984, each railroad that operates a remote control 
hump yard facility must have in effect an operating rule that adopts the 
following provisions in substance:
    (a) When a train or engine service employee is required to couple an 
air hose or to adjust a coupling device and that activity will require 
that the employee place himself between pieces of rolling equipment 
located on a bowl track, the operator of any remotely controlled switch 
that provides access from the apex of the hump to the track on which the 
rolling equipment is located shall be notified;
    (b) Upon such notification, the operator of such remotely controlled 
switch shall line it against movement to the affected bowl track and 
shall apply a locking or blocking device to the control for that switch; 
and
    (c) The operator shall then notify the employee that the requested 
protection has been provided and shall remove the locking or blocking 
device only after being notified by the employee that

[[Page 202]]

protection is no longer required on that track.

(Sec. 202, 84 Stat. 971 (45 U.S.C. 431); sec. 1.49(m) of the regulations 
of the Secretary of Transportation (49 CFR 1.49(m))

[49 FR 6497, Feb. 22, 1984]



Sec. 218.41  Noncompliance with hump operations rule.

    A person (including a railroad and any manager, supervisor, 
official, or other employee or agent of a railroad) who fails to comply 
with a railroad's operating rule issued pursuant to Sec. 218.39 of this 
part is subject to a penalty, as provided in appendix A of this part.

[53 FR 52928, Dec. 29, 1988]



      Subpart D--Prohibition Against Tampering With Safety Devices

    Source: 54 FR 5492, Feb. 3, 1989, unless otherwise noted.



Sec. 218.51  Purpose.

    (a) The purpose of this subpart is to prevent accidents and 
casualties that can result from the operation of trains when safety 
devices intended to improve the safety of their movement have been 
disabled.
    (b) This subpart does not prohibit intervention with safety devices 
that is permitted:
    (1) Under the provisions of Sec. 236.566 or Sec. 236.567 of this 
chapter;
    (2) Under the provisions of Sec. 218.61 of this part; or
    (3) Under the provisions of Sec. 229.9 of this chapter, provided 
that when a locomotive is being operated under the provision of 
Sec. 229.9(b) a designated officer has been notified of the defective 
alerter or deadman pedal at the first available point of communication.

[54 FR 5492, Feb. 3, 1989, as amended at 58 FR 36613, July 8, 1993]



Sec. 218.53  Scope and definitions.

    (a) This subpart establishes standards of conduct for railroads and 
individuals who operate or permit to be operated locomotives equipped 
with one or more of the safety devices identified in paragraph (c) of 
this section.
    (b) Disable means to unlawfully render a device incapable of proper 
and effective action or to materially impair the functioning of that 
device.
    (c) Safety device means any locomotive-mounted equipment that is 
used either to assure that the locomotive operator is alert, not 
physically incapacitated, aware of and complying with the indications of 
a signal system or other operational control system or to record data 
concerning the operation of that locomotive or the train it is powering. 
See appendix B to this part for a statement of agency policy on this 
subject.



Sec. 218.55  Tampering prohibited.

    Any individual who willfully disables a safety device is subject to 
a civil penalty as provided in appendix A of this part and to 
disqualification from performing safety-sensitive functions on a 
railroad if found unfit for such duties under the procedures provided 
for in 49 CFR part 209.



Sec. 218.57  Responsibilities of individuals.

    Any individual who knowingly operates a train, or permits it to be 
operated, when the controlling locomotive of that train is equipped with 
a disabled safety device, is subject to a civil penalty as provided for 
in appendix A of this part and to disqualification from performing 
safety-sensitive functions on a railroad if found to be unfit for such 
duties. See appendix B to this part for a statement of agency 
enforcement policy concerning violations of this section.



Sec. 218.59  Responsibilities of railroads.

    Any railroad that operates a train when the controlling locomotive 
of a train is equipped with a disabled safety device is subject to a 
civil penalty as provided for in appendix A of this part.



Sec. 218.61  Authority to deactivate safety devices.

    (a) For the purpose of this chapter, it is lawful to temporarily 
render a safety device incapable of proper or effective action or to 
materially impair its function if this action is taken as provided for 
in paragraph (b) or (c) of this section.

[[Page 203]]

    (b) If a locomotive is equipped with a device to assure that the 
operator is alert or not physically incapacitated, that device may be 
deactivated when:
    (1) The locomotive is not the controlling locomotive;
    (2) The locomotive is performing switching operations and not 
hauling cars in a manner that constitutes a train movement under part 
232 of this chapter:
    (3) The locomotive is dead-in-tow; or
    (4) The locomotive is a mid-train slave unit being controlled by 
radio from a remote location.
    (c) If a locomotive is equipped with a device to record data 
concerning the operation of that locomotive and/or of the train it is 
powering, that device may be deactivated only in accordance with the 
provisions of Sec. 229.135.

[54 FR 5492, Feb. 3, 1989, as amended at 58 FR 36613, July 8, 1993]



               Subpart E--Protection of Occupied Camp Cars

    Source: 54 FR 39545, Sept. 27, 1989, unless otherwise noted.



Sec. 218.71  Purpose and scope.

    This subpart prescribes minimum requirements governing protection of 
camp cars that house railroad employees. The rule does not apply to such 
cars while they are in a train.



Sec. 218.73  Warning signal display.

    (a) Warning signals, i.e., a white disk with the words ``Occupied 
Camp Car'' in black lettering during daylight hours and an illuminated 
white signal at night, displayed in accordance with Sec. 218.75, 
Sec. 218.77, or Sec. 218.79 signify that employees are in, around, or in 
the vicinity of camp cars. Once the signals have been displayed--
    (1) The camp cars may not be moved for coupling to other rolling 
equipment or moved to another location;
    (2) Rolling equipment may not be placed on the same track so as to 
reduce or block the view of a warning signal; and
    (3) Rolling equipment may not pass a warning signal.
    (b) Warning signals indicating the presence of occupied camp cars, 
displayed in accordance with Secs. 218.75 and 218.79, shall be displayed 
by a designated occupant of the camp cars or that person's immediate 
supervisor. The signal(s) shall be displayed as soon as such cars are 
placed on the track, and such signals may only be removed by those same 
individuals prior to the time the cars are moved to another location.



Sec. 218.75  Methods of protection for camp cars.

    When camp cars requiring protection are on either main track or 
track other than main track:
    (a) A warning signal shall be displayed at or near each switch 
providing access to that track;
    (b) The person in charge of the camp car occupants shall immediately 
notify the person responsible for directing train movements on that 
portion of the railroad where the camp cars are being parked;
    (c) Once notified of the presence of camp cars and their location on 
main track or other than main track, the person responsible for 
directing train movements on that portion of the railroad where the camp 
cars are being parked shall take appropriate action to alert affected 
personnel to the presence of the cars;
    (d) Each manually operating switch providing access to track on 
which the camp cars are located shall be lined against movement to that 
track and secured with an effective locking device and spiked; and
    (e) Each remotely controlled switch providing access to the track on 
which the camp cars are located shall be protected in accordance with 
Sec. 218.77.



Sec. 218.77  Remotely controlled switches.

    (a) After the operator of the remotely controlled switch is notified 
that a camp car is to be placed on a particular track, he shall line 
such switch against movement to that track and apply an effective 
locking device applied to the lever, button, or other device controlling 
the switch before informing the person in charge of the camp car 
occupants that protection has been provided.
    (b) The operator may not remove the locking device until informed by 
the

[[Page 204]]

person in charge of the camp car occupants that protection is no longer 
required.
    (c) The operator shall maintain for 15 days a written record of each 
notification that contains the following information:
    (1) The name and craft of the employee in charge who provided the 
notification;
    (2) The number or other designation of the track involved;
    (3) The date and time the operator notified the employee in charge 
that protection had been provided in accordance with paragraph (a) of 
this section; and
    (4) The date and time the operator was informed that the work had 
been completed, and the name and craft of the employee in charge who 
provided this information.
    (d) When occupied camp cars are parked on main track, a derail, 
capable of restricting access to that portion of the track on which such 
equipment is located, shall be positioned no less than 150 feet from the 
end of such equipment and locked in a derailing position with an 
effective locking device, and a warning signal must be displayed at the 
derail.



Sec. 218.79  Alternative methods of protection.

    Instead of providing protection for occupied camp cars in accordance 
with Sec. 218.75 or Sec. 218.77, the following methods of protection may 
be used:
    (a) When occupied camp cars are on track other than main track:
    (1) A warning signal must be displayed at or near each switch 
providing access to or from the track;
    (2) Each switch providing entrance to or departure from the area 
must be lined against movement to the track and locked with an effective 
locking device; and
    (3) If the speed within this area is restricted to not more than 
five miles per hour, a derail, capable of restricting access to that 
portion of track on which the camp cars are located, will fulfill the 
requirements of a manually operated switch in compliance with paragraph 
(a)(2) of this section when positioned at least 50 feet from the end of 
the camp cars to be protected by the warning signal, when locked in a 
derailing position with an effective locking device, and when a warning 
signal is displayed at the derail.
    (b) Except as provided in paragraph (a) of this section, when 
occupied camp cars are on track other than main track:
    (1) A derail, capable of restricting access to that portion of the 
track on which such equipment is located, will fulfill the requirements 
of a manually operated switch when positioned no less than 150 feet from 
the end of such equipment; and
    (2) Each derail must be locked in a derailing position with an 
effective locking device and a warning signal must be displayed at each 
derail.



Sec. 218.80  Movement of occupied camp cars.

    Occupied cars may not be humped or flat switched unless coupled to a 
locomotive.

         Appendix A to Part 218--Schedule of Civil Penalties \1\
---------------------------------------------------------------------------

    \1\ Except as provided for in Sec. 218.57, a penalty may be assessed 
against an individual only for a willful violation. The Administrator 
reserves the right to assess a penalty of up to $22,000 for any 
violation where the circumstances warrant. See 49 CFR part 209, appendix 
A.

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
Subpart B--Blue signal protection of workmen:
    218.22 Utility employees:
        (a) Employee qualifications...........       $5,000       $7,500

[[Page 205]]

 
        (b) Concurrent service................        5,000        7,500
        (c) Assignment conditions.............
        (1) No controlling locomotive.........        5,000        7,500
        (2) Empty cab.........................        5,000        7,500
        (3)(4) Improper communication.........        5,000        7,500
        (5) Performing functions not listed...        2,000        4,000
        (d) Improper release of utility               2,000        4,000
         employee.............................
        (f) More than three utility employees         2,000        4,000
         with one crew........................
    218.23 Blue signal display                        5,000        7,500
    218.24 One-person crew:
        (a)(1) Equipment not coupled or               2,000        4,000
         insufficiently separated.............
        (a)(2) Unoccupied locomotive cab not          5,000        7,500
         secured..............................
        (b) Helper service....................        2,000        4,000
    218.25 Workmen on a main track                    5,000        7,500
    218.27 Workmen on track other than main
     track:
        (a) Protection provided except that           2,000        4,000
         signal not displayed at switch.......
        (b) through (e).......................        5,000        7,500
    218.29 Alternate methods of protection:
        (a)(1) protection provided except that        2,000        4,000
         signal not displayed at switch.......
        (a)(2) through (a)(8).................        5,000        7,500
        (b)(1) Protection provided except that        2,000        4,000
         signal not displayed at switch.......
        (b)(2) through (b)(4).................        5,000        7,500
        (c) Use of derails....................        5,000        7,500
        (d) Emergency repairs.................        5,000        7,500
    218.30 Remotely controlled switches:
        (a) and (b)...........................        5,000        7,500
        (c)...................................        1,000        2,000
Subpart C--Protection of trains and
 locomotives:
    218.35 Yard limits:
        (a) and (b)...........................        5,000        7,500
        (c)...................................        1,000        2,000
    218.37 Flag protection:
        (a)...................................        5,000        7,500
        (b) and (c)...........................        5,000        7,500
    218.39 Hump operations....................        5,000        7,500
    218.41 Noncompliance with hump operations         5,000        7,500
     rule.....................................
Subpart D--Prohibition against tampering with
 safety devices:
    218.55 Tampering..........................  ...........        7,500
    218.57 (i) Knowingly operating or                 2,500  ...........
     permitting operation of disabled
     equipment................................
         (ii) Willfully operating or            ...........        5,000
         permitting operation of disabled
         equipment............................
    218.59 Operation of disabled equipment....        2,500        5,000
------------------------------------------------------------------------


[53 FR 52928, Dec. 29, 1988, as amended at 54 FR 5492, Feb. 3, 1989; 58 
FR 43293, Aug. 16, 1993; 60 FR 11050, Mar. 1, 1995; 63 FR 11621, Mar. 
10, 1998]

 Appendix B to Part 218--Statement of Agency Enforcement Policy on Blue 
                 Signal Protection for Utility Employees

    The following examples of the application of the train or yard crew 
exclusion from required blue signal protection for utility employees are 
provided to clarify FRA's enforcement policy. In the first four 
examples, the utility employee is properly attached to and functioning 
as member of a train or yard crew and is excluded from blue signal 
protection, provided all the conditions specified in Sec. 218.22 are 
met:
    Example 1: A utility employee assists a train crew by adding or 
reducing railroad cars to or from the train. The utility employee may 
perform any duties which would normally be conducted by members of the 
train crew, i.e., setting or releasing handbrakes, coupling air hoses 
and other connections, prepare rail cars for coupling, and perform air 
brake tests.
    Example 2: A utility employee is assigned to assist a yard crew for 
the purpose of classifying and assembling railroad cars. The yard crew 
onboard their locomotive arrives at the location in the yard where the 
work is to be performed. At that time, the utility employee may attach 
himself to the yard crew and commence duties as a member of that yard 
crew.
    Example 3: A utility employee is assigned to inspect, test, remove 
and replace if necessary, a combination rear end marking device/end of 
train device on a through freight train. The utility employee attaches 
himself to the train crew after the arrival of the train and its crew at 
the location where this work is to be conducted. He may then perform 
duties as a member of that crew.
    Example 4: A railroad manager who properly attaches himself as a 
utility employee

[[Page 206]]

to a train or yard crew, in accordance with Sec. 218.22, may then 
function as a member of the train or yard crew under the exclusion 
provided for train and yard crews.

    Note: In the last four examples, any railroad employee, including 
regularly assigned crew members, would need blue signal protection to 
perform the described function.

    Example 5: Prior to the arrival of a through freight train, a 
utility employee installs an end-of-train device on one end of a block 
of railroad cars that are scheduled to be picked up by the freight 
train.
    Example 6: A railroad employee attaches himself to a train or yard 
crew while the crew is in the ready room preparing to take charge of 
their train. Prior to the train crew leaving the ready room and taking 
charge of the equipment, the employee couples air hoses and other 
connections between the locomotives.
    Example 7: A railroad employee is attached to a train crew after the 
train crew has taken charge of the train. It is necessary for the 
employee to perform a repair on a rail car, such as replacing a brake 
shoe, in addition to those duties normally performed by train or yard 
crew members.
    Example 8: A train or yard crew, supplemented by three utility 
employees, has an assigned locomotive and train. The regular crew, 
including the engineer, has left the train to eat lunch. The utility 
employees have remained with the train and are coupling air hoses 
between rail cars in the train.

[58 FR 43293, Aug. 16, 1993]

   Appendix C to Part 218--Statement of Agency Enforcement Policy on 
                                Tampering

    The Rail Safety Improvement Act of 1988 (Pub. L. 100-342, enacted 
June 22, 1988) (``RSIA'') raised the maximum civil penalties available 
under the railroad safety laws and made individuals liable for willful 
violations of those laws. Section 21 of the RSIA requires that FRA adopt 
regulations addressing three related but distinct aspects of problems 
that can occur when safety devices are tampered with or disabled. It 
requires that FRA make it unlawful for (i) any individual to willfully 
tamper with or disable a device; (ii) any individual to knowingly 
operate or permit to be operated a train with a tampered or disabled 
device; and (iii) any railroad to operate such a train.
    Because the introduction of civil penalties against individuals 
brings FRA's enforcement of the rail safety laws into a new era and 
because the changes being introduced by this regulation are so 
significant, FRA believes that it is advisable to set forth the manner 
in which it will exercise its enforcement authority under this 
regulation.

                   Safety Devices Covered by This Rule

    FRA has employed a functional description of what constitutes a 
safety device under this rule. FRA's wording effectively identifies 
existing equipment and is sufficiently expansive to cover equipment that 
may appear in the future, particularly devices associated with advanced 
train control systems currently undergoing research testing.
    FRA has been advised by portions of the regulated community that its 
functional definition has some potential for confusing people who read 
the rule without the benefit of the preamble discussions concerning the 
meaning of this definition. Since this rule is specifically intended to 
preclude misconduct by individuals, FRA wants this rule to be easily 
comprehended by all who read it. To achieve that clarity, FRA has decide 
to specify which types of equipment it considers to be within the scope 
of this rule and provide some examples of equipment that is not covered. 
In addition, FRA is ready and willing to respond in writing to any 
inquiry about any other devices that a party believes are treated 
ambiguously under this rule. This regulation applies to a variety of 
devices including equipment known as ``event recorders,'' ``alerters,'' 
``deadman controls,'' ``automatic cab signals,'' ``cab signal 
whistles,'' ``automatic train stop equipment,'' and ``automatic train 
control equipment.'' FRA does not consider the following equipment to be 
covered by this rule: Radios; monitors for end-of-train devices; bells 
or whistles that are not connected to alerters, deadman pedals, or 
signal system devices; fans for controlling interior temperature of 
locomotive cabs; and locomotive performance monitoring devices, unless 
they record data such as train speed and air brake operations. Although 
FRA considers such devices beyond the scope of the regulation, this does 
not imply that FRA condones the disabling of such devices. FRA will not 
hesitate to include such devices at a later date should instances of 
tampering with these devices be discovered. FRA does not currently 
perceive a need to directly proscribe tampering with such devices 
because there is no history of these devices being subjected to 
tampering.

          Subsequent Operators of Trains With Disabled Devices

    Section 218.57 addresses instances in which one individual has 
tampered with a safety device and a second individual (a ``subsequent 
operator'') knowingly operates a train or permits it to be operated, 
notwithstanding the presence of the disabled or tampered-with unit. The 
most common occurrence addressed by this provision is the situation in 
which a train crew encounters a locomotive with a safety device that has 
been tampered with prior to the crew's assuming responsibility for the 
locomotive. FRA has

[[Page 207]]

structured this provision and its attendant enforcement policy to 
reflect the fact that instances in which one individual encounters a 
locomotive that someone else has tampered with are relatively infrequent 
occurrences.
    FRA's regulatory prohibition for subsequent operator conduct 
reflects the legal standard for individual culpability set forth in the 
RSIA. Under the relevant statutory standard (``knowingly operates or 
permits to be operated a train on which such devices have been tampered 
with or disabled by another person'')--now incorporated into 
Sec. 218.57--individuals could be held to a simple negligence standard 
of conduct, i.e., a standard of reasonable care under the circumstances. 
FRA's conclusion about the proper interpretation of the word 
``knowingly'' stems from both normal canons of statutory construction 
and analysis of decisional law concerning the use of similar statutory 
constructs in the civil penalty context. It is also consistent with 
other Departmental interpretations of the word as used in similar 
contexts. (See 49 CFR 107.299, defining ``knowingly'' under the 
Hazardous Materials Transportation Act, 49 App. U.S.C. 1801 et seq.)
    Under that statutory language, the responsible members of the crew 
could be culpable if either (1) due to their failure to exercise 
reasonable care, they failed to determine that the safety device was not 
functioning, or (2) having ascertained that the device was not 
functioning, still elected to operate the train. Similarly, railroad 
supervisors who permit or direct that a train with a disabled device be 
operated after having learned that the safety device is not functioning 
or after having failed to use reasonable care in the performance of 
their duties could also be subject to sanction.
    However, as a matter of enforcement policy, application of a 
negligence standard in this particular context presently appears 
unwarranted. We have seen no evidence of an employee's negligent failure 
to detect another employee's tampering having caused a safety problem. 
FRA can effectively attack the known dimensions of the tampering problem 
by employing an enforcement policy that limits its enforcement actions 
to situations where individuals clearly had actual knowledge of the 
disabled device and intentionally operated the train notwithstanding 
that knowledge.
    Therefore, FRA will not take enforcement action against an 
individual under Sec. 218.57 absent a showing of such actual knowledge 
of the facts. Actual, subjective knowledge need not be demonstrated. It 
will suffice to show objectively that the alleged violator must have 
known the facts based on reasonable inferences drawn from the 
circumstances. For example, it is reasonable to infer that a person 
knows about something plainly in sight on the locomotive he is 
operating. Also, unlike the case where willfulness must be shown (see 
FRA's statement of policy at 49 CFR part 209, appendix A), knowledge of 
or reckless disregard for the law need not be shown to make out a 
violation of Sec. 218.57. The knowledge relevant here is knowledge of 
the facts constituting the violation, not knowledge of the law.
    Should FRA receive evidence indicating that a stricter enforcement 
policy is necessary to address the tampering problem, it will revise its 
enforcement policy to permit enforcement actions based only on a showing 
of the subsequent operator's negligent failure to detect the tampering, 
as the relevant provision of the RSIA permits it to do now. Any such 
change in enforcement policy will become effective only after 
publication of a revised version of this appendix.

[54 FR 5492, Feb. 3, 1989. Redesignated and amended at 58 FR 43293, Aug. 
16, 1993]



PART 219--CONTROL OF ALCOHOL AND DRUG USE--Table of Contents




                           Subpart A--General

Sec.
219.1 Purpose and scope.
219.3 Application.
219.5 Definitions.
219.7 Waivers.
219.9 Responsibility for compliance.
219.11 General conditions for chemical tests.
219.13 Preemptive effect.
219.15 [Reserved]
219.17 Construction.
219.19 [Reserved]
219.21 Information collection.
219.23 Railroad policies.

                         Subpart B--Prohibitions

219.101 Alcohol and drug use prohibited.
219.102 Prohibition on abuse of controlled substances.
219.103 Prescribed and over-the-counter drugs.
219.104 Responsive action.
219.105 Railroad's duty to prevent violations.
219.107 Consequences of unlawful refusal.

             Subpart C--Post-Accident Toxicological Testing

219.201 Events for which testing is required.
219.203 Responsibilities of railroads and employees.
219.205 Specimen collection and handling.
219.206 FRA access to breath test results.
219.207 Fatality.
219.209 Reports of tests and refusals.
219.211 Analysis and follow-up.
219.213 Unlawful refusals; consequences.

[[Page 208]]

                      Subpart D--Testing for Cause

219.300 Mandatory reasonable suspicion testing.
219.301 Testing for reasonable cause.
219.302 Prompt specimen collection; time limitation.

             Subpart E--Identification of Troubled Employees

219.401 Requirement for policies.
219.403 Voluntary referral policy.
219.405 Co-worker report policy.
219.407 Alternate policies.

                     Subpart F--Pre-Employment Tests

219.501 Pre-employment drug testing.
219.502 Pre-employment alcohol testing.
219.503 Notification; records.
219.505 Refusals.

           Subpart G--Random Alcohol and Drug Testing Programs

219.601 Railroad random drug testing programs.
219.602 FRA Administrator's determination of random drug testing rate.
219.603 Participation in drug testing.
219.605 Positive drug test results; procedures.
219.607 Railroad random alcohol testing programs.
219.608 FRA Administrator's determination of random alcohol testing 
          rate.
219.609 Participation in alcohol testing.
219.611 Test result indicating prohibited alcohol concentration; 
          procedures.

             Subpart H--Drug and Alcohol Testing Procedures

219.701 Standards for drug and alcohol testing.

                        Subpart I--Annual Report

219.801 Reporting alcohol misuse prevention program results in a 
          management information system.
219.803 Reporting drug misuse prevention program results in a management 
          information system.

                  Subpart J--Recordkeeping Requirements

219.901 Retention of alcohol testing records.
219.903 Retention of drug testing records.
219.905 Access to facilities and records.

Appendix A to Part 219--Schedule of Civil Penalties
Appendix B to Part 219--Designation of Laboratory for Post-Accident 
          Toxicological Testing
Appendix C to Part 219--Post-Accident Testing Specimen Collection

    Authority: 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311; 28 
U.S.C. 2461, note; and 49 CFR 1.49(m).

    Source: 66 FR 41973, Aug. 9, 2001, unless otherwise noted.



                           Subpart A--General



Sec. 219.1  Purpose and scope.

    (a) The purpose of this part is to prevent accidents and casualties 
in railroad operations that result from impairment of employees by 
alcohol or drugs.
    (b) This part prescribes minimum Federal safety standards for 
control of alcohol and drug use. This part does not restrict a railroad 
from adopting and enforcing additional or more stringent requirements 
not inconsistent with this part.



Sec. 219.3  Application.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
this part applies to--
    (1) Railroads that operate rolling equipment on standard gauge track 
which is part of the general railroad system of transportation; and
    (2) Railroads that provide commuter or other short-haul rail 
passenger service in a metropolitan or suburban area (as described by 49 
U.S.C. 20102).
    (b)(1) This part does not apply to a railroad that operates only on 
track inside an installation which is not part of the general railroad 
system of transportation.
    (2) Subparts D, E, F and G of this part do not apply to a railroad 
that employs not more than 15 employees covered by the hours of service 
laws at 49 U.S.C. 21103, 21104, or 21105, and that does not operate on 
tracks of another railroad (or otherwise engage in joint operations with 
another railroad) except as necessary for purposes of interchange.
    (3) Subpart I of this part does not apply to a railroad that has 
fewer than 400,000 total manhours.
    (c) Subparts E, F and G of this part do not apply to operations of a 
foreign railroad conducted by covered service employees whose primary 
place of service (``home terminal'') for rail transportation services is 
located outside the United States. Such operations and

[[Page 209]]

employees are subject to Subparts A, B, C, and D of this part when 
operating in United States territory.



Sec. 219.5  Definitions.

    As used in this part--
    Accident or incident reportable under part 225 does not include a 
case that is classified as ``covered data'' under Sec. 225.5 of this 
chapter (i.e., employee injury/illness cases reportable exclusively 
because a physician or other licensed health care professional either 
made a one-time topical application of a prescription-strength 
medication to the employee's injury or made a written recommendation 
that the employee: Take one or more days away from work when the 
employee instead reports to work (or would have reported had he or she 
been scheduled) and takes no days away from work in connection with the 
injury or illness; work restricted duty for one or more days when the 
employee instead works unrestricted (or would have worked unrestricted 
had he or she been scheduled) and takes no other days of restricted work 
activity in connection with the injury or illness; or take over-the-
counter medication at a dosage equal to or greater than the minimum 
prescription strength, whether or not the employee actually takes the 
medication).
    Class I, Class II, and Class III have the meaning assigned by 
regulations of the Surface Transportation Board (49 CFR part 1201; 
General Instructions 1-1).
    Controlled substance has the meaning assigned by 21 U.S.C. 802, and 
includes all substances listed on Schedules I through V as they may be 
revised from time to time (21 CFR Parts 1301-1316).
    Covered employee means a person who has been assigned to perform 
service subject to the hours of service laws (49 U.S.C. ch. 211) during 
a duty tour, whether or not the person has performed or is currently 
performing such service, and any person who performs such service. (An 
employee is not ``covered'' within the meaning of this part exclusively 
by reason of being an employee for purposes of 49 U.S.C. 21106.) For the 
purposes of pre-employment testing only, the term ``covered employee'' 
includes a person applying to perform covered service.
    Co-worker means another employee of the railroad, including a 
working supervisor directly associated with a yard or train crew, such 
as a conductor or yard foreman, but not including any other railroad 
supervisor, special agent, or officer.
    DOT Agency means an agency (or ``operating administration'') of the 
United States Department of Transportation administering regulations 
requiring alcohol or controlled substance testing (14 CFR parts 61, 63, 
65, 121 and 135; 49 CFR parts 199, 219, 382 and 655) in accordance with 
Part 40 of this title.
    Drug means any substance (other than alcohol) that has known mind- 
or function-altering effects on a human subject, specifically including 
any psychoactive substance and including, but not limited to, controlled 
substances.
    FRA means the Federal Railroad Administration, United States 
Department of Transportation.
    FRA representative means the Associate Administrator for Safety of 
FRA, the Associate Administrator's delegate (including a qualified State 
inspector acting under Part 212 of this chapter), the Chief Counsel of 
FRA, or the Chief Counsel's delegate.
    Hazardous material means a commodity designated as a hazardous 
material by Part 172 of this title.
    Impact accident means a train accident (i.e., a rail equipment 
accident involving damage in excess of the current reporting threshold 
(see Sec. 225.19(e) of this chapter)) consisting of a head-on collision, 
a rear-end collision, a side collision (including a collision at a 
railroad crossing at grade), a switching collision, or impact with a 
deliberately-placed obstruction such as a bumping post. The following 
are not impact accidents:
    (1) An accident in which the derailment of equipment causes an 
impact with other rail equipment;
    (2) Impact of rail equipment with obstructions such as fallen trees, 
rock or snow slides, livestock, etc.; and
    (3) Raking collisions caused by derailment of rolling stock or 
operation of equipment in violation of clearance limitations.

[[Page 210]]

    Independent with respect to a medical facility, means not under the 
ownership or control of the railroad and not operated or staffed by a 
salaried officer or employee of the railroad. The fact that the railroad 
pays for services rendered by a medical facility or laboratory, selects 
that entity for performing tests under this part, or has a standing 
contractual relationship with that entity to perform tests under this 
part or perform other medical examinations or tests of railroad 
employees does not, by itself, remove the facility from this definition.
    Medical facility means a hospital, clinic, physician's office, or 
laboratory where toxicological specimens can be collected according to 
recognized professional standards.
    Medical practitioner means a physician or dentist licensed or 
otherwise authorized to practice by the state.
    NTSB means the National Transportation Safety Board.
    Passenger train means a train transporting persons (other than 
employees, contractors, or persons riding equipment to observe or 
monitor railroad operations) in intercity passenger service, commuter or 
other short-haul service, or for excursion or recreational purposes.
    Positive rate means the number of positive results for random drug 
tests conducted under this part plus the number of refusals of random 
tests required by this part, divided by the total number of random drug 
tests conducted under this part plus the number of refusals of random 
tests required by this part.
    Possess means to have on one's person or in one's personal effects 
or under one's control. However, the concept of possession as used in 
this part does not include control by virtue of presence in the 
employee's personal residence or other similar location off of railroad 
property.
    Railroad means any form of nonhighway ground transportation that 
runs on rails or electromagnetic guideways, and any person providing 
such transportation, including--
    (1) Commuter or other short-haul railroad passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979; and
    (2) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads; but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    Railroad property damage or damage to railroad property refers to 
damage to railroad property, including railroad on-track equipment, 
signals, track, track structures (including bridges and tunnels), or 
roadbed, including labor costs and all other costs for repair or 
replacement in kind. Estimated cost for replacement of railroad property 
must be calculated as described in the FRA Guide for Preparing Accident/
Incident Reports. (See Sec. 225.21 of this chapter.) However, 
replacement of passenger equipment is calculated based on the cost of 
acquiring a new unit for comparable service.
    Reportable injury means an injury reportable under part 225 of this 
chapter except for an injury that is classified as ``covered data'' 
under Sec. 225.5 of this chapter (i.e., employee injury/illness cases 
reportable exclusively because a physician or other licensed health care 
professional either made a one-time topical application of a 
prescription-strength medication to the employee's injury or made a 
written recommendation that the employee: Take one or more days away 
from work when the employee instead reports to work (or would have 
reported had he or she been scheduled) and takes no days away from work 
in connection with the injury or illness; work restricted duty for one 
or more days when the employee instead works unrestricted (or would have 
worked unrestricted had he or she been scheduled) and takes no other 
days of restricted work activity in connection with the injury or 
illness; or take over-the-counter medication at a dosage equal to or 
greater than the minimum prescription strength, whether or not the 
employee actually takes the medication.
    Reporting threshold means the amount specified in Sec. 225.19(e) of 
this chapter, as

[[Page 211]]

adjusted from time to time in accordance with Appendix B to Part 225 of 
this chapter.
    Supervisory employee means an officer, special agent, or other 
employee of the railroad who is not a co-worker and who is responsible 
for supervising or monitoring the conduct or performance of one or more 
employees.
    Train, except as context requires, means a locomotive, or more than 
one locomotive coupled, with or without cars. (A locomotive is a self-
propelled unit of equipment which can be used in train service.)
    Train accident means a passenger, freight, or work train accident 
described in Sec. 225.19(c) of this chapter (a ``rail equipment 
accident'' involving damage in excess of the current reporting 
threshold), including an accident involving a switching movement.
    Train incident means an event involving the movement of railroad on-
track equipment that results in a casualty but in which railroad 
property damage does not exceed the reporting threshold.
    Violation rate means the number of covered employees (as reported 
under Sec. 219.801) found during random tests given under this part to 
have an alcohol concentration of .04 or greater, plus the number of 
employees who refuse a random test required by this part, divided by the 
total reported number of employees in the industry given random alcohol 
tests under this part plus the total reported number of employees in the 
industry who refuse a random test required by this part.

[66 FR 41973, Aug. 9, 2001, as amended at 68 FR 10135, Mar. 3, 2003]



Sec. 219.7  Waivers.

    (a) A person subject to a requirement of this part may petition the 
FRA for a waiver of compliance with such requirement.
    (b) Each petition for waiver under this section must be filed in a 
manner and contain the information required by Part 211 of this chapter. 
A petition for waiver of the Part 40 prohibition against stand down of 
an employee before the Medical Review Officer has completed the 
verification must also comply with Sec. 40.21 of this title.
    (c) If the FRA Administrator finds that waiver of compliance is in 
the public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any necessary conditions.



Sec. 219.9  Responsibility for compliance.

    (a) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: A railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations; where a grossly negligent violation or a pattern of repeated 
violations has created an imminent hazard of death or injury, or has 
caused death or injury, a penalty not to exceed $22,000 per violation 
may be assessed; and the standard of liability for a railroad will vary 
depending upon the requirement involved. See, e.g., Sec. 219.105, which 
must be construed to qualify the responsibility of a railroad for the 
unauthorized conduct of an employee that violates Sec. 219.101 or 
Sec. 219.102 (while imposing a duty of due diligence to prevent such 
conduct). Each day a violation continues constitutes a separate offense. 
See Appendix A to this part for a statement of agency civil penalty 
policy.
    (b)(1) In the case of joint operations, primary responsibility for 
compliance with this part with respect to determination of events 
qualifying for breath or body fluid testing under Subparts C and D of 
this part rests with the host railroad, and all affected employees must 
be responsive to direction from the host railroad consistent with this 
part. However, nothing in this paragraph (b)(1) restricts the ability of 
the railroads to provide for an appropriate assignment of responsibility 
for compliance with this part as among

[[Page 212]]

those railroads through a joint operating agreement or other binding 
contract. FRA reserves the right to bring an enforcement action for 
noncompliance with applicable portions of this part against the host 
railroad, the employing railroad, or both.
    (2) Where an employee of one railroad is required to participate in 
breath or body fluid testing under Subpart C or D of this part and is 
subsequently subject to adverse action alleged to have arisen out of the 
required test (or alleged refusal thereof), necessary witnesses and 
documents available to the other railroad must be made available to the 
employee on a reasonable basis.
    (c) Any independent contractor or other entity that performs covered 
service for a railroad has the same responsibilities as a railroad under 
this part, with respect to its employees who perform covered service. 
The entity's responsibility for compliance with this part may be 
fulfilled either directly by that entity or by the railroad's treating 
the entity's employees who perform covered service as if they were its 
own employees for purposes of this part. The responsibility for 
compliance must be clearly spelled out in the contract between the 
railroad and the other entity or in another document. In the absence of 
such a clear delineation of responsibility, FRA will hold the railroad 
and the other entity jointly and severally liable for compliance.



Sec. 219.11  General conditions for chemical tests.

    (a) Any employee who performs covered service for a railroad is 
deemed to have consented to testing as required in subparts B, C, D, and 
G of this part; and consent is implied by performance of such service.
    (b)(1) Each such employee must participate in such testing, as 
required under the conditions set forth in this part by a representative 
of the railroad.
    (2) In any case where an employee has sustained a personal injury 
and is subject to alcohol or drug testing under this part, necessary 
medical treatment must be accorded priority over provision of the breath 
or body fluid specimen(s).
    (3) Failure to remain available following an accident or casualty as 
required by company rules (i.e., being absent without leave) is 
considered a refusal to participate in testing, without regard to any 
subsequent provision of specimens.
    (c) A covered employee who is required to be tested under subpart C 
or D of this part and who is taken to a medical facility for observation 
or treatment after an accident or incident is deemed to have consented 
to the release to FRA of the following:
    (1) The remaining portion of any body fluid specimen taken by the 
treating facility within 12 hours of the accident or incident that is 
not required for medical purposes, together with any normal medical 
facility record(s) pertaining to the taking of such specimen;
    (2) The results of any laboratory tests for alcohol or any drug 
conducted by or for the treating facility on such specimen;
    (3) The identity, dosage, and time of administration of any drugs 
administered by the treating facility prior to the time specimens were 
taken by the treating facility or prior to the time specimens were taken 
in compliance with this part; and
    (4) The results of any breath tests for alcohol conducted by or for 
the treating facility.
    (d) An employee required to participate in body fluid testing under 
subpart C of this part (post-accident toxicological testing) or testing 
subject to subpart H of this part shall, if requested by the 
representative of the railroad or the medical facility (including, under 
subpart H of this part, a non-medical contract collector), evidence 
consent to taking of specimens, their release for toxicological analysis 
under pertinent provisions of this part, and release of the test results 
to the railroad's Medical Review Officer by promptly executing a consent 
form, if required by the medical facility. The employee is not required 
to execute any document or clause waiving rights that the employee would 
otherwise have against the employer, and any such waiver is void. The 
employee may not be required to waive liability with respect to 
negligence on the part of

[[Page 213]]

any person participating in the collection, handling or analysis of the 
specimen or to indemnify any person for the negligence of others. Any 
consent provided consistent with this section may be construed to extend 
only to those actions specified in this section.
    (e) Nothing in this part may be construed to authorize the use of 
physical coercion or any other deprivation of liberty in order to compel 
breath or body fluid testing.
    (f) Any railroad employee who performs service for a railroad is 
deemed to have consented to removal of body fluid and/or tissue 
specimens necessary for toxicological analysis from the remains of such 
employee, if such employee dies within 12 hours of an accident or 
incident described in subpart C of this part as a result of such event. 
This consent is specifically required of employees not in covered 
service, as well as employees in covered service.
    (g) Each supervisor responsible for covered employees (except a 
working supervisor within the definition of co-worker under this part) 
must be trained in the signs and symptoms of alcohol and drug influence, 
intoxication and misuse consistent with a program of instruction to be 
made available for inspection upon demand by FRA. Such a program shall, 
at a minimum, provide information concerning the acute behavioral and 
apparent physiological effects of alcohol and the major drug groups on 
the controlled substances list. The program must also provide training 
on the qualifying criteria for post-accident testing contained in 
subpart C of this part, and the role of the supervisor in post-accident 
collections described in subpart C and Appendix C of this part. The 
duration of such training may not be less than 3 hours.
    (h) Nothing in this subpart restricts any discretion available to 
the railroad to request or require that an employee cooperate in 
additional body fluid testing. However, no such testing may be performed 
on urine or blood specimens provided under this part. For purposes of 
this paragraph (h), all urine from a void constitutes a single specimen.



Sec. 219.13  Preemptive effect.

    (a) Under section 20106 of title 49, United States Code, issuance of 
the regulations in this part preempts any State law, rule, regulation, 
order or standard covering the same subject matter, except a provision 
directed at a local hazard that is consistent with this part and that 
does not impose an undue burden on interstate commerce.
    (b) FRA does not intend by issuance of the regulations in this part 
to preempt provisions of State criminal law that impose sanctions for 
reckless conduct that leads to actual loss of life, injury or damage to 
property, whether such provisions apply specifically to railroad 
employees or generally to the public at large.



Sec. 219.15  [Reserved]



Sec. 219.17  Construction.

    Nothing in this part--
    (a) Restricts the power of FRA to conduct investigations under 
sections 20107, 20108, 20111, and 20112 of title 49, United States Code; 
or
    (b) Creates a private right of action on the part of any person for 
enforcement of the provisions of this part or for damages resulting from 
noncompliance with this part.



Sec. 219.19  [Reserved]



Sec. 219.21  Information collection.

    (a) The information collection requirements of this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) and have been 
assigned OMB control number 2130-0526.
    (b) The information collection requirements are found in the 
following sections: 219.7, 219.23, 219.104, 219.201, 219.203, 219.205, 
219.207, 219.209, 219.211, 219.213, 219.303, 219.401, 219.403, 219.405, 
219.407, 219.501, 219.502, 219.503, 219.601, 219.605, 219.701, 219.801, 
219.803, 219.901, and 219.903.



Sec. 219.23  Railroad policies.

    (a) Whenever a breath or body fluid test is required of an employee 
under this part, the railroad must provide clear and unequivocal written 
notice to

[[Page 214]]

the employee that the test is being required under FRA regulations. Use 
of the mandated DOT form for drug or alcohol testing satisfies the 
requirements of this paragraph (a).
    (b) Whenever a breath or body fluid test is required of an employee 
under this part, the railroad must provide clear, unequivocal written 
notice of the basis or bases upon which the test is required (e.g., 
reasonable suspicion, violation of a specified operating/safety rule 
enumerated in subpart D of this part, random selection, follow-up, 
etc.). Completion of the DOT alcohol or drug testing form indicating the 
basis of the test (prior to providing a copy to the employee) satisfies 
the requirement of this paragraph (b). Use of the DOT form for non-
Federal tests is prohibited.
    (c) Use of approved forms for mandatory post-accident toxicological 
testing under subpart C of this part provides the notifications required 
under this section with respect to such tests. Use of those forms for 
any other test is prohibited.
    (d) Each railroad must provide educational materials that explain 
the requirements of this part, and the railroad's policies and 
procedures with respect to meeting those requirements.
    (1) The railroad must ensure that a copy of these materials is 
distributed to each covered employee prior to the start of alcohol 
testing under the railroad's alcohol misuse prevention program and to 
each person subsequently hired for or transferred to a covered position.
    (2) Each railroad must provide written notice to representatives of 
employee organizations of the availability of this information.
    (e) Required content. The materials to be made available to 
employees must include detailed discussion of at least the following:
    (1) The identity of the person designated by the railroad to answer 
employee questions about the materials.
    (2) The classes or crafts of employees who are subject to the 
provisions of this part.
    (3) Sufficient information about the safety-sensitive functions 
performed by those employees to make clear that the period of the work 
day the covered employee is required to be in compliance with this part 
is that period when the employee is on duty and is required to perform 
or is available to perform covered service.
    (4) Specific information concerning employee conduct that is 
prohibited under subpart B of this part.
    (5) In the case of a railroad utilizing the accident/incident and 
rule violation reasonable cause testing authority provided by this part, 
prior notice (which may be combined with the notice required by 
Secs. 219.601(d)(1) and 219.607(d)(1)), to covered employees of the 
circumstances under which they will be subject to testing.
    (6) The circumstances under which a covered employee will be tested 
under this part.
    (7) The procedures that will be used to test for the presence of 
alcohol and controlled substances, protect the employee and the 
integrity of the testing processes, safeguard the validity of the test 
results, and ensure that those results are attributed to the correct 
employee.
    (8) The requirement that a covered employee submit to alcohol and 
drug tests administered in accordance with this part.
    (9) An explanation of what constitutes a refusal to submit to an 
alcohol or drug test and the attendant consequences.
    (10) The consequences for covered employees found to have violated 
Subpart B of this part, including the requirement that the employee be 
removed immediately from covered service, and the procedures under 
Sec. 219.104.
    (11) The consequences for covered employees found to have an alcohol 
concentration of .02 or greater but less than .04.
    (12) Information concerning the effects of alcohol misuse on an 
individual's health, work, and personal life; signs and symptoms of an 
alcohol problem (the employee's or a coworker's); and available methods 
of evaluating and resolving problems associated with the misuse of 
alcohol, including utilization of the procedures set forth in subpart E 
of this part and the names, addresses, and telephone numbers of 
substance abuse professionals and counseling and treatment programs.

[[Page 215]]

    (f) Optional provisions. The materials supplied to employees may 
also include information on additional railroad policies with respect to 
the use or possession of alcohol and drugs, including any consequences 
for an employee found to have a specific alcohol concentration, that are 
based on the railroad's authority independent of this part. Any such 
additional policies or consequences must be clearly and obviously 
described as being based on independent authority.



                         Subpart B--Prohibitions



Sec. 219.101  Alcohol and drug use prohibited.

    (a) Prohibitions. Except as provided in Sec. 219.103--
    (1) No employee may use or possess alcohol or any controlled 
substance while assigned by a railroad to perform covered service.
    (2) No employee may report for covered service, or go or remain on 
duty in covered service while--
    (i) Under the influence of or impaired by alcohol;
    (ii) Having .04 or more alcohol concentration in the breath or 
blood; or
    (iii) Under the influence of or impaired by any controlled 
substance.
    (3) No employee may use alcohol for whichever is the lesser of the 
following periods:
    (i) Within four hours of reporting for covered service; or
    (ii) After receiving notice to report for covered service.
    (4) No employee tested under the provisions of this part whose test 
result indicates an alcohol concentration of .02 or greater but less 
than .04 may perform or continue to perform covered service functions 
for a railroad, nor may a railroad permit the employee to perform or 
continue to perform covered service, until the start of the employee's 
next regularly scheduled duty period, but not less than eight hours 
following administration of the test.
    (5) If an employee tested under the provisions of this part has a 
test result indicating an alcohol concentration below 0.02, the test 
must be considered negative and is not evidence of alcohol misuse. A 
railroad may not use a federal test result below 0.02 either as evidence 
in a company proceeding or as a basis for subsequent testing under 
company authority. A railroad may take further action to compel 
cooperation in other breath or body fluid testing only if it has an 
independent basis for doing so.
    (b) Controlled substance. ``Controlled substance'' is defined by 
Sec. 219.5. Controlled substances are grouped as follows: marijuana, 
narcotics (such as heroin and codeine), stimulants (such as cocaine and 
amphetamines), depressants (such as barbiturates and minor 
tranquilizers), and hallucinogens (such as the drugs known as PCP and 
LSD). Controlled substances include illicit drugs (Schedule I), drugs 
that are required to be distributed only by a medical practitioner's 
prescription or other authorization (Schedules II through IV, and some 
drugs on Schedule V), and certain preparations for which distribution is 
through documented over the counter sales (Schedule V only).
    (c) Railroad rules. Nothing in this section restricts a railroad 
from imposing an absolute prohibition on the presence of alcohol or any 
drug in the body fluids of persons in its employ, whether in furtherance 
of the purpose of this part or for other purposes.
    (d) Construction. This section may not be construed to prohibit the 
presence of an unopened container of an alcoholic beverage in a private 
motor vehicle that is not subject to use in the business of the 
railroad; nor may it be construed to restrict a railroad from 
prohibiting such presence under its own rules.



Sec. 219.102  Prohibition on abuse of controlled substances.

    No employee who performs covered service may use a controlled 
substance at any time, whether on duty or off duty, except as permitted 
by Sec. 219.103.



Sec. 219.103  Prescribed and over-the-counter drugs.

    (a) This subpart does not prohibit the use of a controlled substance 
(on Schedules II through V of the controlled substance list) prescribed 
or authorized by a medical practitioner, or possession incident to such 
use, if--

[[Page 216]]

    (1) The treating medical practitioner or a physician designated by 
the railroad has made a good faith judgment, with notice of the 
employee's assigned duties and on the basis of the available medical 
history, that use of the substance by the employee at the prescribed or 
authorized dosage level is consistent with the safe performance of the 
employee's duties;
    (2) The substance is used at the dosage prescribed or authorized; 
and
    (3) In the event the employee is being treated by more than one 
medical practitioner, at least one treating medical practitioner has 
been informed of all medications authorized or prescribed and has 
determined that use of the medications is consistent with the safe 
performance of the employee's duties (and the employee has observed any 
restrictions imposed with respect to use of the medications in 
combination).
    (b) This subpart does not restrict any discretion available to the 
railroad to require that employees notify the railroad of therapeutic 
drug use or obtain prior approval for such use.



Sec. 219.104  Responsive action.

    (a) Removal from covered service. (1) If the railroad determines 
that an employee has violated Sec. 219.101 or Sec. 219.102, or the 
alcohol or controlled substances misuse rule of another DOT agency, the 
railroad must immediately remove the employee from covered service and 
the procedures described in paragraphs (b) through (e) of this section 
apply.
    (2) If an employee refuses to provide breath or a body fluid 
specimen or specimens when required to by the railroad under a mandatory 
provision of this part, the railroad must immediately remove the 
employee from covered service, and the procedures described in 
paragraphs (b) through (e) of this section apply.
    (3)(i) This section does not apply to actions based on breath or 
body fluid tests for alcohol or drugs that are conducted exclusively 
under authority other than that provided in this part (e.g., testing 
under a company medical policy, for-cause testing policy wholly 
independent of subpart D of this part, or testing under a labor 
agreement).
    (ii) This section and the information requirements listed in 
Sec. 219.23 do not apply to applicants who refuse to submit to a pre-
employment test or who have a pre-employment test with a result 
indicating the misuse of alcohol or controlled substances.
    (b) Notice. Prior to or upon withdrawing the employee from covered 
service under this section, the railroad must provide notice to the 
employee of the reason for this action.
    (c) Hearing procedures. (1) If the employee denies that the test 
result is valid evidence of alcohol or drug use prohibited by this 
subpart, the employee may demand and must be provided an opportunity for 
a prompt post-suspension hearing before a presiding officer other than 
the charging official. This hearing may be consolidated with any 
disciplinary hearing arising from the same accident or incident (or 
conduct directly related thereto), but the presiding officer must make 
separate findings as to compliance with Secs. 219.101 and 219.102.
    (2) The hearing must be convened within the period specified in the 
applicable collective bargaining agreement. In the absence of an 
agreement provision, the employee may demand that the hearing be 
convened within 10 calendar days of the suspension or, in the case of an 
employee who is unavailable due to injury, illness, or other sufficient 
cause, within 10 days of the date the employee becomes available for 
hearing.
    (3) A post-suspension proceeding conforming to the requirements of 
an applicable collective bargaining agreement, together with the 
provisions for adjustment of disputes under sec. 3 of the Railway Labor 
Act (49 U.S.C. 153), satisfies the procedural requirements of this 
paragraph (c).
    (4) Nothing in this part may be deemed to abridge any additional 
procedural rights or remedies not inconsistent with this part that are 
available to the employee under a collective bargaining agreement, the 
Railway Labor Act, or (with respect to employment at will) at common law 
with respect to the removal or other adverse action taken as a 
consequence of a positive test result in a test authorized or required 
by this part.
    (5) Nothing in this part restricts the discretion of the railroad to 
treat an

[[Page 217]]

employee's denial of prohibited alcohol or drug use as a waiver of any 
privilege the employee would otherwise enjoy to have such prohibited 
alcohol or drug use treated as a non-disciplinary matter or to have 
discipline held in abeyance.
    (d) The railroad must comply with the return-to-service and follow-
up testing requirements, and the Substance Abuse Professional conflict-
of-interest prohibitions, contained in Secs. 40.305, 40.307, and 40.299 
of this title, respectively.



Sec. 219.105  Railroad's duty to prevent violations.

    (a) A railroad may not, with actual knowledge, permit an employee to 
go or remain on duty in covered service in violation of the prohibitions 
of Sec. 219.101 or Sec. 219.102. As used in this section, the knowledge 
imputed to the railroad must be limited to that of a railroad management 
employee (such as a supervisor deemed an ``officer,'' whether or not 
such person is a corporate officer) or a supervisory employee in the 
offending employee's chain of command.
    (b) A railroad must exercise due diligence to assure compliance with 
Secs. 219.101 and 219.102 by each covered employee.



Sec. 219.107  Consequences of unlawful refusal.

    (a) An employee who refuses to provide breath or a body fluid 
specimen or specimens when required to by the railroad under a mandatory 
provision of this part must be deemed disqualified for a period of nine 
(9) months.
    (b) Prior to or upon withdrawing the employee from covered service 
under this section, the railroad must provide notice of the reason for 
this action, and the procedures described in Sec. 219.104(c) apply.
    (c) The disqualification required by this section applies with 
respect to employment in covered service by any railroad with notice of 
such disqualification.
    (d) The requirement of disqualification for nine (9) months does not 
limit any discretion on the part of the railroad to impose additional 
sanctions for the same or related conduct.
    (e) Upon the expiration of the 9-month period described in this 
section, a railroad may permit the employee to return to covered service 
only under the same conditions specified in Sec. 219.104(d), and the 
employee must be subject to follow-up tests, as provided by that 
section.



             Subpart C--Post-Accident Toxicological Testing



Sec. 219.201  Events for which testing is required.

    (a) List of events. Except as provided in paragraph (b) of this 
section, post-accident toxicological tests must be conducted after any 
event that involves one or more of the circumstances described in 
paragraphs (a)(1) through (4) of this section:
    (1) Major train accident. Any train accident (i.e., a rail equipment 
accident involving damage in excess of the current reporting threshold) 
that involves one or more of the following:
    (i) A fatality;
    (ii) A release of hazardous material lading from railroad equipment 
accompanied by--
    (A) An evacuation; or
    (B) A reportable injury resulting from the hazardous material 
release (e.g., from fire, explosion, inhalation, or skin contact with 
the material); or
    (iii) Damage to railroad property of $1,000,000 or more.
    (2) Impact accident. An impact accident (i.e., a rail equipment 
accident defined as an ``impact accident'' in Sec. 219.5) that involves 
damage in excess of the current reporting threshold, resulting in--
    (i) A reportable injury; or
    (ii) Damage to railroad property of $150,000 or more.
    (3) Fatal train incident. Any train incident that involves a 
fatality to any on-duty railroad employee.
    (4) Passenger train accident. Reportable injury to any person in a 
train accident (i.e., a rail equipment accident involving damage in 
excess of the current reporting threshold) involving a passenger train.
    (b) Exceptions. No test may be required in the case of a collision 
between railroad rolling stock and a

[[Page 218]]

motor vehicle or other highway conveyance at a rail/highway grade 
crossing. No test may be required in the case of an accident/incident 
the cause and severity of which are wholly attributable to a natural 
cause (e.g., flood, tornado, or other natural disaster) or to vandalism 
or trespasser(s), as determined on the basis of objective and documented 
facts by the railroad representative responding to the scene.
    (c) Good faith determinations. (1)(i) The railroad representative 
responding to the scene of the accident/incident must determine whether 
the accident/incident falls within the requirements of paragraph (a) of 
this section or is within the exception described in paragraph (b) of 
this section. It is the duty of the railroad representative to make 
reasonable inquiry into the facts as necessary to make such 
determinations. In making such inquiry, the railroad representative must 
consider the need to obtain specimens as soon as practical in order to 
determine the presence or absence of impairing substances reasonably 
contemporaneous with the accident/incident. The railroad representative 
satisfies the requirement of this section if, after making reasonable 
inquiry, the representative exercises good faith judgement in making the 
required determinations.
    (ii) The railroad representative making the determinations required 
by this section may not be a person directly involved in the accident/
incident. This section does not prohibit consultation between the 
responding railroad representative and higher level railroad officials; 
however, the responding railroad representative must make the factual 
determinations required by this section.
    (iii) Upon specific request made to the railroad by the Associate 
Administrator for Safety, FRA (or the Associate Administrator's 
delegate), the railroad must provide a report describing any decision by 
a person other than the responding railroad representative with respect 
to whether an accident/incident qualifies for testing. This report must 
be affirmed by the decision maker and must be provided to FRA within 72 
hours of the request. The report must include the facts reported by the 
responding railroad representative, the basis upon which the testing 
decision was made, and the person making the decision.
    (iv) Any estimates of railroad property damage made by persons not 
at the scene must be based on descriptions of specific physical damage 
provided by the on-scene railroad representative.
    (v) In the case of an accident involving passenger equipment, a host 
railroad may rely upon the damage estimates provided by the passenger 
railroad (whether present on scene or not) in making the decision 
whether testing is required, subject to the same requirement that 
visible physical damage be specifically described.
    (2) A railroad must not require an employee to provide blood or 
urine specimens under the authority or procedures of this subject unless 
the railroad has made the determinations required by this section, based 
upon reasonable inquiry and good faith judgment. A railroad does not act 
in excess of its authority under this subpart if its representative has 
made such reasonable inquiry and exercised such good faith judgment, but 
it is later determined, after investigation, that one or more of the 
conditions thought to have required testing were not, in fact, present. 
However, this section does not excuse the railroad for any error arising 
from a mistake of law (e.g., application of testing criteria other than 
those contained in this part).
    (3) A railroad is not in violation of this subpart if its 
representative has made such reasonable inquiry and exercised such good 
faith judgment but nevertheless errs in determining that post-accident 
testing is not required.
    (4) An accident/incident with respect to which the railroad has made 
reasonable inquiry and exercised good faith judgment in determining the 
facts necessary to apply the criteria contained in paragraph (a) of this 
section is deemed a qualifying event for purposes of specimen analysis, 
reporting, and other purposes.
    (5) In the event specimens are collected following an event 
determined by FRA not to be a qualifying event within the meaning of 
this section, FRA directs its designated laboratory

[[Page 219]]

to destroy any specimen material submitted and to refrain from 
disclosing to any person the results of any analysis conducted.



Sec. 219.203  Responsibilities of railroads and employees.

    (a) Employees tested. (1)(i) Following each accident and incident 
described in Sec. 219.201, the railroad (or railroads) must take all 
practicable steps to assure that all covered employees of the railroad 
directly involved in the accident or incident provide blood and urine 
specimens for toxicological testing by FRA. Such employees must 
cooperate in the provision of specimens as described in this part and 
Appendix C to this part.
    (ii) If the conditions for mandatory toxicological testing exist, 
the railroad may also require employees to provide breath for testing in 
accordance with the procedures set forth in part 40 of this title and in 
this part, if such testing does not interfere with timely collection of 
required specimens.
    (2) Such employees must specifically include each and every 
operating employee assigned as a crew member of any train involved in 
the accident or incident. In any case where an operator, dispatcher, 
signal maintainer or other covered employee is directly and 
contemporaneously involved in the circumstances of the accident/
incident, those employees must also be required to provide specimens.
    (3) An employee must be excluded from testing under the following 
circumstances: In any case of an accident/incident for which testing is 
mandated only under Sec. 219.201(a)(2) (an ``impact accident''), 
Sec. 219.201(a)(3) (``fatal train incident''), or Sec. 219.201(a)(4) (a 
``passenger train accident with injury'') if the railroad representative 
can immediately determine, on the basis of specific information, that 
the employee had no role in the cause(s) or severity of the accident/
incident. The railroad representative must consider any such information 
immediately available at the time the qualifying event determination is 
made under Sec. 219.201.
    (4) The following provisions govern accidents/incidents involving 
non-covered employees:
    (i) Surviving non-covered employees are not subject to testing under 
this subpart.
    (ii) Testing of the remains of non-covered employees who are fatally 
injured in train accidents and incidents is required.
    (b) Timely specimen collection. (1) The railroad must make every 
reasonable effort to assure that specimens are provided as soon as 
possible after the accident or incident.
    (2) This paragraph (b) must not be construed to inhibit the 
employees required to be tested from performing, in the immediate 
aftermath of the accident or incident, any duties that may be necessary 
for the preservation of life or property. However, where practical, the 
railroad must utilize other employees to perform such duties.
    (3) In the case of a passenger train which is in proper condition to 
continue to the next station or its destination after an accident or 
incident, the railroad must consider the safety and convenience of 
passengers in determining whether the crew is immediately available for 
testing. A relief crew must be called to relieve the train crew as soon 
as possible.
    (4) Covered employees who may be subject to testing under this 
subpart must be retained in duty status for the period necessary to make 
the determinations required by Sec. 219.201 and this section and (as 
appropriate) to complete the specimen collection procedure. An employee 
may not be recalled for testing under this subpart if that employee has 
been released from duty under the normal procedures of the railroad, 
except that an employee may be immediately recalled for testing if--
    (i) The employee could not be retained in duty status because the 
employee went off duty under normal carrier procedures prior to being 
contacted by a railroad supervisor and instructed to remain on duty 
pending completion of the required determinations (e.g., in the case of 
a dispatcher or signal maintainer remote from the scene of an accident 
who was unaware of the occurrence at the time the employee went off 
duty);

[[Page 220]]

    (ii) The railroad's preliminary investigation (contemporaneous with 
the determination required by Sec. 219.201) indicates a clear 
probability that the employee played a major role in the cause or 
severity of the accident/incident; and
    (iii) The accident/incident actually occurred during the employee's 
duty tour. An employee who has been transported to receive medical care 
is not released from duty for purposes of this section. Nothing in this 
section prohibits the subsequent testing of an employee who has failed 
to remain available for testing as required (i.e., who is absent without 
leave); but subsequent testing does not excuse such refusal by the 
employee timely to provide the required specimens.
    (c) Place of specimen collection. (1) Employees must be transported 
to an independent medical facility where the specimens must be obtained. 
The railroad must pre-designate for such testing one or more such 
facilities in reasonable proximity to any location where the railroad 
conducts operations. Designation must be made on the basis of the 
willingness of the facility to conduct specimen collection and the 
ability of the facility to complete specimen collection promptly, 
professionally, and in accordance with pertinent requirements of this 
part. In all cases blood may be drawn only by a qualified medical 
professional or by a qualified technician subject to the supervision of 
a qualified medical professional.
    (2) In the case of an injured employee, the railroad must request 
the treating medical facility to obtain the specimens.
    (d) Obtaining cooperation of facility. (1) In seeking the 
cooperation of a medical facility in obtaining a specimen under this 
subpart, the railroad shall, as necessary, make specific reference to 
the requirements of this subpart.
    (2) If an injured employee is unconscious or otherwise unable to 
evidence consent to the procedure and the treating medical facility 
declines to obtain blood specimens after having been acquainted with the 
requirements of this subpart, the railroad must immediately notify the 
duty officer at the National Response Center (NRC) at (800) 424-8801 or 
(800) 424-8802, stating the employee's name, the medical facility, its 
location, the name of the appropriate decisional authority at the 
medical facility, and the telephone number at which that person can be 
reached. FRA will then take appropriate measures to assist in obtaining 
the required specimen.
    (e) Discretion of physician. Nothing in this subpart may be 
construed to limit the discretion of a physician to determine whether 
drawing a blood specimen is consistent with the health of an injured 
employee or an employee afflicted by any other condition that may 
preclude drawing the specified quantity of blood.



Sec. 219.205  Specimen collection and handling.

    (a) General. Urine and blood specimens must be obtained, marked, 
preserved, handled, and made available to FRA consistent with the 
requirements of this subpart, and the technical specifications set forth 
in Appendix C to this part.
    (b) Information requirements. In order to process specimens, analyze 
the significance of laboratory findings, and notify the railroads and 
employees of test results, it is necessary to obtain basic information 
concerning the accident/incident and any treatment administered after 
the accident/incident. Accordingly, the railroad representative must 
complete the information required by Form FRA 6180.73 (revised) for 
shipping with the specimens. Each employee subject to testing must 
cooperate in completion of the required information on Form FRA F 
6180.74 (revised) for inclusion in the shipping kit and processing of 
the specimens. The railroad representative must request an appropriate 
representative of the medical facility to complete the remaining portion 
of the information on each Form 6180.74. One Form 6180.73 must be 
forwarded in the shipping kit with each group of specimens. One Form 
6180.74 must be forwarded in the shipping kit for each employee who 
provides specimens. Forms 6180.73 and 6180.74 may be ordered from the 
laboratory specified in Appendix B to this part; the forms are also 
provided to

[[Page 221]]

railroads free of charge in the shipping kit. (See paragraph (c) of this 
section.)
    (c) Shipping kit. (1) FRA and the laboratory designated in Appendix 
B to this part make available for purchase a limited number of standard 
shipping kits for the purpose of routine handling of toxicological 
specimens under this subpart. Whenever possible, specimens must be 
placed in the shipping kit prepared for shipment according to the 
instructions provided in the kit and Appendix C to this part.
    (2) Kits may be ordered directly from the laboratory designated in 
Appendix B to this part.
    (3) FRA maintains a limited number of kits at its field offices. A 
Class III railroad may utilize kits in FRA's possession, rather than 
maintaining such kits on its property.
    (d) Shipment. Specimens must be shipped as soon as possible by pre-
paid air express or air freight (or other means adequate to ensure 
delivery within twenty-four (24) hours from time of shipment) to the 
laboratory designated in Appendix B to this part. Where express courier 
pickup is available, the railroad must request the medical facility to 
transfer the sealed toxicology kit directly to the express courier for 
transportation. If courier pickup is not available at the medical 
facility where the specimens are collected or for any other reason 
prompt transfer by the medical facility cannot be assured, the railroad 
must promptly transport the sealed shipping kit holding the specimens to 
the most expeditious point of shipment via air express, air freight or 
equivalent means. The railroad must maintain and document secure chain 
of custody of the kit from release by the medical facility to delivery 
for transportation, as described in Appendix C to this part.



Sec. 219.206  FRA access to breath test results.

    Documentation of breath test results must be made available to FRA 
consistent with the requirements of this subpart, and the technical 
specifications set forth in Appendix C to this part.



Sec. 219.207  Fatality.

    (a) In the case of an employee fatality in an accident or incident 
described in Sec. 219.201, body fluid and/or tissue specimens must be 
obtained from the remains of the employee for toxicological testing. To 
ensure that specimens are timely collected, the railroad must 
immediately notify the appropriate local authority (such as a coroner or 
medical examiner) of the fatality and the requirements of this subpart, 
making available the shipping kit and requesting the local authority to 
assist in obtaining the necessary body fluid or tissue specimens. The 
railroad must also seek the assistance of the custodian of the remains, 
if a person other than the local authority.
    (b) If the local authority or custodian of the remains declines to 
cooperate in obtaining the necessary specimens, the railroad must 
immediately notify the duty officer at the National Response Center 
(NRC) at (800) 424-8801 or (800) 424-8802 by providing the following 
information:
    (1) Date and location of the accident or incident;
    (2) Railroad;
    (3) Name of the deceased;
    (4) Name and telephone number of custodian of the remains; and
    (5) Name and telephone number of local authority contacted.
    (c) A coroner, medical examiner, pathologist, Aviation Medical 
Examiner, or other qualified professional is authorized to remove the 
required body fluid and/or tissue specimens from the remains on request 
of the railroad or FRA pursuant to this part; and, in so acting, such 
person is the delegate of the FRA Administrator under sections 20107 and 
20108 of title 49, United States Code (but not the agent of the 
Secretary for purposes of the Federal Tort Claims Act (chapter 171 of 
title 28, United States Code). Such qualified professional may rely upon 
the representations of the railroad or FRA representative with respect 
to the occurrence of the event requiring that toxicological tests be 
conducted and the coverage of the deceased employee under this part.

[[Page 222]]

    (d) Appendix C to this part specifies body fluid and tissue 
specimens required for toxicological analysis in the case of a fatality.



Sec. 219.209  Reports of tests and refusals.

    (a)(1) A railroad that has experienced one or more events for which 
specimens were obtained must provide prompt telephonic notification 
summarizing such events. Notification must immediately be provided to 
the duty officer at the National Response Center (NRC) at (800) 424-8802 
and to the Office of Safety, FRA, at (202) 493-6313.
    (2) Each telephonic report must contain:
    (i) Name of railroad;
    (ii) Name, title and telephone number of person making the report;
    (iii) Time, date and location of the accident/incident;
    (iv) Brief summary of the circumstances of the accident/incident, 
including basis for testing; and
    (v) Number, names and occupations of employees tested.
    (b) If the railroad is unable, as a result of non-cooperation of an 
employee or for any other reason, to obtain a specimen and cause it to 
be provided to FRA as required by this subpart, the railroad must make a 
concise narrative report of the reason for such failure and, if 
appropriate, any action taken in response to the cause of such failure. 
This report must be appended to the report of the accident/incident 
required to be submitted under Part 225 of this chapter.
    (c) If a test required by this section is not administered within 
four hours following the accident or incident, the railroad must prepare 
and maintain on file a record stating the reasons the test was not 
promptly administered. Records must be submitted to FRA upon request of 
the FRA Associate Administrator for Safety.



Sec. 219.211  Analysis and follow-up.

    (a) The laboratory designated in Appendix B to this part undertakes 
prompt analysis of specimens provided under this subpart, consistent 
with the need to develop all relevant information and produce a complete 
report. Specimens are analyzed for alcohol and controlled substances 
specified by FRA under protocols specified by FRA, summarized in 
Appendix C to this part, which have been submitted to Health and Human 
Services for acceptance. Specimens may be analyzed for other impairing 
substances specified by FRA as necessary to the particular accident 
investigation.
    (b) Results of post-accident toxicological testing under this 
subpart are reported to the railroad's Medical Review Officer and the 
employee. The MRO and the railroad must treat the test results and any 
information concerning medical use or administration of drugs provided 
under this subpart in the same confidential manner as if subject to 
subpart H of this part, except where publicly disclosed by FRA or the 
National Transportation Safety Board.
    (c) With respect to a surviving employee, a test reported as 
positive for alcohol or a controlled substance by the designated 
laboratory must be reviewed by the railroad's Medical Review Officer 
with respect to any claim of use or administration of medications 
(consistent with Sec. 219.103) that could account for the laboratory 
findings. The Medical Review Officer must promptly report the results of 
each review to the Associate Administrator for Safety, FRA, Washington, 
DC 20590. Such report must be in writing and must reference the 
employing railroad, accident/incident date, and location, and the 
envelope must be marked ``ADMINISTRATIVELY CONFIDENTIAL: ATTENTION 
ALCOHOL/DRUG PROGRAM MANAGER.'' The report must state whether the MRO 
reported the test result to the employing railroad as positive or 
negative and the basis of any determination that analytes detected by 
the laboratory derived from authorized use (including a statement of the 
compound prescribed, dosage/frequency, and any restrictions imposed by 
the authorized medical practitioner). Unless specifically requested by 
FRA in writing, the Medical Review Officer may not disclose to FRA the 
underlying physical condition for which any medication was authorized or 
administered. The FRA is not bound by the railroad Medical Review 
Officer's determination, but that determination will be considered by 
FRA in

[[Page 223]]

relation to the accident/incident investigation and with respect to any 
enforcement action under consideration.
    (d) To the extent permitted by law, FRA treats test results 
indicating medical use of controlled substances consistent with 
Sec. 219.103 (and other information concerning medically authorized drug 
use or administration provided incident to such testing) as 
administratively confidential and withholds public disclosure, except 
where it is necessary to consider this information in an accident 
investigation in relation to determination of probable cause. (However, 
as further provided in this section, FRA may provide results of testing 
under this subpart and supporting documentation to the National 
Transportation Safety Board.)
    (e) An employee may respond in writing to the results of the test 
prior to the preparation of any final investigation report concerning 
the accident or incident. An employee wishing to respond may do so by 
letter addressed to the Alcohol/Drug Program Manager, Office of Safety, 
FRA, 400 Seventh Street, S.W., Washington, DC 20590 within 45 days of 
receipt of the test results. Any such submission must refer to the 
accident date, railroad and location, must state the position occupied 
by the employee on the date of the accident/incident, and must identify 
any information contained therein that the employee requests be withheld 
from public disclosure on grounds of personal privacy (but the decision 
whether to honor such request will be made by the FRA on the basis of 
controlling law).
    (f)(1) The toxicology report may contain a statement of 
pharmacological significance to assist FRA and other parties in 
understanding the data reported. No such statement may be construed as a 
finding of probable cause in the accident or incident.
    (2) The toxicology report is a part of the report of the accident/
incident and therefore subject to the limitation of 49 U.S.C. 20903 
(prohibiting use of the report for any purpose in a civil action for 
damages resulting from a matter mentioned in the report).
    (g)(1) It is in the public interest to ensure that any railroad 
disciplinary actions that may result from accidents and incidents for 
which testing is required under this subpart are disposed of on the 
basis of the most complete and reliable information available so that 
responsive action will be appropriate. Therefore, during the interval 
between an accident or incident and the date that the railroad receives 
notification of the results of the toxicological analysis, any provision 
of collective bargaining agreements establishing maximum periods for 
charging employees with rule violations, or for holding an 
investigation, may not be deemed to run as to any offense involving the 
accident or incident (i.e., such periods must be tolled).
    (2) This provision may not be construed to excuse the railroad from 
any obligation to timely charge an employee (or provide other actual 
notice) where the railroad obtains sufficient information relating to 
alcohol or drug use, impairment or possession or other rule violations 
prior to the receipt to toxicological analysis.
    (3) This provision does not authorize holding any employee out of 
service pending receipt of toxicological analysis; nor does it restrict 
a railroad from taking such action in an appropriate case.
    (h) Except as provided in Sec. 219.201 (with respect to non-
qualifying events), each specimen (including each split specimen) 
provided under this subpart is retained for not less than three months 
following the date of the accident or incident (two years from the date 
of the accident or incident in the case of a specimen testing positive 
for alcohol or a controlled substance). Post-mortem specimens may be 
made available to the National Transportation Safety Board (on request).
    (i) An employee (donor) may, within 60 days of the date of the 
toxicology report, request that his or her split specimen be tested by 
the designated laboratory or by another laboratory certified by Health 
and Human Services under that Department's Guidelines for Federal 
Workplace Drug Testing Programs that has available an appropriate, 
validated assay for the fluid and compound declared positive. Since some 
analytes may deteriorate during storage, detected levels of the compound 
shall, as technically appropriate,

[[Page 224]]

be reported and considered corroborative of the original test result. 
Any request for a retest shall be in writing, specify the railroad, 
accident date and location, be signed by the employee/donor, be 
addressed to the Associate Administrator for Safety, Federal Railroad 
Administration, Washington, DC 20590, and be designated 
``ADMINISTRATIVELY CONFIDENTIAL: ATTENTION ALCOHOL/DRUG PROGRAM 
MANAGER.'' The expense of any employee-requested split specimen test at 
a laboratory other than the laboratory designated under this subpart 
shall be borne by the employee.



Sec. 219.213  Unlawful refusals; consequences.

    (a) Disqualification. An employee who refuses to cooperate in 
providing breath, blood or urine specimens following an accident or 
incident specified in this subpart must be withdrawn from covered 
service and must be deemed disqualified for covered service for a period 
of nine (9) months in accordance with the conditions specified in 
Sec. 219.107.
    (b) Procedures. Prior to or upon withdrawing the employee from 
covered service under this section, the railroad must provide notice of 
the reason for this action and an opportunity for hearing before a 
presiding officer other than the charging official. The employee is 
entitled to the procedural protection set out in Sec. 219.104(d).
    (c) Subject of hearing. The hearing required by this section must 
determine whether the employee refused to submit to testing, having been 
requested to submit, under authority of this subpart, by a 
representative of the railroad. In determining whether a 
disqualification is required, the hearing official shall, as 
appropriate, also consider the following:
    (1) Whether the railroad made a good faith determination, based on 
reasonable inquiry, that the accident or incident was within the 
mandatory testing requirements of this subpart; and
    (2) In a case where a blood test was refused on the ground it would 
be inconsistent with the employee's health, whether such refusal was 
made in good faith and based on medical advice.



                      Subpart D--Testing for Cause



Sec. 219.300  Mandatory reasonable suspicion testing.

    (a) Requirements. (1) A railroad must require a covered employee to 
submit to an alcohol test when the railroad has reasonable suspicion to 
believe that the employee has violated any prohibition of subpart B of 
this part concerning use of alcohol. The railroad's determination that 
reasonable suspicion exists to require the covered employee to undergo 
an alcohol test must be based on specific, contemporaneous, articulable 
observations concerning the appearance, behavior, speech or body odors 
of the employee.
    (2) A railroad must require a covered employee to submit to a drug 
test when the railroad has reasonable suspicion to believe that the 
employee has violated the prohibitions of subpart B of this part 
concerning use of controlled substances. The railroad's determination 
that reasonable suspicion exists to require the covered employee to 
undergo a drug test must be based on specific, contemporaneous, 
articulable observations concerning the appearance, behavior, speech or 
body odors of the employee. Such observations may include indications of 
the chronic and withdrawal effects of drugs.
    (b)(1) With respect to an alcohol test, the required observations 
must be made by a supervisor trained in accordance with Sec. 219.11(g). 
The supervisor who makes the determination that reasonable suspicion 
exists may not conduct testing on that employee.
    (2) With respect to a drug test, the required observations must be 
made by two supervisors, at least one of whom is trained in accordance 
with Sec. 219.11(g).
    (c) Nothing in this section may be construed to require the conduct 
of alcohol testing or drug testing when the employee is apparently in 
need of immediate medical attention.
    (d)(1) If a test required by this section is not administered within 
two hours following the determination under this section, the railroad 
must prepare and maintain on file a record stating the reasons the test 
was not

[[Page 225]]

properly administered. If a test required by this section is not 
administered within eight hours of the determination under this section, 
the railroad must cease attempts to administer an alcohol test and must 
state in the record the reasons for not administering the test. Records 
must be submitted to FRA upon request of the FRA Administrator.
    (2) [Reserved]



Sec. 219.301  Testing for reasonable cause.

    (a) Authorization. A railroad may, under the conditions specified in 
this subpart, require any covered employee, as a condition of employment 
in covered service, to cooperate in breath or body fluid testing, or 
both, to determine compliance with Secs. 219.101 and 219.102 or a 
railroad rule implementing the requirements of Secs. 219.101 and 
219.102. This authority is limited to testing after observations or 
events that occur during duty hours (including any period of overtime or 
emergency service). The provisions of this subpart apply only when, and 
to the extent that, the test in question is conducted in reliance upon 
the authority conferred by this section. Section 219.23 prescribes the 
notice to an employee that is required when an employee is required to 
provide a breath or body fluid specimen under this part. A railroad may 
not require an employee to be tested under the authority of this subpart 
unless reasonable cause, as defined in this section, exists with respect 
to that employee.
    (b) For cause breath testing. In addition to reasonable suspicion as 
described in Sec. 219.300, the following circumstances constitute cause 
for the administration of alcohol tests under this section:
    (1) [Reserved]
    (2) Accident/incident. The employee has been involved in an accident 
or incident reportable under Part 225 of this chapter, and a supervisory 
employee of the railroad has a reasonable belief, based on specific, 
articulable facts, that the employee's acts or omissions contributed to 
the occurrence or severity of the accident or incident; or
    (3) Rule violation. The employee has been directly involved in one 
of the following operating rule violations or errors:
    (i) Noncompliance with a train order, track warrant, timetable, 
signal indication, special instruction or other direction with respect 
to movement of a train that involves--
    (A) Occupancy of a block or other segment of track to which entry 
was not authorized;
    (B) Failure to clear a track to permit opposing or following 
movement to pass;
    (C) Moving across a railroad crossing at grade without 
authorization; or
    (D) Passing an absolute restrictive signal or passing a restrictive 
signal without stopping (if required);
    (ii) Failure to protect a train as required by a rule consistent 
with Sec. 218.37 of this chapter (including failure to protect a train 
that is fouling an adjacent track, where required by the railroad's 
rules);
    (iii) Operation of a train at a speed that exceeds the maximum 
authorized speed by at least ten (10) miles per hour or by fifty percent 
(50%) of such maximum authorized speed, whichever is less;
    (iv) Alignment of a switch in violation of a railroad rule, failure 
to align a switch as required for movement, operation of a switch under 
a train, or unauthorized running through a switch;
    (v) Failure to apply or stop short of derail as required;
    (vi) Failure to secure a hand brake or failure to secure sufficient 
hand brakes, as required;
    (vii) Entering a crossover before both switches are lined for 
movement; or
    (viii) In the case of a person performing a dispatching function or 
block operator function, issuance of a train order or establishment of a 
route that fails to provide proper protection for a train.
    (c) For cause drug testing. In addition to reasonable suspicion as 
described in Sec. 219.300, each of the conditions set forth in 
paragraphs (b)(2) (``accident/incident'') and (b)(3) (``rule 
violation'') of this section as constituting cause for alcohol testing 
also constitutes cause with respect to drug testing.
    (d) [Reserved]

[[Page 226]]

    (e) Limitation for subpart C events. The compulsory drug testing 
authority conferred by this section does not apply with respect to any 
event subject to post-accident toxicological testing as required by 
Sec. 219.201. However, use of compulsory breath test authority is 
authorized in any case where breath test results can be obtained in a 
timely manner at the scene of the accident and conduct of such tests 
does not materially impede the collection of specimens under Subpart C 
of this part.



Sec. 219.302  Prompt specimen collection; time limitation.

    (a) Testing under this subpart may only be conducted promptly 
following the observations or events upon which the testing decision is 
based, consistent with the need to protect life and property.
    (b) No employee may be required to participate in alcohol or drug 
testing under this section after the expiration of an eight-hour period 
from--
    (1) The time of the observations or other events described in this 
section; or
    (2) In the case of an accident/incident, the time a responsible 
railroad supervisor receives notice of the event providing reasonable 
cause for conduct of the test.
    (c) An employee may not be tested under this subpart if that 
employee has been released from duty under the normal procedures of the 
railroad. An employee who has been transported to receive medical care 
is not released from duty for purposes of this section. Nothing in this 
section prohibits the subsequent testing of an employee who has failed 
to remain available for testing as required (i.e., who is absent without 
leave).
    (d) As used in this subpart, a ``responsible railroad supervisor'' 
means any responsible line supervisor (e.g., a trainmaster or road 
foreman of engines) or superior official in authority over the employee 
to be tested.
    (e) In the case of a drug test, the eight-hour requirement is 
satisfied if the employee has been delivered to the collection site 
(where the collector is present) and the request has been made to 
commence collection of the drug testing specimens within that period.
    (f) [Reserved]
    (g) Section 219.23 prescribes the notice to an employee that is 
required to provide breath or a body fluid specimen under this part.



             Subpart E--Identification of Troubled Employees



Sec. 219.401  Requirement for policies.

    (a) The purpose of this subpart is to prevent the use of alcohol and 
drugs in connection with covered service.
    (b) Each railroad must adopt, publish and implement--
    (1) A policy designed to encourage and facilitate the identification 
of those covered employees who abuse alcohol or drugs as a part of a 
treatable condition and to ensure that such employees are provided the 
opportunity to obtain counseling or treatment before those problems 
manifest themselves in detected violations of this part (hereafter 
``voluntary referral policy''); and
    (2) A policy designed to foster employee participation in preventing 
violations of this subpart and encourage co-worker participation in the 
direct enforcement of this part (hereafter ``co-worker report policy'').
    (c) A railroad may comply with this subpart by adopting, publishing 
and implementing policies meeting the specific requirements of 
Secs. 219.403 and 219.405 or by complying with Sec. 219.407.
    (d) If a railroad complies with this part by adopting, publishing 
and implementing policies consistent with Secs. 219.403 and 219.405, the 
railroad must make such policies, and publications announcing such 
policies, available for inspection and copying by FRA.
    (e) Nothing in this subpart may be construed to--
    (1) Require payment of compensation for any period an employee is 
out of service under a voluntary referral or co-worker report policy;
    (2) Require a railroad to adhere to a voluntary referral or co-
worker report policy in a case where the referral or report is made for 
the purpose, or with the effect, of anticipating the imminent and 
probable detection of a rule violation by a supervising employee; or
    (3) Limit the discretion of a railroad to dismiss or otherwise 
discipline an employee for specific rule violations or

[[Page 227]]

criminal offenses, except as specifically provided by this subpart.



Sec. 219.403  Voluntary referral policy.

    (a) Scope. This section prescribes minimum standards for voluntary 
referral policies. Nothing in this section restricts a railroad from 
adopting, publishing and implementing a voluntary referral policy that 
affords more favorable conditions to employees troubled by alcohol or 
drug abuse problems, consistent with the railroad's responsibility to 
prevent violations of Secs. 219.101 and 219.102.
    (b) Required provisions. A voluntary referral policy must include 
the following provisions:
    (1) A covered employee who is affected by an alcohol or drug use 
problem may maintain an employment relationship with the railroad if, 
before the employee is charged with conduct deemed by the railroad 
sufficient to warrant dismissal, the employee seeks assistance through 
the railroad for the employee's alcohol or drug use problem or is 
referred for such assistance by another employee or by a representative 
of the employee's collective bargaining unit. The railroad must specify 
whether, and under what circumstances, its policy provides for the 
acceptance of referrals from other sources, including (at the option of 
the railroad) supervisory employees.
    (2) Except as may be provided under paragraph (c) of this section, 
the railroad treats the referral and subsequent handling, including 
counseling and treatment, as confidential.
    (3) The railroad will, to the extent necessary for treatment and 
rehabilitation, grant the employee a leave of absence from the railroad 
for the period necessary to complete primary treatment and establish 
control over the employee's alcohol or drug problem. The policy must 
allow a leave of absence of not less than 45 days, if necessary for the 
purpose of meeting initial treatment needs.
    (4) Except as may be provided under paragraph (c)(2) of this 
section, the employee will be returned to service on the recommendation 
of the substance abuse professional. Approval to return to service may 
not be unreasonably withheld.
    (5) With respect to a certified locomotive engineer or a candidate 
for certification, the railroad must meet the requirements of 
Sec. 240.119(e) of this chapter.
    (c) Optional provisions. A voluntary referral policy may include any 
of the following provisions, at the option of the railroad:
    (1) The policy may provide that the rule of confidentiality is 
waived if--
    (i) The employee at any time refuses to cooperate in a recommended 
course of counseling or treatment; and/or
    (ii) The employee is later determined, after investigation, to have 
been involved in an alcohol or drug-related disciplinary offense growing 
out of subsequent conduct.
    (2) The policy may require successful completion of a return-to-
service medical examination as a further condition on reinstatement in 
covered service.
    (3) The policy may provide that it does not apply to an employee who 
has previously been assisted by the railroad under a policy or program 
substantially consistent with this section or who has previously elected 
to waive investigation under Sec. 219.405 (co-worker report policy).
    (4) The policy may provide that, in order to invoke its benefits, 
the employee must report to the contact designated by the railroad 
either:
    (i) During non-duty hours (i.e., at a time when the employee is off 
duty); or
    (ii) While unimpaired and otherwise in compliance with the 
railroad's alcohol and drug rules consistent with this subpart.



Sec. 219.405  Co-worker report policy.

    (a) Scope. This section prescribes minimum standards for co-worker 
report policies. Nothing in this section restricts a railroad from 
adopting, publishing and implementing a policy that affords more 
favorable conditions to employees troubled by alcohol or drug abuse 
problems, consistent with the railroad's responsibility to prevent 
violations of Secs. 219.101 and 219.102.
    (b) Employment relationship. A co-worker report policy must provide 
that a covered employee may maintain an employment relationship with the 
railroad following an alleged first offense

[[Page 228]]

under this part or the railroad's alcohol and drug rules, subject to the 
conditions and procedures contained in this section.
    (c) General conditions and procedures. (1) The alleged violation 
must come to the attention of the railroad as a result of a report by a 
co-worker that the employee was apparently unsafe to work with or was, 
or appeared to be, in violation of this part or the railroad's alcohol 
and drug rules.
    (2) If the railroad representative determines that the employee is 
in violation, the railroad may immediately remove the employee from 
service in accordance with its existing policies and procedures.
    (3) The employee must elect to waive investigation on the rule 
charge and must contact the substance abuse professional within a 
reasonable period specified by the policy.
    (4) The substance abuse professional must schedule necessary 
interviews with the employee and complete an evaluation within 10 
calendar days of the date on which the employee contacts the 
professional with a request for evaluation under the policy, unless it 
becomes necessary to refer the employee for further evaluation. In each 
case, all necessary evaluations must be completed within 20 days of the 
date on which the employee contacts the professional.
    (d) When treatment is required. If the substance abuse professional 
determines that the employee is affected by psychological or chemical 
dependence on alcohol or a drug or by another identifiable and treatable 
mental or physical disorder involving the abuse of alcohol or drugs as a 
primary manifestation, the following conditions and procedures apply:
    (1) The railroad must, to the extent necessary for treatment and 
rehabilitation, grant the employee a leave of absence from the railroad 
for the period necessary to complete primary treatment and establish 
control over the employee's alcohol or drug problem. The policy must 
allow a leave of absence of not less than 45 days, if necessary for the 
purpose of meeting initial treatment needs.
    (2) The employee must agree to undertake and successfully complete a 
course of treatment deemed acceptable by the substance abuse 
professional.
    (3) The railroad must promptly return the employee to service, on 
recommendation of the substance abuse professional, when the employee 
has established control over the substance abuse problem. Return to 
service may also be conditioned on successful completion of a return-to-
service medical examination. Approval to return to service may not be 
unreasonably withheld.
    (4) Following return to service, the employee, as a further 
condition on withholding of discipline, may, as necessary, be required 
to participate in a reasonable program of follow-up treatment for a 
period not to exceed 60 months from the date the employee was originally 
withdrawn from service.
    (e) When treatment is not required. If the substance abuse 
professional determines that the employee is not affected by an 
identifiable and treatable mental or physical disorder--
    (1) The railroad must return the employee to service within 5 days 
after completion of the evaluation.
    (2) During or following the out-of-service period, the railroad may 
require the employee to participate in a program of education and 
training concerning the effects of alcohol and drugs on occupational or 
transportation safety.
    (f) Follow-up tests. A railroad may conduct return-to-service and/or 
follow-up tests (as described in Sec. 219.104) of an employee who waives 
investigation and is determined to be ready to return to service under 
this section.



Sec. 219.407  Alternate policies.

    (a) In lieu of a policy under Sec. 219.403 (voluntary referral) or 
Sec. 219.405 (co-worker report), or both, a railroad may adopt, publish 
and implement, with respect to a particular class or craft of covered 
employees, an alternate policy or policies having as their purpose the 
prevention of alcohol or drug use in railroad operations, if such policy 
or policies have the written concurrence of the recognized 
representatives of such employees.

[[Page 229]]

    (b) The concurrence of recognized employee representatives in an 
alternate policy may be evidenced by a collective bargaining agreement 
or any other document describing the class or craft of employees to 
which the alternate policy applies. The agreement or other document must 
make express reference to this part and to the intention of the railroad 
and employee representatives that the alternate policy applies in lieu 
of the policy required by Sec. 219.403, Sec. 219.405, or both.
    (c) The railroad must file the agreement or other document described 
in paragraph (b) of this section with the Associate Administrator for 
Safety, FRA. If the alternate policy is amended or revoked, the railroad 
must file a notice of such amendment or revocation at least 30 days 
prior to the effective date of such action.
    (d) This section does not excuse a railroad from adopting, 
publishing and implementing the policies required by Secs. 219.403 and 
219.405 with respect to any group of covered employees not within the 
coverage of an appropriate alternate policy.



                     Subpart F--Pre-Employment Tests



Sec. 219.501  Pre-employment drug testing.

    (a) Prior to the first time a covered employee performs covered 
service for a railroad, the employee must undergo testing for drugs. No 
railroad may allow a covered employee to perform covered service, unless 
the employee has been administered a test for drugs with a result that 
did not indicate the misuse of controlled substances. This requirement 
applies to final applicants for employment and to employees seeking to 
transfer for the first time from non-covered service to duties involving 
covered service.
    (b) As used in subpart H of this part with respect to a test 
required under this subpart, the term covered employee includes an 
applicant for pre-employment testing only. In the case of an applicant 
who declines to be tested and withdraws the application for employment, 
no record may be maintained of the declination.



Sec. 219.502  Pre-employment alcohol testing.

    (a) A railroad may, but is not required to, conduct pre-employment 
alcohol testing under this part. If a railroad chooses to conduct pre-
employment alcohol testing, the railroad must comply with the following 
requirements:
    (1) It must conduct a pre-employment alcohol test before the first 
performance of safety-sensitive functions by every covered employee 
(whether a new employee or someone who has transferred to a position 
involving the performance of safety-sensitive functions).
    (2) It must treat all safety-sensitive employees performing safety-
sensitive functions the same for the purpose of pre-employment alcohol 
testing (i.e., it must not test some covered employees and not others).
    (3) It must conduct the pre-employment tests after making a 
contingent offer of employment or transfer, subject to the employee 
passing the pre-employment alcohol test.
    (4) It must conduct all pre-employment alcohol tests using the 
alcohol testing procedures of part 40 of this title.
    (5) It must not allow a covered employee to begin performing safety-
sensitive functions unless the result of the employee's test indicates 
an alcohol concentration of less than 0.04.
    (b) As used in subpart H of this part, with respect to a test 
authorized under this subpart, the term covered employee includes an 
applicant for pre-employment testing only. In the case of an applicant 
who declines to be tested and withdraws the application for employment, 
no record may be maintained of the declination.



Sec. 219.503  Notification; records.

    The railroad must provide for medical review of drug test results as 
provided in subpart H of this part. The railroad must notify the 
applicant of the results of the drug and alcohol tests in the same 
manner as provided for employees in subpart H of this part. Records must 
be maintained confidentially and be retained in the same manner as 
required under subpart J of this part for employee test records, except

[[Page 230]]

that such records need not reflect the identity of an applicant whose 
application for employment in covered service was denied.



Sec. 219.505  Refusals.

    An applicant who has refused to submit to pre-employment testing 
under this section may not be employed in covered service based upon the 
application and examination with respect to which such refusal was made. 
This section does not create any right on the part of the applicant to 
have a subsequent application considered; nor does it restrict the 
discretion of the railroad to entertain a subsequent application for 
employment from the same person.



           Subpart G--Random Alcohol and Drug Testing Programs



Sec. 219.601  Railroad random drug testing programs.

    (a) Submission. Each railroad must submit for FRA approval a random 
testing program meeting the requirements of this subpart. A railroad 
commencing operations must submit such a program not later than 30 days 
prior to such commencement. The program must be submitted to the 
Associate Administrator for Safety, FRA, for review and approval by the 
FRA Administrator. If, after approval, a railroad desires to amend the 
random testing program implemented under this subpart, the railroad must 
file with FRA a notice of such amendment at least 30 days prior to the 
intended effective date of such action. A railroad already subject to 
this subpart that becomes subject to this subpart with respect to one or 
more additional employees must amend its program not later than 60 days 
after these employees become subject to this subpart and file with FRA a 
notice of such amendment at least 30 days prior to the intended 
effective date of such action. A program responsive to the requirements 
of this section or any amendment to the program may not be implemented 
prior to approval.
    (b) Form of programs. Random testing programs submitted by or on 
behalf of each railroad under this subpart must meet the following 
criteria, and the railroad and its managers, supervisors, officials and 
other employees and agents must conform to such criteria in implementing 
the program:
    (1) Selection of covered employees for testing must be made by a 
method employing objective, neutral criteria which ensure that every 
covered employee has a substantially equal statistical chance of being 
selected within a specified time frame. The method may not permit 
subjective factors to play a role in selection, i.e., no employee may be 
selected as the result of the exercise of discretion by the railroad. 
The selection method must be capable of verification with respect to the 
randomness of the selection process, and any records necessary to 
document random selection must be retained for not less than 24 months 
from the date upon which the particular specimens were collected.
    (2)(i) The program must select for testing a sufficient number of 
employees so that, during the first 12 months--
    (A) The random testing program is spread reasonably through the 12-
month period.
    (B) [Reserved]
    (ii) During the subsequent 12-month period, the program must select 
for testing a sufficient number of employees so that the number of tests 
conducted will equal at least 50 percent of the number of covered 
employees. Annualized percentage rates must be determined by reference 
to the total number of covered employees employed by the railroad at the 
beginning of the particular twelve-month period or by an alternate 
method specified in the plan approved by the Associate Administrator for 
Safety, FRA. If the railroad conducts random testing through a 
consortium, the annual rate may be calculated for each individual 
employer or for the total number of covered employees subject to random 
testing by the consortium.
    (3) Railroad random testing programs must ensure to the maximum 
extent practicable that each employee perceives the possibility that a 
random test may be required on any day the employee reports for work.
    (4) Notice of an employee's selection may not be provided until the 
duty

[[Page 231]]

tour in which testing is to be conducted, and then only so far in 
advance as is reasonably necessary to ensure the employee's presence at 
the time and place set for testing.
    (5) The program must include testing procedures and safeguards, and 
procedures for action based on positive test results, consistent with 
this part.
    (6) An employee must be subject to testing only while on duty. Only 
employees who perform covered service for the railroad are subject to 
testing under this part. In the case of employees who during some duty 
tours perform covered service and during others do not, the railroad 
program must specify the extent to which, and the circumstances under 
which they are to be subject to testing. To the extent practical within 
the limitations of this part and in the context of the railroad's 
operations, the railroad program must provide that employees are subject 
to the possibility of random testing on any day they actually perform 
covered service.
    (7) Each time an employee is notified for random drug testing the 
employee will be informed that selection was made on a random basis.
    (c) Approval. The Associate Administrator for Safety, FRA, will 
notify the railroad in writing whether the program is approved as 
consistent with the criteria set forth in this part. If the Associate 
Administrator for Safety determines that the program does not conform to 
those criteria, the Associate Administrator for Safety will inform the 
railroad of any matters preventing approval of the program, with 
specific explanation as to necessary revisions. The railroad must 
resubmit its program with the required revisions within 30 days of such 
notice. Failure to resubmit the program with the necessary revisions 
will be considered a failure to implement a program under this subpart.
    (d) Implementation. (1) No later than 45 days prior to commencement 
of random testing, the railroad must publish to each of its covered 
employees, individually, a written notice that he or she will be subject 
to random drug testing under this part. Such notice must state the date 
for commencement of the program, must state that the selection of 
employees for testing will be on a strictly random basis, must describe 
the consequences of a determination that the employee has violated 
Sec. 219.102 or any applicable railroad rule, and must inform the 
employee of the employee's rights under subpart E of this part. A copy 
of the notice must be provided to each new covered employee on or before 
the employee's initial date of service. Since knowledge of Federal law 
is presumed, nothing in this paragraph (d)(1) creates a defense to a 
violation of Sec. 219.102.
    (2) A railroad commencing operations must submit a random testing 
program 60 days after doing so. The railroad must implement its approved 
random testing program not later than the expiration of 60 days from 
approval by the Administrator.



Sec. 219.602  FRA Administrator's determination of random drug testing rate.

    (a) Except as provided in paragraphs (b) through (d) of this 
section, the minimum annual percentage rate for random drug testing must 
be 50 percent of covered employees.
    (b) The FRA Administrator's decision to increase or decrease the 
minimum annual percentage rate for random drug testing is based on the 
reported positive rate for the entire industry. All information used for 
this determination is drawn from the drug MIS reports required by this 
part. In order to ensure reliability of the data, the Administrator 
considers the quality and completeness of the reported data, may obtain 
additional information or reports from railroads, and may make 
appropriate modifications in calculating the industry positive rate. 
Each year, the Administrator will publish in the Federal Register the 
minimum annual percentage rate for random drug testing of covered 
employees. The new minimum annual percentage rate for random drug 
testing will be applicable starting January 1 of the calendar year 
following publication.
    (c) When the minimum annual percentage rate for random drug testing 
is 50 percent, the Administrator may lower this rate to 25 percent of 
all covered employees if the Administrator determines that the data 
received

[[Page 232]]

under the reporting requirements of Sec. 219.803 for two consecutive 
calendar years indicate that the reported positive rate is less than 1.0 
percent.
    (d) When the minimum annual percentage rate for random drug testing 
is 25 percent, and the data received under the reporting requirements of 
Sec. 219.803 for any calendar year indicate that the reported positive 
rate is equal to or greater than 1.0 percent, the Administrator will 
increase the minimum annual percentage rate for random drug testing to 
50 percent of all covered employees.
    (e) Selection of covered employees for testing must be made by a 
method employing objective, neutral criteria which ensures that every 
covered employee has a substantially equal statistical chance of being 
selected within a specified time frame. The method may not permit 
subjective factors to play a role in selection, i.e., no employee may be 
selected as a result of the exercise of discretion by the railroad. The 
selection method must be capable of verification with respect to the 
randomness of the selection process.
    (f) The railroad must randomly select a sufficient number of covered 
employees for testing during each calendar year to equal an annual rate 
not less than the minimum annual percentage rate for random drug testing 
determined by the Administrator. If the railroad conducts random drug 
testing through a consortium, the number of employees to be tested may 
be calculated for each individual railroad or may be based on the total 
number of covered employees covered by the consortium who are subject to 
random drug testing at the same minimum annual percentage rate under 
this part or any DOT agency drug testing rule.
    (g) Each railroad must ensure that random drug tests conducted under 
this part are unannounced and that the dates for administering random 
tests are spread reasonably throughout the calendar year.
    (h) If a given covered employee is subject to random drug testing 
under the drug testing rules of more than one DOT agency for the same 
railroad, the employee must be subject to random drug testing at the 
percentage rate established for the calendar year by the DOT agency 
regulating more than 50 percent of the employee's function.
    (i) If a railroad is required to conduct random drug testing under 
the drug testing rules of more than one DOT agency, the railroad may--
    (1) Establish separate pools for random selection, with each pool 
containing the covered employees who are subject to testing at the same 
required rate; or
    (2) Randomly select such employees for testing at the highest 
percentage rate established for the calendar year by any DOT agency to 
which the railroad is subject.



Sec. 219.603  Participation in drug testing.

    A railroad shall, under the conditions specified in this subpart and 
subpart H of this part, require a covered employee selected through the 
random testing program to cooperate in urine testing to determine 
compliance with Sec. 219.102, and the employee must provide the required 
specimen and complete the required paperwork and certifications. 
Compliance by the employee may be excused only in the case of a 
documented medical or family emergency.



Sec. 219.605  Positive drug test results; procedures.

    (a) [Reserved]
    (b) Procedures for administrative handling by the railroad in the 
event a specimen provided under this subpart is reported as positive by 
the MRO are set forth in Sec. 219.104. The responsive action required in 
Sec. 219.104 is not stayed pending the result of a retest or split 
specimen test.



Sec. 219.607  Railroad random alcohol testing programs.

    (a) Each railroad must submit for FRA approval a random alcohol 
testing program meeting the requirements of this subpart. A railroad 
commencing operations must submit a random alcohol testing program not 
later than 30 days prior to such commencement. The program must be 
submitted to the Associate Administrator for Safety, FRA, for review and 
approval. If, after approval, a railroad desires to amend the random 
alcohol testing program implemented under this subpart, the railroad

[[Page 233]]

must file with FRA a notice of such amendment at least 30 days prior to 
the intended effective date of such action. A program responsive to the 
requirements of this section or any amendment to the program may not be 
implemented prior to approval.
    (b) Form of programs. Random alcohol testing programs submitted by 
or on behalf of each railroad under this subpart must meet the following 
criteria, and the railroad and its managers, supervisors, officials and 
other employees and agents must conform to such criteria in implementing 
the program:
    (1) Selection of covered employees for testing must be made by a 
method employing objective, neutral criteria which ensures that every 
covered employee has a substantially equal statistical chance of being 
selected within a specified time frame. The method may not permit 
subjective factors to play a role in selection, i.e., no employee may be 
selected as the result of the exercise of discretion by the railroad. 
The selection method must be capable of verification with respect to the 
randomness of the selection process, and any records necessary to 
document random selection must be retained for not less than 24 months 
from the date upon which the particular specimens were collected.
    (2) The program must include testing procedures and safeguards, and, 
consistent with this part, procedures for action based on tests where 
the employee is found to have violated Sec. 219.101.
    (3) The program must ensure that random alcohol tests conducted 
under this part are unannounced and that the dates for administering 
random tests are spread reasonably throughout the calendar year.
    (4) The program must ensure to the maximum extent practicable that 
each covered employee perceives the possibility that a random alcohol 
test may be required at any time the employee reports for work and at 
any time during the duty tour (except any period when the employee is 
expressly relieved of any responsibility for performance of covered 
service).
    (5) An employee may be subject to testing only while on duty. Only 
employees who perform covered service for the railroad may be subject to 
testing under this part. In the case of employees who during some duty 
tours perform covered service and during others do not, the railroad 
program may specify the extent to which, and the circumstances under 
which they are subject to testing. To the extent practical within the 
limitations of this part and in the context of the railroad's 
operations, the railroad program must provide that employees are subject 
to the possibility of random testing on any day they actually perform 
covered service.
    (6) Testing must be conducted promptly, as provided in 
Sec. 219.701(b)(1).
    (7) Each time an employee is notified for random alcohol testing the 
employee must be informed that selection was made on a random basis.
    (8) Each railroad must ensure that each covered employee who is 
notified of selection for random alcohol testing proceeds to the test 
site immediately; provided, however, that if the employee is performing 
a safety-sensitive function at the time of the notification, the 
railroad must instead ensure that the employee ceases to perform the 
safety-sensitive function and proceeds to the testing site as soon as 
possible.
    (c) Implementation. (1) No later than 45 days prior to commencement 
of random alcohol testing, the railroad must publish to each of its 
covered employees, individually, a written notice that the employee will 
be subject to random alcohol testing under this part. Such notice must 
state the date for commencement of the program, must state that the 
selection of employees for testing will be on a strictly random basis, 
must describe the consequences of a determination that the employee has 
violated Sec. 219.101 or any applicable railroad rule, and must inform 
the employee of the employee's rights under subpart E of this part. A 
copy of the notice must be provided to each new covered employee on or 
before the employee's initial date of service. Since knowledge of 
Federal law is presumed, nothing in this paragraph (c)(1) creates a 
defense to a violation of Sec. 219.101. This notice may be combined with 
the notice or policy statement required by Sec. 219.23.

[[Page 234]]

    (2) A railroad commencing operations must submit a random testing 
program 60 days after doing so. The railroad must implement its approved 
random testing program not later than the expiration of 60 days from 
approval by the Administrator.



Sec. 219.608  FRA Administrator's determination of random alcohol testing rate.

    (a) Except as provided in paragraphs (b) through (d) of this 
section, the minimum annual percentage rate for random alcohol testing 
must be 25 percent of covered employees.
    (b) The Administrator's decision to increase or decrease the minimum 
annual percentage rate for random alcohol testing is based on the 
violation rate for the entire industry. All information used for the 
determination is drawn from the alcohol MIS reports required by this 
part. In order to ensure reliability of the data, the Administrator 
considers the quality and completeness of the reported data, may obtain 
additional information or reports from employers, and may make 
appropriate modifications in calculating the industry violation rate. 
Each year, the Administrator will publish in the Federal Register the 
minimum annual percentage rate for random alcohol testing of covered 
employees. The new minimum annual percentage rate for random alcohol 
testing will be applicable starting January 1 of the calendar year 
following publication.
    (c)(1) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or more, the Administrator may lower this rate to 
10 percent of all covered employees if the Administrator determines that 
the data received under the reporting requirements of Sec. 219.801 for 
two consecutive calendar years indicate that the violation rate is less 
than 0.5 percent.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 50 percent, the Administrator may lower this rate to 25 
percent of all covered employees if the Administrator determines that 
the data received under the reporting requirements of Sec. 219.801 for 
two consecutive calendar years indicate that the violation rate is less 
than 1.0 percent but equal to or greater than 0.5 percent.
    (d)(1) When the minimum annual percentage rate for random alcohol 
testing is 10 percent, and the data received under the reporting 
requirements of Sec. 219.801 for that calendar year indicate that the 
violation rate is equal to or greater than 0.5 percent, but less than 
1.0 percent, the Administrator will increase the minimum annual 
percentage rate for random alcohol testing to 25 percent of all covered 
employees.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or less, and the data received under the reporting 
requirements of Sec. 219.801 for any calendar year indicate that the 
violation rate is equal to or greater than 1.0 percent, the 
Administrator will increase the minimum annual percentage rate for 
random alcohol testing to 50 percent of all covered employees.
    (e) The railroad must randomly select and test a sufficient number 
of covered employees for testing during each calendar year to equal an 
annual rate not less than the minimum annual percentage rate for random 
alcohol testing determined by the Administrator. If the railroad 
conducts random alcohol testing through a consortium, the number of 
employees to be tested may be calculated for each individual employer or 
may be based on the total number of covered employees covered by the 
consortium who are subject to random testing at the same minimum annual 
percentage rate under this part or any DOT agency alcohol testing rule.
    (f) If a railroad is required to conduct random alcohol testing 
under the alcohol testing rules of more than one DOT agency, the 
railroad may--
    (1) Establish separate pools for random selection, with each pool 
containing the covered employees who are subject to testing at the same 
required rate; or
    (2) Randomly select such employees for testing at the highest 
percentage rate established for the calendar year by any DOT agency to 
which the railroad is subject.

[[Page 235]]



Sec. 219.609  Participation in alcohol testing.

    A railroad must, under the conditions specified in this subpart and 
subpart H of this part, require a covered employee selected through the 
random testing program to cooperate in breath testing to determine 
compliance with Sec. 219.101, and the employee must provide the required 
breath and complete the required paperwork and certifications. 
Compliance by the employee may be excused only in the case of a 
documented medical or family emergency.



Sec. 219.611  Test result indicating prohibited alcohol concentration; procedures.

    Procedures for administrative handling by the railroad in the event 
an employee's confirmation test indicates an alcohol concentration of 
.04 or greater are set forth in Sec. 219.104.



             Subpart H--Drug and Alcohol Testing Procedures



Sec. 219.701  Standards for drug and alcohol testing.

    (a) Drug testing required or authorized by subparts B, D, F, and G 
of this part must be conducted in compliance with all applicable 
provisions of the Department of Transportation Procedures for 
Transportation Workplace Drug and Alcohol Testing Programs (part 40 of 
this title).
    (b) Alcohol testing required or authorized by subparts B, D, F, and 
G of this part must be conducted in compliance with all applicable 
provisions of the Department of Transportation Procedures for 
Transportation Workplace Drug and Alcohol Testing Programs (part 40 of 
this title).
    (c) Each covered employee who is notified of selection for testing 
and who is not performing covered service at the time of notification 
must proceed to the testing site immediately. The railroad must ensure 
that an employee who is performing covered service at the time of 
notification shall, as soon as possible without affecting safety, cease 
to perform covered service and proceed to the testing site.



                        Subpart I--Annual Report



Sec. 219.801  Reporting alcohol misuse prevention program results in a management information system.

    (a) Each railroad that has 400,000 or more total manhours shall 
submit to FRA by March 15 of each year a report covering the previous 
calendar year (January 1--December 31), summarizing the results of its 
alcohol misuse prevention program.
    (b) A railroad that is subject to more than one DOT agency alcohol 
regulation must identify each employee covered by the regulations of 
more than one DOT agency. The identification will be by the total number 
and category of covered functions. Prior to conducting any alcohol test 
on a covered employee subject to the regulations of more than one DOT 
agency, the railroad must determine which DOT agency regulation or rule 
authorizes or requires the test. The test result information must be 
directed to the appropriate DOT agency or agencies.
    (c) Each railroad must ensure the accuracy and timeliness of each 
report submitted. The report must be submitted on one of the two forms 
specified by the FRA.
    (d) Each report required by this section that contains information 
on an alcohol screening test result of .02 or greater or a violation of 
the alcohol misuse provisions of subpart B of this part must include the 
following elements:
    (1) Number of covered employees by employee category (i.e., train 
service, engine service, dispatcher/operator, signal, other).
    (2) Number of covered employees in each category subject to alcohol 
testing under the alcohol misuse regulation of another DOT agency, 
identified by each agency.
    (3)(i) Number of screening tests by type of test (i.e., pre-
employment and covered service transfer, random, post-positive return to 
service, and follow-up) and employee category.
    (ii) Number of confirmation tests, by type of test and employee 
category.
    (4) Number of confirmation alcohol tests indicating an alcohol 
concentration equal of .02 or greater but less

[[Page 236]]

than .04, by type of test and employee category.
    (5) Number of confirmation alcohol tests indicating an alcohol 
concentration of .04 or greater, by type of test and employee category.
    (6) Number of persons denied a position as a covered employee 
following a pre-employment alcohol test indicating an alcohol 
concentration of .04 or greater.
    (7) Number of covered employees with a confirmation alcohol test 
indicating an alcohol concentration of .04 or greater, or who have 
violations of other alcohol misuse provisions, who were returned to 
service in covered positions (having complied with the recommendations 
of a substance abuse professional as described in Sec. 219.104(d)).
    (8) For cause breath alcohol testing under railroad authority, by 
reason for test (accident/injury or rules violation), the number of 
screening tests conducted, the number of confirmation tests conducted, 
the number of confirmation tests of .02 or greater but less than .04, 
and the number of confirmation test results of .04 or greater.
    (9) For cause breath alcohol testing under FRA authority, by reason 
for test (reasonable suspicion, accident/injury or rules violation), the 
number of screening tests conducted, the number of confirmation tests 
conducted, the number of confirmation tests of .02 or greater but less 
than .04, and the number of confirmation test results of .04 or greater.
    (10) Number of covered employees who were found to have violated 
other provisions of subpart B of this part, and the action taken in 
response to the violation.
    (11) Number of covered employees who were administered alcohol and 
drug tests at the same time, with both a positive drug test result and 
an alcohol test result indicating an alcohol concentration of .04 or 
greater.
    (12) Number of covered employees who refused to submit to a random 
alcohol test required under this part.
    (13) Number of covered employees who refused to submit to a non-
random alcohol test required under this part.
    (14) Number of supervisory personnel who have received the required 
initial training on the specific contemporaneous physical, behavioral, 
and performance indicators of probable alcohol use during the reporting 
period.
    (e) Each report required by this section that contains information 
on neither a screening test result of 0.02 or greater nor a violation of 
the alcohol misuse provisions of subpart B of this part must include the 
following informational elements:
    (1) Number of covered employees by employee category (i.e., train 
service, engine service, dispatcher/operator, signal, other).
    (2) Number of covered employees in each category subject to alcohol 
testing under the alcohol misuse regulation of another DOT agency, 
identified by each agency.
    (3) Number of screening tests by type of test (i.e., pre-employment 
and covered service transfer, random, post-positive return to service, 
and follow-up) and employee category.
    (4) Number of covered employees with a confirmation alcohol test 
indicating an alcohol concentration of .04 or greater, or who have 
violations of other alcohol misuse provisions, who were returned to 
service in covered positions (having complied with the recommendations 
of a substance abuse professional as described in Sec. 219.104(d)).
    (5) For cause breath alcohol testing under railroad authority, by 
reason for test (accident/injury or rules violation), the number of 
screening tests conducted.
    (6) For cause breath alcohol testing under FRA authority, by reason 
for test (reasonable suspicion, accident/injury or rules violation), the 
number of screening tests conducted.
    (7) Number of covered employees who refused to submit to a random 
alcohol test required under this part.
    (8) Number of covered employees who refused to submit to a non-
random alcohol test required under this part.
    (9) Number of supervisory personnel who have received the required 
initial training on the specific contemporaneous physical, behavioral, 
and performance indicators of probable alcohol use during the reporting 
period.

[[Page 237]]



Sec. 219.803  Reporting drug misuse prevention program results in a management information system.

    (a) Each railroad that has 400,000 or more total manhours shall 
submit to FRA an annual report covering the calendar year, summarizing 
the results of its drug misuse prevention program.
    (b) A railroad that is subject to more than one DOT agency drug 
regulation must identify each employee covered by the regulations of 
more than one DOT agency. The identification will be by the total number 
and category of covered functions. Prior to conducting any drug test on 
a covered employee subject to the regulations of more than one DOT 
agency, the railroad must determine which DOT agency regulation or rules 
authorizes or requires the test. The test result information must be 
directed to the appropriate DOT agency or agencies.
    (c) Each railroad must ensure the accuracy and timeliness of each 
report submitted by the railroad or a consortium.
    (d) Each railroad must submit the required annual reports no later 
than March 15 of each year. The report must be submitted on one of the 
forms specified by the FRA. A railroad with no positive test result must 
submit the ``Drug Testing Management Information System Zero Positives 
Data Collection Form.'' All other railroads must submit the ``Drug 
Testing Management Information System Data Collection Form.''
    (e) A railroad submitting the ``Drug Testing Management Information 
System Data Collection Form'' must address each of the following data 
elements:
    (1) Number of covered employees by employee category (i.e., train 
service, engine service, dispatcher/operator, signal service, other).
    (2) Number of covered employees in each category subject to testing 
under the anti-drug regulations of more than one DOT agency, identified 
by each agency.
    (3) Number of specimens collected by type of test (i.e., pre-
employment and covered service transfer, random, post-positive return to 
service, and follow-up), and employee category.
    (4) Number of specimens verified negative by a Medical Review 
Officer (MRO) by type of test, and employee category.
    (5) Number of specimens verified positive for one or more of the 
five drugs by a MRO by type of test, employee category, and type of 
drug. If a test has been verified positive by a MRO for multiple drugs, 
the employer should report the result as a positive for each type of 
drug.
    (6) Number of applicants or transfers denied employment or transfer 
to a covered service position following a verified positive pre-
employment drug test.
    (7) Number of employees, currently in or having completed 
rehabilitation or otherwise qualified to return to duty, who have 
returned to work in a covered position during the reporting period.
    (8) For cause drug testing, the number of specimens collected by 
reason for test (i.e., accident/injury, rules violation, or reasonable 
suspicion), type of authority (railroad or FRA), employee category and 
type of drug, including drugs tested for under railroad authority only.
    (9) For cause drug testing, the number of specimens verified 
negative by a MRO by reason for test, type of authority, employee 
category and type of drug, including drugs tested for under railroad 
authority only.
    (10) For cause drug testing, the number of specimens verified 
positive by a MRO by reason for test, type of authority, employee 
category and type of drug, including drugs tested for under railroad 
authority only.
    (11) For cause breath alcohol testing under railroad authority, by 
reason for test, the number of tests conducted, the number of tests with 
a positive result (i.e., breath alcohol concentration (BAC) = or 
 .02), and the number of refusals.
    (12) For cause urine alcohol testing under railroad authority, by 
reason for test, the number of tests conducted, the number of tests with 
a positive result, and the number of refusals.
    (13) For cause breath alcohol testing under FRA authority, by reason 
for test, the number of tests conducted,

[[Page 238]]

the number of tests with a positive result, and the number of refusals.
    (14) Total number of covered employees observed in documented 
operational tests and inspections related to enforcement of the 
railroad's rules on alcohol and drug use.
    (15) Based on the tests and inspections described in paragraph 
(e)(14) of this section, the number of covered employees charged with a 
violation of the railroad's Rule G or similar rule or policy on drugs.
    (16) Based on the tests and inspections described in paragraph 
(e)(14) of this section, the number of covered employees charged with a 
violation of the railroad's Rule G or similar rule or policy on alcohol.
    (17) Number of specimens verified positive for more than one drug, 
by employee category and type of drug.
    (18) Number of covered employees who refused to submit to a random 
drug test required under FRA authority.
    (19) Number of covered employees who refused to submit to a non-
random drug test required under FRA authority.
    (20) Number of supervisory personnel who have received the required 
initial training on the specific contemporaneous physical, behavioral, 
and performance indicators of probable drug use during the reporting 
period.
    (f) A railroad authorized to submit the ``Drug Testing Management 
Information System Zero Positives Data Collection Form'' must address 
each of the following data elements:
    (1) Number of covered employees by employee category (i.e., train 
service, engine service, dispatcher/operator, signal service, other).
    (2) Number of covered employees in each category subject to testing 
under the anti-drug regulations of more than one DOT agency, identified 
by each agency.
    (3) Number of specimens collected and verified negative by type of 
test (i.e., pre-employment and covered service transfer, random, for 
cause due to accident/incident, for cause due to rules violation, 
reasonable suspicion, post-positive return to service, and follow-up), 
and employee category.
    (4) For cause breath alcohol testing under railroad authority, the 
number of tests conducted by reason for test (i.e., accident/injury, 
rules violation, or reasonable suspicion).
    (5) For cause urine alcohol testing under railroad authority, the 
number of tests conducted by reason for test.
    (6) For cause breath alcohol testing under FRA authority, the number 
of tests conducted by reason for test.
    (7) Total number of covered employees observed in documented 
operational tests and inspections related to enforcement of the 
railroad's rules on alcohol and drug use.
    (8) Based on the tests and inspections described in paragraph (f)(7) 
of this section, the number of covered employees charged with a 
violation of the railroad's Rule G or similar rule or policy on drugs.
    (9) Based on the tests and inspections described in paragraph (f)(7) 
of this section, the number of covered employees charged with a 
violation of the railroad's Rule G or similar rule or policy on alcohol.
    (10) Number of covered employees who refused to submit to a random 
drug test required under FRA authority.
    (11) Number of covered employees who refused to submit to a non-
random drug test required under FRA authority.
    (12) Number of supervisory personnel who have received the required 
initial training on the specific contemporaneous physical, behavioral, 
and performance indicators of probable drug use during the reporting 
period.



                  Subpart J--Recordkeeping Requirements



Sec. 219.901  Retention of alcohol testing records.

    (a) General requirement. In addition to the records required to be 
kept by part 40 of this title, each railroad must maintain alcohol 
misuse prevention program records in a secure location with controlled 
access as set out in this section.
    (b) Each railroad must maintain the following records for a minimum 
of five years:

[[Page 239]]

    (1) A summary record of each covered employee's test results; and
    (2) A copy of the annual report summarizing the results of its 
alcohol misuse prevention program (if required to submit the report 
under Sec. 219.801(a)).
    (c) Each railroad must maintain the following records for a minimum 
of two years:
    (1) Records related to the collection process:
    (i) Collection logbooks, if used.
    (ii) Documents relating to the random selection process.
    (iii) Documents generated in connection with decisions to administer 
reasonable suspicion alcohol tests.
    (iv) Documents generated in connection with decisions on post-
accident testing.
    (v) Documents verifying the existence of a medical explanation of 
the inability of a covered employee to provide an adequate specimen.
    (2) Records related to test results:
    (i) The railroad's copy of the alcohol test form, including the 
results of the test.
    (ii) Documents related to the refusal of any covered employee to 
submit to an alcohol test required by this part.
    (iii) Documents presented by a covered employee to dispute the 
result of an alcohol test administered under this part.
    (3) Records related to other violations of this part.
    (4) Records related to employee training:
    (i) Materials on alcohol abuse awareness, including a copy of the 
railroad's policy on alcohol abuse.
    (ii) Documentation of compliance with the requirements of 
Sec. 219.23.
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination concerning 
the need for alcohol testing based on reasonable suspicion.
    (iv) Certification that any training conducted under this part 
complies with the requirements for such training.



Sec. 219.903  Retention of drug testing records.

    (a) General requirement. In addition to the records required to be 
kept by part 40 of this title, each railroad must maintain drug abuse 
prevention program records in a secure location with controlled access 
as set forth in this section.
    (b) (1) Each railroad must maintain the following records for a 
minimum of five years:
    (i) A summary record of each covered employee's test results; and
    (ii) A copy of the annual report summarizing the results of its drug 
misuse prevention program (if required to submit under Sec. 219.803(a)).
    (2) Each railroad must maintain the following records for a minimum 
of two years.
    (c) Types of records. The following specific records must be 
maintained:
    (1) Records related to the collection process:
    (i) Documents relating to the random selection process.
    (ii) Documents generated in connection with decisions to administer 
reasonable suspicion drug tests.
    (iii) Documents generated in connection with decisions on post-
accident testing.
    (iv) Documents verifying the existence of a medical explanation of 
the inability of a covered employee to provide a specimen.
    (2) Records related to test results:
    (i) The railroad's copy of the drug test custody and control form, 
including the results of the test.
    (ii) Documents presented by a covered employee to dispute the result 
of a drug test administered under this part.
    (3) Records related to other violations of this part.
    (4) Records related to employee training:
    (i) Materials on drug abuse awareness, including a copy of the 
railroad's policy on drug abuse.
    (ii) Documentation of compliance with the requirements of 
Sec. 219.23.
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination concerning 
the need for alcohol testing based on reasonable suspicion.
    (iv) Certification that any training conducted under this part 
complies

[[Page 240]]

with the requirements for such training.



Sec. 219.905  Access to facilities and records.

    (a) Release of covered employee information contained in records 
required to be maintained under Secs. 219.901 and 219.903 must be in 
accordance with part 40 of this title and with this section. (For 
purposes of this section only, urine drug testing records are considered 
equivalent to breath alcohol testing records.)
    (b) Each railroad must permit access to all facilities utilized in 
complying with the requirements of this part to the Secretary of 
Transportation, United States Department of Transportation, or any DOT 
agency with regulatory authority over the railroad or any of its covered 
employees.
    (c) Each railroad must make available copies of all results for 
railroad alcohol and drug testing programs conducted under this part and 
any other information pertaining to the railroad's alcohol and drug 
misuse prevention program, when requested by the Secretary of 
Transportation or any DOT agency with regulatory authority over the 
railroad or covered employee.

           Appendix A to Part 219--Schedule of Civil Penalties

    The following chart lists the schedule of civil penalties:

                          Penalty Schedule \1\
------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
           Subpart A--General
 
219.3 Application:
    Railroad does not have required               $5,000          $7,500
     program............................
219.11 General conditions for chemical
 tests:
    (b)(1) Employee unlawfully refuses             2,500           5,000
     to participate in testing..........
    (b)(2) Employer fails to give                  3,000           8,000
     priority to medical treatment......
    (b)(3) Employee fails to remain                2,500           5,000
     available..........................
    (b)(4) Employee tampers with                   2,500           5,000
     specimen...........................
    (d) Employee unlawfully required to            2,500           5,000
     execute a waiver of rights.........
    (e) Railroad used or authorized the   ..............           7,500
     use of coercion to obtain specimens
    (g) Failure to meet supervisory                2,500           5,000
     training requirements or program of
     instruction not available or
     program not complete...............
    (h) Urine or blood specimens                   2,500           5,000
     provided for Federal testing were
     used for non-authorized testing....
219.23 Railroad policies:
    (a) Failure to provide written                 1,000           4,000
     notice of FRA test.................
    (b) Failure to provide written                 1,000           4,000
     notice of basis for FRA test.......
    (c) Use of Subpart C form for other            1,000           4,000
     test...............................
    (d) Failure to provide educational             1,000           4,000
     materials..........................
    (e) Educational materials fail to              1,000           4,000
     explain requirements of this part
     and/or include required content....
    (f) Non-Federal provisions are                 1,000           4,000
     clearly described as independent
     authority..........................
 
         Subpart B--Prohibitions
 
219.101 Alcohol and drug use prohibited:
    Employee violates prohibition(s)....          10,000  ..............
219.103 Prescribed and over-the-counter
 drugs:
    (a) Failure to train employee                  2,500           5,000
     properly on requirements...........
219.104 Responsive action:
    (a) Failure to remove employee from            3,000           8,000
     covered service immediately........
    (b) Failure to provide notice for              1,000           4,000
     removal............................
    (c) Failure to provide prompt                  2,000           7,000
     hearing............................
    (d) Employee improperly returned to            2,000           7,000
     service............................
219.105 Railroad's duty to prevent
 violations:
    (a) Employee improperly permitted to           7,000          10,000
     remain in covered service..........
    (b) Failure to exercise due                    2,500           5,000
     diligence to assure compliance with
     prohibition........................
219.107 Consequences of unlawful
 refusal:
    (a) Failure to disqualify an                   5,000           7,500
     employee for nine months following
     a refusal..........................
    (e) Employee unlawfully returned to            5,000           7,500
     service............................
 
 Subpart C--Post-Accident Toxicological
                 Testing
 
219.201 Events for which testing is
 required:
    (a) Failure to test after qualifying           5,000           7,500
     event (each employee not tested is
     a violation).......................
    (c)(1)(i) Failure to make good faith           2,500           5,000
     determination......................
    (c)(1)(ii) Failure to provide                  1,000           3,000
     requested decision report to FRA...
    (c)(2) Testing performed after non-            5,000          10,000
     qualifying event...................
219.203 Responsibilities of railroads
 and employees:
    (a)(1)(i) and (a)(2)(i) Failure to             2,500           5,000
     properly test/exclude from testing.

[[Page 241]]

 
    (a)(1)(ii) and (a)(2)(ii) Non-                 2,500           5,000
     covered service employee tested....
    (b)(1) Delay in obtaining specimens            2,500           5,000
     due to failure to make every
     reasonable effort..................
    (c) Independent medical facility not           2,500           5,000
     utilized...........................
    (d) Failure to report event or                 1,000           3,000
     contact FRA when intervention
     required...........................
219.205 Specimen collection and
 handling:
    (a) Failure to observe requirements            2,500           5,000
     with respect to specimen
     collection, marking and handling...
    (b) Failure to provide properly                2,500           5,000
     prepared forms with specimens......
    (d) Failure to promptly or properly            2,500           5,000
     forward specimens..................
219.207 Fatality:
    (a) Failure to test.................           5,000           7,500
    (a)(1) Failure to ensure timely                2,500           5,000
     collection and shipment of required
     specimens..........................
    (b) Failure to request assistance              2,500           5,000
     when necessary.....................
219.209 Reports of tests and refusals:
    (a)(1) Failure to provide telephonic           1,000           2,000
     report.............................
    (b) Failure to provide written                 1,000           2,000
     report of refusal to test..........
    (c) Failure to maintain report                 1,000           2,000
     explaining why test not conducted
     within 4 hours.....................
219.211 Analysis and follow-up:
    (c) Failure of MRO to report review            2,500           5,000
     of positive results to FRA.........
 
      Subpart D--Testing for Cause
 
219.300 Mandatory reasonable suspicion
 testing:
    (a)(1) Failure to test when                    5,000           7,500
     reasonable suspicion criteria met..
    (a)(2) Tested when reasonable                  5,000           7,500
     suspicion criteria not met.........
219.301 Testing for reasonable cause:
    (a) Event did not occur during daily           2,500           5,000
     tour...............................
    (b)(2) Tested when accident/incident           5,000           7,500
     criteria not met...................
    (b)(3) Tested when operating rules             5,000           7,500
     violation criteria not met.........
219.302 Prompt specimen collection:
    (a) Specimen collection not                    2,500           5,000
     conducted promptly.................
 
  Subpart E--Identification of Troubled
                Employees
 
219.401 Requirement for policies:
    (b) Failure to publish and/or                  2,500           5,000
     implement required policy..........
219.407 Alternate policies:
    (c) Failure to file agreement or               2,500           5,000
     other document or provide timely
     notice or revocation...............
 
     Subpart F--Pre-Employment Tests
 
219.501 Pre-employment tests:
    (a) Failure to perform pre-                    2,500           5,000
     employment drug test before first
     time employee performs covered
     service............................
 
   Subpart G--Random Testing Programs
 
219.601 Railroad random drug programs:
    (a)(1) Failure to file a random                2,500           5,000
     program............................
    (a)(2) Failure to file amendment to            2,500           5,000
     program............................
    (b) Failure to meet random testing             2,500           5,000
     criteria...........................
    (b)(1)(i) Failure to use a neutral             2,500           5,000
     selection process..................
    (b)(2)(i)(B) Testing not spread                2,500           5,000
     throughout the year................
    (b)(3) Testing not distributed                 2,500           5,000
     throughout the day.................
    (b)(4) Advance notice provided to              2,500           5,000
     employee...........................
    (b)(6) Testing when employee not on            2,500           5,000
     duty...............................
219.601A Failure to include covered                2,500           5,000
 service employee in pool...............
219.602 Administrator's determination of
 drug testing rate:
    (f) Total number of tests below                2,500           5,000
     minimum random drug testing rate...
219.603 Participation in drug testing:
    Failure to document reason for not             2,500           5,000
     testing selected employee..........
219.607 Railroad random alcohol
 programs:
    (a)(1) Failure to file a random                2,500           5,000
     alcohol program....................
    (a)(2) Failure to file amendment to            2,500           5,000
     program............................
    (b) Failure to meet random testing             2,500           5,000
     criteria...........................
    (b)(1) Failure to use a neutral                2,500           5,000
     selection process..................
    (b)(5) Testing when employee not on            2,500           5,000
     duty...............................
    (b)(8) Advance notice provided to              2,500           5,000
     employee...........................
219.607A Failure to include covered                2,500           5,000
 service employee in pool...............
219.608 Administrator's determination of
 random alcohol testing rate:
    (e) Total number of tests below                2,500           5,000
     minimum random alcohol testing rate
219.609 Participation in alcohol
 testing:
    Failure to document reason for not             2,500           5,000
     testing selected employee..........
 
   Subpart H--Drug and Alcohol Testing
               Procedures
 
219.701 Standards for drug and alcohol
 testing:
    (a) Failure to comply with Part 40            -5,000          -7,500
     procedures in Subpart B, D, F, or G
     testing............................
    (b) Testing not performed in a                 2,500           5,000
     timely manner......................
 

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        Subpart I--Annual Report
 
219.801 Reporting alcohol misuse
 prevention program results in a
 management information system:
    (a) Failure to submit MIS report on            2,500           5,000
     time...............................
    (c) Failure to submit accurate MIS             2,500           5,000
     report.............................
    (d) Failure to include required data           2,500           5,000
219.803 Reporting drug misuse prevention
 program results in a management
 information system:
    (c) Failure to submit accurate MIS             2,500           5,000
     report.............................
    (d) Failure to submit MIS report on            2,500           5,000
     report.............................
    (e) Failure to include required data           2,500           5,000
 
  Subpart J--Recordkeeping Requirements
 
219.901 Retention of Alcohol Testing
 Records:
    (a) Failure to maintain records                2,500           5,000
     required to be kept by Part 40.....
    (b) Failure to maintain records                2,500           5,000
     required to be kept for five years.
    (c) Failure to maintain records                2,500           5,000
     required to be kept for two years..
219.903 Retention of Drug Testing
 Records:
    (a) Failure to maintain records                2,500           5,000
     required to be kept by Part 40.....
    (b) Failure to maintain records                2,500           5,000
     required to be kept for five years.
    (c) Failure to maintain records                2,500           5,000
     required to be kept for two years..
219.905 Access to facilities and
 records:
    (a) Failure to release records in              2,500           5,000
     this subpart in accordance with
     Part 40............................
    (b) Failure to permit access to                2,500           5,000
     facilities.........................
    (c) Failure to provide access to               2,500           5,000
     results of railroad alcohol and
     drug testing programs..............
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The FRA Administrator reserves the right to assess a
  penalty of up to $22,000 for any violation, including ones not listed
  in this penalty schedule, where circumstances warrant. See 49 CFR Part
  209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR Part 219; and
  if more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code'' (e.g.,
  ``A''), which is used to facilitate assessment of civil penalties. For
  convenience, penalty citations will cite the CFR section and the
  penalty code, if any (e.g., ``Sec. 219.11A'') FRA reserves the right,
  should litigation become necessary, to substitute in its complaint the
  CFR citation in place of the combined CFR and penalty code citation.

  Appendix B to Part 219--Designation of Laboratory for Post-Accident 
                          Toxicological Testing

    The following laboratory is currently designated to conduct post-
accident toxicological analysis under Subpart C of this part: NWT Inc., 
1141 E. 3900 South, Suite A-110, Salt Lake City, UT 84124, Telephone: 
(801) 268-2431 (Day), (801) 483-3383 (Night/Weekend).

    Appendix C to Part 219--Post-Accident Testing Specimen Collection

    1.0 General.
    This appendix prescribes procedures for collection of specimens for 
mandatory post-accident testing pursuant to Subpart C of this part. 
Collection of blood and urine specimens is required to be conducted at 
an independent medical facility.

(Surviving Employees)

    2.0 Surviving Employees.
    This unit provides detailed procedures for collecting post-accident 
toxicological specimens from surviving employees involved in train 
accidents and train incidents, as required by Subpart C of this part. 
Subpart C specifies qualifying events and employees required to be 
tested.
    2.1 Collection Procedures; General.
    a. All forms and supplies necessary for collection and transfer of 
blood and urine specimens for three surviving employees can be found in 
the FRA post-accident shipping box, which is made available to the 
collection site by the railroad representative.
    b. Each shipping box contains supplies for blood/urine collections 
from three individuals, including instructions and necessary forms. The 
railroad is responsible for ensuring that materials are fresh, complete 
and meet FRA requirements.
    2.1.1 Responsibility of the Railroad Representative.
    a. In the event of an accident/incident for which testing is 
required under Subpart C of this part, the railroad representative shall 
follow the designated set of instructions, and, upon arrival at the 
independent medical facility, promptly present to the collection 
facility representative a post-accident shipping box or boxes with all 
remaining sets of instructions. (Each box contains supplies to collect 
specimens from three employees.) The railroad representative shall 
request the collection facility representative to review the 
instructions provided and, through qualified personnel, provide for 
collection of the specimens according to the procedures set out.

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    b. The railroad representative shall undertake the following 
additional responsibilities--
    1. Complete Form FRA 6180.73 (revised), Accident Information 
Required for Post-Accident Toxicological Testing (49 CFR Part 219), 
describing the testing event and identifying the employees whose 
specimens are to be deposited in the shipping box.
    2. As necessary to verify the identity of individual employees, 
affirm the identity of each employee to the medical facility personnel.
    3. Consistent with the policy of the collection facility, monitor 
the progress of the collection procedure.
    Warning: Monitor but do not directly observe urination or otherwise 
disturb the privacy of urine or blood collection. Do not handle specimen 
containers, bottles or tubes (empty or full). Do not become part of the 
collection process.
    2.1.2 Employee Responsibility.
    a. An employee who is identified for post-accident toxicological 
testing shall cooperate in testing as required by the railroad and 
personnel of the independent medical facility. Such cooperation will 
normally consist of the following, to be performed as requested:
    1. Provide a blood specimen, which a qualified medical professional 
or technician will draw using a single-use sterile syringe. The employee 
should be seated for this procedure.
    2. Provide, in the privacy of an enclosure, a urine specimen into a 
plastic collection cup. Deliver the cup to the collector.
    3. Do not let the blood and urine specimens that you provided leave 
your sight until they have been properly sealed and initialed by you.
    4. Certify the statement in Step 4 of the Post-Accident Testing 
Blood/Urine Custody and Control Form (49 CFR 219) (Form FRA F 6180.74 
(revised)).
    5. If required by the medical facility, complete a separate consent 
form for taking of the specimens and their release to FRA for analysis 
under the FRA rule.
    Note: The employee may not be required to complete any form that 
contains any waiver of rights the employee may have in the employment 
relationship or that releases or holds harmless the medical facility 
with respect to negligence in the collection.
    2.2 The Collection.
    Exhibit C-1 contains instructions for collection of specimens for 
post-accident toxicology from surviving employees. These instructions 
shall be observed for each collection. Instructions are also contained 
in each post-accident shipping box and shall be provided to collection 
facility personnel involved in the collection and/or packaging of 
specimens for shipment.
(Post Mortem Collection)

    3.0 Fatality.
    This unit provides procedures for collecting post-accident body 
fluid/tissue specimens from the remains of employees killed in train 
accidents and train incidents, as required by Subpart C of this part. 
Subpart C specifies qualifying events and employees required to be 
tested.
    3.1 Collection.
    In the event of a fatality for which testing is required under 
Subpart C of this part, the railroad shall promptly make available to 
the custodian of the remains a post-accident shipping box. The railroad 
representative shall request the custodian to review the instructions 
contained in the shipping box and, through qualified medical personnel, 
to provide the specimens as indicated.

(Surviving Employees and Fatalities)

    4.0 Shipment.
    a. The railroad is responsible for arranging overnight 
transportation of the sealed shipping box containing the specimens. When 
possible without incurring delay, the box should be delivered directly 
from the collection personnel providing the specimens to an overnight 
express service courier. If it becomes necessary for the railroad to 
transport the box from point of collection to point of shipment, then--
    1. Individual kits and the shipping box shall be sealed by 
collection personnel before the box is turned over to the railroad 
representative;
    2. The railroad shall limit the number of persons handling the 
shipping box to the minimum necessary to provide for transportation;
    3. If the shipping box cannot immediately be delivered to the 
express carrier for transportation, it shall be maintained in secure 
temporary storage; and
    4. The railroad representatives handling the box shall document 
chain of custody of the shipping box and shall make available such 
documentation to FRA on request.

 Exhibit C-1--Instructions for Collection of Blood and Urine Specimens: 
              Mandatory Post-Accident Toxicological Testing

                               A. Purpose

    These instructions are for the use of personnel of collection 
facilities conducting collection of blood and urine specimens from 
surviving railroad employees following railroad accidents and casualties 
that qualify for mandatory alcohol/drug testing. The Federal Railroad 
Administration appreciates the participation of medical facilities in 
this important public safety program.

                        B. Prepare for Collection

    a. Railroad employees have consented to provision of specimens for 
analysis by the

[[Page 244]]

Federal Railroad Administration as a condition of employment (49 CFR 
219.11). A private, controlled area should be designated for collection 
of specimens and completion of paperwork.
    b. Only one specimen should be collected at a time, with each 
employee's blood draw or urine collection having the complete attention 
of the collector until the specific specimen has been labeled, sealed 
and documented.
    c. Please remember two critical rules for the collections:
    d. All labeling and sealing must be done in the sight of the donor, 
with the specimen never having left the donor's presence until the 
specimen has been labeled, sealed and initialed by the donor.
    e. Continuous custody and control of blood and urine specimens must 
be maintained and documented on the forms provided. In order to do this, 
it is important for the paperwork and the specimens to stay together.
    f. To the extent practical, blood collection should take priority 
over urine collection. To limit steps in the chain of custody, it is 
best if a single collector handles both collections from a given 
employee.
    g. You will use a single Post-Accident Testing Blood/Urine Custody 
and Control Form (FRA Form 6108.74 (revised)), consisting of six Steps 
to complete the collection for each employee. We will refer to it as the 
Control Form.

                          C. Identify the Donor

    a. The employee donor must provide photo identification to each 
collector, or lacking this, be identified by the railroad 
representative.
    b. The donor should remove all unnecessary outer garments such as 
coats or jackets, but may retain valuables, including a wallet. Donors 
should not be asked to disrobe, unless necessary for a separate physical 
examination required by the attending physician.

                              D. Draw Blood

    a. Assemble the materials for collecting blood from each employee: 
two 10 ml grey-stoppered blood tubes and the Control Form.
    b. Ask the donor to complete STEP 1 on the Control Form.
    c. With the donor seated, draw two (2) 10 ml tubes of blood using 
standard medical procedures (sterile, single-use syringe into evacuated 
gray-top tubes provided). CAUTION: Do not use alcohol or an alcohol-
based swab to cleanse the venipuncture site.
    d. Once both tubes are filled and the site of venipuncture is 
protected, immediately--
    1. Seal and label each tube by placing a numbered blood specimen 
label from the label set on the Control Form over the top of the tube 
and securing it down the sides.
    2. Ask the donor to initial each label. Please check to see that the 
initials match the employee's name and note any discrepancies in the 
``Remarks'' block of the Control Form.
    3. As collector, sign and date each blood tube label at the place 
provided.
    4. Skip to STEP 5 and initiate chain of custody for the blood tubes 
by filling out the first line of the block to show receipt of the blood 
specimens from the donor.
    5. Complete STEP 2 on the form.
    6. Return the blood tubes into the individual kit. Keep the 
paperwork and specimens together. If another collector will be 
collecting the urine specimen from this employee, transfer both the form 
and the individual kit with blood tubes to that person, showing the 
transfer of the blood tubes on the second line of STEP 5 (the chain of 
custody block).

                            E. Collect Urine

    a. The urine collector should assemble at his/her station the 
materials for collecting urine from each employee: one plastic 
collection cup with temperature device affixed enclosed in a heat-seal 
bag (with protective seal intact), two 90 ml urine specimen bottles with 
caps and one biohazard bag (with absorbent) also enclosed in a heat-seal 
bag (with protective seal intact), and the Control Form. Blood specimens 
already collected must remain in the collector's custody and control 
during this procedure.
    b. After requiring the employee to wash his/her hands, the collector 
should escort the employee directly to the urine collection area. To the 
extent practical, all sources of water in the collection area should be 
secured and a bluing agent (provided in the box) placed in any toilet 
bowl, tank, or other standing water.
    c. The employee will be provided a private place in which to void. 
Urination will not be directly observed. If the enclosure contains a 
source of running water that cannot be secured or any material (soap, 
etc.) that could be used to adulterate the specimen, the collector 
should monitor the provision of the specimen from outside the enclosure. 
Any unusual behavior or appearance should be noted in the remarks 
section of the Control Form or on the back of that form.
    d. The collector should then proceed as follows:
    e. Unwrap the collection cup in the employee's presence and hand it 
to the employee (or allow the employee to unwrap it).
    f. Ask the employee to void at least 60 ml into the collection cup 
(at least to the line marked).
    g. Leave the private enclosure.

IF THERE IS A PROBLEM WITH URINATION OR Specimen QUANTITY, SEE THE

[[Page 245]]

``TROUBLE BOX'' AT THE BACK OF THESE INSTRUCTIONS.

    h. Once the void is complete, the employee should exit the private 
enclosure and deliver the specimen to the collector. Both the collector 
and the employee must proceed immediately to the labeling/sealing area, 
with the specimen never leaving the sight of the employee before being 
sealed and labeled.
    i. Upon receipt of the specimen, proceed as follows:
    1. In the full view of the employee, remove the wrapper from the two 
urine specimen bottles. Transfer the urine from the collection cup into 
the specimen bottles (at least 30 ml in bottle A and at least 15 ml in 
bottle B).
    2. As you pour the specimen into the specimen bottles, please 
inspect for any unusual signs indicating possible adulteration or 
dilution. Carefully secure the tops. Note any unusual signs under 
``Remarks'' at STEP 3 of the Control Form.
    3. Within 4 minutes after the void, measure the temperature of the 
urine by reading the strip on the bottle. Mark the result at STEP 3 of 
the Control Form.

IF THERE IS A PROBLEM WITH THE URINE Specimen, SEE THE ``TROUBLE BOX'' 
AT THE BACK OF THESE INSTRUCTIONS.

    4. Remove the urine bottle labels from the Control Form. The labels 
are marked ``A'' and ``B.'' Place each label as marked over the top of 
its corresponding bottle, and secure the label to the sides of the 
bottle.
    5. Ask the donor to initial each label. Please check to see that the 
initials match the employee name and note any discrepancy in the 
``Remarks'' block of STEP 3.
    6. As collector, sign and date each urine label.
    7. Skip to STEP 5 and initiate chain-of-custody by showing receipt 
of the urine specimens from the donor. (If you collected the blood, a 
check under ``urine'' will suffice. If someone else collected the blood, 
first make sure transfer of the blood to you is documented. Then, using 
the next available line, show ``Provide specimens'' under purpose, 
``Donor'' under ``released by,'' check under ``urine'' and place your 
name, signature and date in the space provided.)
    8. Complete the remainder of STEP 3 on the Control Form.
    9. Have the employee complete STEP 4 on the Control Form.
    10. Place the filled urine bottles in the individual employee kit. 
Keep the paperwork and specimens together. If another collector will be 
collecting the blood specimen from this employee, transfer both the form 
and the kit to that person, showing the transfer of the urine specimens 
on the next available line of STEP 5 (the chain of custody block).

                   F. Seal the Individual Employee Kit

    a. The blood and urine specimens have now been collected for this 
employee. The blood/urine specimens will now be sealed into the 
individual employee kit, while all paperwork will be retained for 
further completion. After rechecking to see that each specimen is 
properly labeled and initialed, close the plastic bag to contain any 
leakage in transportation, and apply the kit security seal to the small 
individual kit. As collector, sign and date the kit seal.
    b. Before collecting specimens from the next employee, complete the 
next line on the chain-of-custody block showing release of the blood and 
urine by yourself for the purpose of ``Shipment'' and receipt by the 
courier service or railroad representative that will provide 
transportation of the box, together with the date.

                    G. Complete Treatment Information

    Complete STEP 6 of the Control Form. Mark the box if a breath 
alcohol test was conducted under FRA authority.

                     H. Prepare the Box for Shipment

    a. Sealed individual employee kits should be retained in secure 
storage if there will be a delay in preparation of the shipping box. The 
shipping box shall be prepared and sealed by a collection facility 
representative as follows:
    1. Inspect STEP 5 of each Control Form to ensure chain-of-custody is 
continuous and complete for each fluid (showing specimens released for 
shipment). Retain the medical facility copy of each Control Form and the 
Accident Information form for your records.
    2. Place sealed individual employee kits in the shipping box. Place 
all forms in zip-lock bag and seal securely. Place bag with forms and 
unused supplies in shipping box.
    3. Affix the mailing label provided to the outside of the shipping 
box.

                             I. Ship the Box

    a. The railroad must arrange to have the box shipped overnight air 
express or (if express service is unavailable) by air freight, prepaid, 
to FRA's designated laboratory. Whenever possible without incurring 
delay, the collector should deliver the box directly into the hands of 
the express courier or air freight representative.
    b. Where courier pickup is not immediately available at the 
collection facility where the specimens are taken, the railroad is 
required to transport the shipping box for expeditious shipment by air 
express, air freight or equivalent means.
    c. If the railroad is given custody of the box to arrange shipment, 
please record the name of the railroad official taking custody on the 
copy of Form 6180.73 retained by the collection site.

[[Page 246]]

                             ``TROUBLE BOX''

    1. Problem: The employee claims an inability to urinate, either 
because he/she has recently voided or because of anxiety concerning the 
collection.
    Action: The employee may be offered moderate quantities of liquid to 
assist urination. If the employee continues to claim inability after 4 
hours, the urine collection should be discontinued, but the blood 
specimens should be forwarded and all other procedures followed. Please 
note in area provided for remarks what explanation was provided by the 
employee.
    2. Problem: The employee cannot provide approximately 60 ml. of 
specimen.
    Action: The employee should remain at the collection facility until 
as much as possible of the required amount can be given (up to 4 hours). 
The employee should be offered moderate quantities of liquids to aid 
urination. The first bottle, if it contains any quantity of urine, 
should be sealed and securely stored with the blood tubes and Control 
Form pending shipment. A second bottle should then be used for the 
subsequent void (using a second Control Form with the words ``SECOND 
VOID--FIRST Specimen INSUFFICIENT'' in the remarks block and labels from 
that form). However, if after 4 hours the donor's second void is also 
insufficient or contains no more than the first insufficient void, 
discard the second void and send the first void to the laboratory.
    3. Problem: The urine temperature is outside the normal range of 32 
deg.-38 deg.C/90 deg.-100 deg.F, and a suitable medical explanation 
cannot be provided by an oral temperature or other means; or
    4. Problem: The collector observes conduct clearly and unequivocally 
indicating an attempt to substitute or adulterate the specimen (e.g., 
substitute urine in plain view, blue dye in specimen presented, etc.) 
and a collection site supervisor or the railroad representative agrees 
that the circumstances indicate an attempt to tamper with the specimen.
    Action (for either Problem No. 3 or Problem No. 4): Document the 
problem on the Control Form.
    i. If the collection site supervisor or railroad representative 
concurs that the temperature of the specimen, or other clear and 
unequivocal evidence, indicates a possible attempt to substitute or 
alter the specimen, another void must be taken under direct observation 
by a collector of the same gender.
    ii. If a collector of the same sex is not available, do NOT proceed 
with this step.
    iii. If a collector of the same gender is available, proceed as 
follows: A new Control Form must be initiated for the second void. The 
original suspect specimen should be marked ``Void'' and the follow-up 
void should be marked ``Void 2,'' with both voids being sent to the 
laboratory and the incident clearly detailed on the Control Form.

   Exhibit C-2--Instructions for Collection of Post Mortem Specimens: 
             Employee Killed in a Railroad Accident/Incident

    To the Medical Examiner, Coroner, or Pathologist:
    a. In compliance with Federal safety regulations (49 CFR Part 219), 
a railroad representative has requested that you obtain specimens for 
toxicology from the remains of a railroad employee who was killed in a 
railroad accident or incident. The deceased consented to the taking of 
such specimens, as a matter of Federal law, by performing service on the 
railroad (49 CFR 219.11(f)).
    b. Your assistance is requested in carrying out this program of 
testing, which is important to the protection of the public safety and 
the safety of those who work on the railroads.

                              A. Materials:

    The railroad will provide you a post-accident shipping box that 
contains necessary supplies. If the box is not immediately available, 
please proceed using supplies available to you that are suitable for 
forensic toxicology.

             B. Specimens requested, in order of preference:

    a. Blood--20 milliliters or more. Preferred sites: intact femoral 
vein or artery or peripheral vessels (up to 10 ml, as available) and 
intact heart (20 ml). Deposit blood in gray-stopper tubes individually 
by site and shake to mix specimen and preservative.
    Note: If uncontaminated blood is not available, bloody fluid or 
clots from body cavity may be useful for qualitative purposes; but do 
not label as blood. Please indicate source and identity of specimen on 
label of tube.
    b. Urine--as much as 100 milliliters, if available. Deposit into 
plastic bottles provided.
    c. Vitreous fluid--all available, deposited into smallest available 
tube (e.g., 3 ml) with 1% sodium fluoride, or gray-stopper tube 
(provided). Shake to mix specimen and preservative.
    d. If available at autopsy, organs--50 to 100 grams each of two or 
more of the following in order preference, as available: liver, bile, 
brain, kidney, spleen, and/or lung. Specimens should be individually 
deposited into zip-lock bags or other clean, single use containers 
suitable for forensic specimens.
    e. If vitreous or urine is not available, please provide--
    1. Spinal fluid--all available, in 8 ml container (if available) 
with sodium fluoride or in gray-stopper tube; or, if spinal fluid cannot 
be obtained,

[[Page 247]]

    2. Gastric content--up to 100 milliliters, as available, into 
plastic bottle.

                         C. Specimen collection:

    a. Sampling at time of autopsy is preferred so that percutaneous 
needle puncturing is not necessary. However, if autopsy will not be 
conducted or is delayed, please proceed with sampling.
    b. Blood specimens should be taken by sterile syringe and deposited 
directly into evacuated tube, if possible, to avoid contamination of 
specimen or dissipation of volatiles (ethyl alcohol).
    Note: If only cavity fluid is available, please open cavity to 
collect specimen. Note condition of cavity.
    c. Please use smallest tubes available to accommodate available 
quantity of fluid specimen (with 1% sodium fluoride).

                  D. Specimen identification, sealing:

    a. As each specimen is collected, seal each blood tube and each 
urine bottle using the respective blood tube or urine bottle using the 
identifier labels from the set provided with the Post-Accident Testing 
Blood/Urine Custody and Control Form (49 CFR part 219) (Form FRA F 
6180.74 (revised)). Make sure the unique identification number on the 
labels match the pre-printed number on the Control Form. Please label 
other specimens with name and specimen set identification numbers. You 
may use labels and seals from any of the extra forms, but annotate them 
accordingly.
    b. Annotate each label with specimen description and source (as 
appropriate) (e.g., blood, femoral vein).
    c. Please provide copy of any written documentation regarding 
condition of body and/or sampling procedure that is available at the 
time specimens are shipped.

                              E. Handling:

    a. If specimens cannot be shipped immediately as provided below, 
specimens other than blood may be immediately frozen. Blood specimens 
should be refrigerated, but not frozen.
    b. All specimens and documentation should be secured from 
unauthorized access pending delivery for transportation.

                             F. Information:

    a. If the railroad has not already done so, please place the name of 
the subject at the top of the Control Form (STEP 1). You are requested 
to complete STEP 2 of the form, annotating it by writing the word 
``FATALITY,'' listing the specimens provided, providing any further 
information under ``Remarks'' or at the bottom of the form. If it is 
necessary to transfer custody of the specimens from the person taking 
the specimens prior to preparing the box for shipment, please use the 
blocks provided in STEP 5 to document transfer of custody.
    b. The railroad representative will also provide Accident 
Information Required for Post-Accident Toxicological Testing (49 CFR 
Part 219), Form FRA 6180.73 (revised). Both forms should be placed in 
the shipping box when completed; but you may retain the designated 
medical facility copy of each form for your records.

                      G. Packing the shipping box:

    a. Place urine bottles and blood tubes in the sponge liner in the 
individual kit, close the biohazard bag zipper, close the kit and apply 
the kit custody seal to the kit. You may use additional kits for each 
tissue specimen, being careful to identify specimen by tissue, name of 
deceased, and specimen set identification number. Apply kit security 
seals to individual kits and initial across all seals. Place all forms 
in the zip-lock bag and seal securely.
    b. Place the bag in the shipping box. Do not put forms in with the 
specimens. Seal the shipping box with the seal provided and initial and 
date across the seal.
    c. Affix the mailing label to the outside of the box.

                          H. Shipping the box:

    a. The railroad must arrange to have the box shipped overnight air 
express or (if express service is unavailable) by air freight, prepaid, 
to FRA's designated laboratory. When possible, but without incurring 
delay, deliver the sealed shipping box directly to the express courier 
or the air freight representative.
    b. If courier pickup is not immediately available at your facility, 
the railroad is required to transport the sealed shipping box to the 
nearest point of shipment via air express, air freight or equivalent 
means.
    c. If the railroad receives the sealed shipping box to arrange 
shipment, please record under ``Supplemental Information'' on the 
Control Form, the name of the railroad official taking custody.

                                I. Other:

    FRA requests that the person taking the specimens annotate the 
Control Form under ``Supplemental Information'' if additional 
toxicological analysis will be undertaken with respect to the fatality. 
FRA reports are available to the coroner or medical examiner on request.

[[Page 248]]



PART 220--RAILROAD COMMUNICATIONS--Table of Contents




                           Subpart A--General

Sec.
220.1 Scope.
220.2 Preemptive effect.
220.3 Application.
220.5 Definitions.
220.7 Penalty.
220.8 Waivers.
220.9 Requirements for trains.
220.11 Requirements for roadway workers.
220.13 Reporting emergencies.

         Subpart B--Radio and Wireless Communication Procedures

220.21 Railroad operating rules; radio communications; recordkeeping.
220.23 Publication of radio information.
220.25 Instruction and operational testing of employees.
220.27 Identification.
220.29 Statement of letters and numbers in radio communications.
220.31 Initiating a radio transmission.
220.33 Receiving a radio transmission.
220.35 Ending a radio transmission.
220.37 Testing radio and wireless communication equipment.
220.38 Communication equipment failure.
220.39 Continuous radio monitoring.
220.41 [Reserved]
220.43 Radio communications consistent with federal regulations and 
          railroad operating rules.
220.45 Radio communication shall be complete.
220.47 Emergency radio transmissions.
220.49 Radio communication used in shoving, backing or pushing 
          movements.
220.51 Radio communications and signal indications.
220.61 Radio transmission of mandatory directives.

Appendix A to Part 220--Recommended Phonetic Alphabet
Appendix B to Part 220--Recommended Pronunciation of Numerals
Appendix C to Part 220--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-20103, 20107, 21301-21302, 21304, 21311; 
28 U.S.C. 2461, note; and 49 CFR 1.49.

    Source: 63 FR 47195, Sept. 4, 1998, unless otherwise noted.



                           Subpart A--General



Sec. 220.1  Scope.

    This part prescribes minimum requirements governing the use of 
wireless communications in connection with railroad operations. So long 
as these minimum requirements are met, railroads may adopt additional or 
more stringent requirements.



Sec. 220.2  Preemptive effect.

    Under 49 U.S.C. 20106 (formerly section 205 of the Federal Railroad 
Safety Act of 1970, 45 U.S.C. 434), issuance of the regulations in this 
part preempts any State law, rule, regulation, order, or standard 
covering the same subject matter, except a provision necessary to 
eliminate or reduce an essentially local safety hazard that is not 
incompatible with this part and that does not unreasonably burden 
interstate commerce.



Sec. 220.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate trains or other rolling equipment on 
standard gage track which is part of the general railroad system of 
transportation.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.



Sec. 220.5  Definitions.

    As used in this part, the term:
    Adjacent tracks means two or more tracks with track centers spaced 
less than 25 feet apart.
    Control center means the locations on a railroad from which the 
railroad issues instructions governing railroad operations.
    Division headquarters means the location designated by the railroad 
where a high-level operating manager (e.g., a superintendent, division 
manager, or equivalent), who has jurisdiction over a portion of the 
railroad, has an office.
    Employee means an individual who is engaged or compensated by a 
railroad or by a contractor to a railroad, who is authorized by a 
railroad to use its wireless communications in connection with railroad 
operations.

[[Page 249]]

    Immediate access to a radio means a radio on the employee's person, 
or sufficiently close to the employee to allow the employee to make and 
receive radio transmissions.
    Joint operations means rail operations conducted by more than one 
railroad on the track of a railroad subject to the requirements of 
Sec. 220.9(a), except as necessary for the purpose of interchange.
    Locomotive means a piece of on-track equipment other than hi-rail, 
specialized maintenance, or other similar equipment--
    (1) With one or more propelling motors designed for moving other 
equipment;
    (2) With one or more propelling motors designed to carry freight or 
passenger traffic, or both; or
    (3) Without propelling motors but with one or more control stands.
    Lone worker means an individual roadway worker who is not being 
afforded on-track safety by another roadway worker, who is not a member 
of a roadway work group, and who is not engaged in a common task with 
another roadway worker.
    Mandatory directive means any movement authority or speed 
restriction that affects a railroad operation.
    Railroad operation means any activity which affects the movement of 
a train, locomotive, on-track equipment, or track motor car, singly or 
in combination with other equipment, on the track of a railroad.
    Roadway worker means any employee of a railroad, or of a contractor 
to a railroad, whose duties include inspection, construction, 
maintenance or repair of railroad track, bridges, roadway, signal and 
communication systems, electric traction systems, roadway facilities or 
roadway maintenance machinery on or near track or with the potential of 
fouling a track, and flagmen and watchmen/lookouts.
    System headquarters means the location designated by the railroad as 
the general office for the railroad system.
    Train means one or more locomotives coupled with or without cars, 
requiring an air brake test in accordance with 49 CFR part 232 or part 
238, except during switching operations or where the operation is that 
of classifying and assembling rail cars within a railroad yard for the 
purpose of making or breaking up trains.
    Working radio means a radio that can communicate with the control 
center of the railroad (through repeater stations, if necessary to reach 
the center) from any location within the rail system, except:
    (1) Tunnels or other localized places of extreme topography, and
    (2) Temporary lapses of coverage due to atmospheric or topographic 
conditions. In the case of joint operations on another railroad, the 
radio must be able to reach the control center of the host railroad.
    Working wireless communications means the capability to communicate 
with either a control center or the emergency responder of a railroad 
through such means as radio, portable radio, cellular telephone, or 
other means of two-way communication, from any location within the rail 
system, except:
    (1) Tunnels or other localized places of extreme topography, and
    (2) Temporary lapses of coverage due to atmospheric or topographic 
conditions. In the case of joint operations on another railroad, the 
radio must be able to reach the control center of the host railroad.

[63 FR 47195, Sept. 4, 1998, as amended at 65 FR 41305, July 3, 2000]



Sec. 220.7  Penalty.

    Any person (including but not limited to a railroad; any manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations; where a grossly negligent violation or a pattern of repeated 
violations has created an imminent hazard of death or injury, or has 
caused death or injury, a

[[Page 250]]

penalty not to exceed $22,000 per violation may be assessed; and the 
standard of liability for a railroad will vary depending upon the 
requirement involved. Each day a violation continues shall constitute a 
separate offense. (See appendix C to this part for a statement of agency 
civil penalty policy.)



Sec. 220.8  Waivers.

    (a) Any person subject to a requirement of this part may petition 
the Administrator for a waiver of compliance with such requirement. The 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for waiver must be filed in the manner and contain 
the information required by part 211 of this chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.



Sec. 220.9  Requirements for trains.

    (a) Except as provided for in paragraphs (b)(1) through (4) of this 
section, on and after July 1, 1999, each occupied controlling locomotive 
in a train shall have a working radio, and each train shall also have 
communications redundancy. For purposes of this section, 
``communications redundancy'' means a working radio on another 
locomotive in the consist or other means of working wireless 
communications.
    (b) On and after July 1, 2000, the following requirements apply to a 
railroad that has fewer than 400,000 annual employee work hours:
    (1) Any train that transports passengers shall be equipped with a 
working radio in the occupied controlling locomotive and with redundant 
working wireless communications capability in the same manner as 
provided in paragraph (a) of this section.
    (2) Any train that operates at greater than 25 miles per hour; or 
engages in joint operations on track where the maximum authorized speed 
for freight trains exceeds 25 miles per hour; or engages in joint 
operations on a track that is adjacent to and within 30 feet measured 
between track center lines of another track on which the maximum 
authorized speed for passenger trains exceeds 40 miles per hour, shall 
be equipped with a working radio in the occupied controlling locomotive.
    (3) Any train that engages in joint operations, where the maximum 
authorized speed of the track is 25 miles per hour or less, shall be 
equipped with working wireless communications in the occupied 
controlling locomotive.
    (4) Any train not described in paragraph (b) of this section that 
transports hazardous material required to be placarded under the 
provisions of part 172 of this title shall be equipped with working 
wireless communications in the occupied controlling locomotive.



Sec. 220.11  Requirements for roadway workers.

    (a) On and after July 1, 1999, the following requirements apply to a 
railroad that has 400,000 or more annual employee work hours:
    (1) Maintenance-of-way equipment operating without locomotive 
assistance between work locations shall have a working radio on at least 
one such unit in each multiple piece of maintenance-of-way equipment 
traveling together under the same movement authority. The operators of 
each additional piece of maintenance-of-way equipment shall have 
communications capability with each other.
    (2) Each maintenance-of-way work group shall have intra-group 
communications capability upon arriving at a work site.
    (b) On and after July 1, 1999, each employee designated by the 
employer to provide on-track safety for a roadway work group or groups, 
and each lone worker, shall be provided, and where practicable, shall 
maintain immediate access to a working radio. When immediate access to a 
working radio is not available, the employee responsible for on-track 
safety or lone worker shall be equipped with a radio capable of 
monitoring transmissions from train movements in the vicinity. A 
railroad with fewer than 400,000 annual employee work hours may provide 
immediate access to working wireless communications as an alternative to 
a working radio.

[[Page 251]]

    (c) This section does not apply to:
    (1) Railroads which have fewer than 400,000 annual employee work 
hours, and which do not operate trains in excess of 25 miles per hour; 
or
    (2) Railroad operations where the work location of the roadway work 
group or lone worker:
    (i) Is physically inaccessible to trains; or
    (ii) Has no through traffic or traffic on adjacent tracks during the 
period when roadway workers will be present.



Sec. 220.13  Reporting emergencies.

    (a) Employees shall immediately report by the quickest means 
available derailments, collisions, storms, wash-outs, fires, 
obstructions to tracks, and other hazardous conditions which could 
result in death or injury, damage to property or serious disruption of 
railroad operations.
    (b) In reporting emergencies, employees shall follow:
    (1) The procedures of Sec. 220.47 when using a radio; or
    (2) The procedures specified for reporting emergencies in the 
railroad's timetables or timetable special instructions, when using 
another means of wireless communications.
    (c) Employees shall describe as completely as possible the nature, 
degree and location of the hazard.
    (d) An alternative means of communications capability shall be 
provided whenever the control center is unattended or unable to receive 
radio transmissions during a period in which railroad operations are 
conducted.



         Subpart B--Radio and Wireless Communication Procedures



Sec. 220.21  Railroad operating rules; radio communications; recordkeeping.

    (a) The operating rules of each railroad with respect to radio 
communications shall conform to the requirements of this part.
    (b) Thirty days before commencing to use radio communications in 
connection with railroad operations each railroad shall retain one copy 
of its current operating rules with respect to radio communications at 
the locations prescribed in paragraphs (b) (1) and (b)(2) of this 
section. Each amendment to these operating rules shall be filed at such 
locations within 30 days after it is issued. These records shall be made 
available to representatives of the Federal Railroad Administration for 
inspection and photocopying during normal business hours.
    (1) Each Class I railroad, each Class II railroad, each railroad 
providing intercity rail passenger service, and each railroad providing 
commuter service in a metropolitan or suburban area shall retain such 
rules at each of its division headquarters and at its system 
headquarters; and (2) Each Class III railroad and any other railroad 
subject to this part but not subject to paragraph (b)(1) of this section 
shall retain such rules at the system headquarters of the railroad.
    (c) For purposes of this section, the terms Class I railroad, Class 
II railroad, and Class III railroad have the meaning given these terms 
in 49 CFR Part 1201.



Sec. 220.23  Publication of radio information.

    Each railroad shall designate where radio base stations are 
installed, where wayside stations may be contacted, and the appropriate 
radio channels used by these stations in connection with railroad 
operations by publishing them in a timetable or special instruction. The 
publication shall indicate the periods during which base and wayside 
radio stations are operational.



Sec. 220.25  Instruction and operational testing of employees.

    Each employee who a railroad authorizes to use a radio in connection 
with a railroad operation, shall be:
    (a) Provided with a copy of the railroad's operating rules governing 
the use of radio communication in a railroad operation;
    (b) Instructed in the proper use of radio communication as part of 
the program of instruction prescribed in Sec. 217.11 of this chapter; 
and
    (c) Periodically tested under the operational testing requirements 
in Sec. 217.9 of this chapter.

[[Page 252]]



Sec. 220.27  Identification.

    (a) Except as provided in paragraph (c) of this section, the 
identification of each wayside, base or yard station shall include at 
least the following minimum elements, stated in the order listed:
    (1) Name of railroad. An abbreviated name or initial letters of the 
railroad may be used where the name or initials are in general usage and 
are understood in the railroad industry; and
    (2) Name and location of office or other unique designation.
    (b) Except as provided in paragraph (c) of this section, the 
identification of each mobile station shall consist of the following 
elements, stated in the order listed:
    (1) Name of railroad. An abbreviated name or initial letters of the 
railroad may be used where the name or initial letters are in general 
usage and are understood in the railroad industry;
    (2) Train name (number), if one has been assigned, or other 
appropriate unit designation; and
    (3) When necessary, the word ``locomotive'', ``motorcar'', or other 
unique identifier which indicates to the listener the precise mobile 
transmitting station.
    (c) If positive identification is achieved in connection with 
switching, classification, and similar operations wholly within a yard, 
fixed and mobile units may use short identification after the initial 
transmission and acknowledgment consistent with applicable Federal 
Communications Commission regulations governing ``Station 
Identification''.



Sec. 220.29  Statement of letters and numbers in radio communications.

    (a) If necessary for clarity, a phonetic alphabet shall be used to 
pronounce any letter used as an initial, except initial letters of 
railroads. See appendix A of this part for the recommended phonetic 
alphabet.
    (b) A word which needs to be spelled for clarity, such as a station 
name, shall first be pronounced, and then spelled. If necessary, the 
word shall be spelled again, using a phonetic alphabet.
    (c) Numbers shall be spoken by digit, except that exact multiples of 
hundreds and thousands may be stated as such. A decimal point shall be 
indicated by the words ``decimal,'' ``dot,'' or ``point.'' (See appendix 
B to this part, for a recommended guide to the pronunciation of 
numbers.)



Sec. 220.31  Initiating a radio transmission.

            Before transmitting by radio, an employee shall:

    (a) Listen to ensure that the channel on which the employee intends 
to transmit is not already in use;
    (b) Identify the employee's station in accordance with the 
requirements of Sec. 220.27; and
    (c) Verify that the employee has made radio contact with the person 
or station with whom the employee intends to communicate by listening 
for an acknowledgment. If the station acknowledging the employee's 
transmission fails to identify itself properly, the employee shall 
require a proper identification before proceeding with the transmission.



Sec. 220.33  Receiving a radio transmission.

    (a) Upon receiving a radio call, an employee shall promptly 
acknowledge the call, identifying the employee's station in accordance 
with the requirements of Sec. 220.27 and stand by to receive. An 
employee need not attend the radio during the time that this would 
interfere with other immediate duties relating to the safety of railroad 
operations.
    (b) An employee who receives a transmission shall repeat it to the 
transmitting party unless the communication:
    (1) Relates to yard switching operations;
    (2) Is a recorded message from an automatic alarm device; or
    (3) Is general in nature and does not contain any information, 
instruction or advice which could affect the safety of a railroad 
operation.



Sec. 220.35  Ending a radio transmission.

    (a) Except for transmissions relating to yard switching operations, 
at the close of each transmission to which a response is expected, the 
transmitting

[[Page 253]]

employee shall say ``over'' to indicate to the receiving employee that 
the transmission is ended.
    (b) Except for transmissions relating to yard switching operations, 
at the close of each transmission to which no response is expected, the 
transmitting employee shall state the employee's identification followed 
by the word ``out'' to indicate to the receiving employee that the 
exchange of transmissions is complete.



Sec. 220.37  Testing radio and wireless communication equipment.

    (a) Each radio, and all primary and redundant wireless communication 
equipment used under Secs. 220.9 and 220.11, shall be tested as soon as 
practicable to ensure that the equipment functions as intended prior to 
the commencement of the work assignment.
    (b) The test of a radio shall consist of an exchange of voice 
transmissions with another radio. The employee receiving the 
transmission shall advise the employee conducting the test of the 
clarity of the transmission.



Sec. 220.38  Communication equipment failure.

    (a) Any radio or wireless communication device found not to be 
functioning as intended when tested pursuant to Sec. 220.37 shall be 
removed from service and the dispatcher or other employee designated by 
the railroad shall be so notified as soon as practicable.
    (b) If a radio or wireless communication device fails on the 
controlling locomotive en route, the train may continue until the 
earlier of--
    (1) The next calendar day inspection, or
    (2) The nearest forward point where the radio or wireless 
communication device can be repaired or replaced.



Sec. 220.39  Continuous radio monitoring.

    Each radio used in a railroad operation shall be turned on to the 
appropriate channel as designated in Sec. 220.23 and adjusted to receive 
communications.



Sec. 220.41  [Reserved]



Sec. 220.43  Radio communications consistent with federal regulations and railroad operating rules.

    Radio communication shall not be used in connection with a railroad 
operation in a manner which conflicts with the requirements of this 
part, Federal Communication Commission regulations, or the railroad's 
operating rules. The use of citizen band radios for railroad operating 
purposes is prohibited.



Sec. 220.45  Radio communication shall be complete.

    Any radio communication which is not fully understood or completed 
in accordance with the requirements of this part and the operating rules 
of the railroad, shall not be acted upon and shall be treated as though 
not sent.



Sec. 220.47  Emergency radio transmissions.

    An initial emergency radio transmission shall be preceded by the 
word ``emergency,'' repeated three times. An emergency transmission 
shall have priority over all other transmissions and the frequency or 
channel shall be kept clear of non-emergency traffic for the duration of 
the emergency communication.



Sec. 220.49  Radio communication used in shoving, backing or pushing movements.

    When radio communication is used in connection with the shoving, 
backing or pushing of a train, locomotive, car, or on-track equipment, 
the employee directing the movement shall specify the distance of the 
movement, and the movement shall stop in one-half the remaining distance 
unless additional instructions are received. If the instructions are not 
understood, the movement shall be stopped immediately and may not be 
resumed until the misunderstanding has been resolved, radio contact has 
been restored, or communication has been achieved by hand signals or 
other procedures in accordance with the operating rules of the railroad.

[[Page 254]]



Sec. 220.51  Radio communications and signal indications.

    (a) No information may be given by radio to a train or engine crew 
about the position or aspect displayed by a fixed signal. However, a 
radio may be used by a train crew member to communicate information 
about the position or aspect displayed by a fixed signal to other 
members of the same crew.
    (b) Except as provided in the railroad's operating rules, radio 
communication shall not be used to convey instructions which would have 
the effect of overriding the indication of a fixed signal.



Sec. 220.61  Radio transmission of mandatory directives.

    (a) Each mandatory directive may be transmitted by radio only when 
authorized by the railroad's operating rules. The directive shall be 
transmitted in accordance with the railroad's operating rules and the 
requirements of this part.
    (b) The procedure for transmission of a mandatory directive is as 
follows:
    (1) The train dispatcher or operator shall call the addressees of 
the mandatory directive and state the intention to transmit the 
mandatory directive.
    (2) Before the mandatory directive is transmitted, the employee to 
receive and copy shall state the employee's name, identification, 
location, and readiness to receive and copy. An employee operating the 
controls of moving equipment shall not receive and copy mandatory 
directives. A mandatory directive shall not be transmitted to employees 
on moving equipment, if such directive cannot be received and copied 
without impairing safe operation of the equipment.
    (3) A mandatory directive shall be copied in writing by the 
receiving employee in the format prescribed in the railroad's operating 
rules.
    (4) After the mandatory directive has been received and copied, it 
shall be immediately repeated in its entirety. After verifying the 
accuracy of the repeated mandatory directive, the train dispatcher or 
operator shall then state the time and name of the employee designated 
by the railroad who is authorized to issue mandatory directives. An 
employee copying a mandatory directive shall then acknowledge by 
repeating the time and name of the employee so designated by the 
railroad.
    (5)(i) For train crews, before a mandatory directive is acted upon, 
the conductor and engineer shall each have a written copy of the 
mandatory directive and make certain that the mandatory directive is 
read and understood by all members of the crew who are responsible for 
the operation of the train. Mandatory directives which have been 
fulfilled or canceled shall be marked with an ``X'' or in accordance 
with the railroad's operating rules, and retained for the duration of 
the train crew's work assignment.
    (ii) For on-track equipment, before a mandatory directive is acted 
upon, the employee responsible for on-track safety shall have a written 
copy of the mandatory directive, and make certain that the mandatory 
directive is acknowledged by all employees who are responsible for 
executing that mandatory directive. The employee responsible for on-
track safety shall retain a copy of the mandatory directive while it is 
in effect.
    (6) A mandatory directive which has not been completed or which does 
not comply with the requirements of the railroad's operating rules and 
this part, may not be acted upon and shall be treated as though not 
sent. Information contained in a mandatory directive may not be acted 
upon by persons other than those to whom the mandatory directive is 
addressed.

          Appendix A to Part 220--Recommended Phonetic Alphabet

A--ALFA
B--BRAVO
C--CHARLIE
D--DELTA
E--ECHO
F--FOXTROT
G--GOLF
H--HOTEL
I--INDIA
J--JULIET
K--KILO
L--LIMA
M--MIKE
N--NOVEMBER
O--OSCAR
P--PAPA
Q--QUEBEC
R--ROMEO
S--SIERRA

[[Page 255]]

T--TANGO
U--UNIFORM
V--VICTOR
W--WHISKEY
X--XRAY
Y--YANKEE
Z--ZULU
    The letter ``ZULU'' should be written as ``Z'' to distinguish it 
from the numeral ``2''.

    Editorial Note: At 63 FR 11621, Mar. 10, 1998, an amendment was 
published amending footnote 1 to appendix A of part 220. The amendment 
could not be incorporated because footnote 1 to appendix A of part 220 
does not exist in 49 CFR parts 200 to 399, revised as of Oct. 1, 1997.

      Appendix B to Part 220--Recommended Pronunciation of Numerals

    To distinguish numbers from similar sounding words, the word 
``figures''should be used preceding such numbers. Numbers should be 
pronounced as follows:

------------------------------------------------------------------------
                  Number                               Spoken
------------------------------------------------------------------------
0........................................  ZERO.
1........................................  WUN.
2........................................  TOO.
3........................................  THUH-REE-.
4........................................  FO-WER.
5........................................  FI-YIV.
6........................................  SIX.
7........................................  SEVEN.
8........................................  ATE.
9........................................  NINER.
------------------------------------------------------------------------

    (The figure ZERO should be written as ``0'' to distinguish it from 
the letter ``O''. The figure ONE should be underlined to distinguish it 
from the letter ``I''. When railroad rules require that numbers be 
spelled, these principles do not apply.)
    The following examples illustrate the recommended pronunciation of 
numerals:

------------------------------------------------------------------------
                 Number                               Spoken
------------------------------------------------------------------------
44.....................................  FO-WER FO-WER.
500....................................  FI-YIV HUNDRED.
1000...................................  WUN THOUSAND.
1600...................................  WUN SIX HUNDRED.
14899..................................  WUN FO-WER ATE
                                         NINER NINER.
20.3...................................  TOO ZERO DECIMAL
                                         THUH-REE.
------------------------------------------------------------------------

         Appendix C to Part 220--Schedule of Civil Penalties \1\
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against and only for a willful 
violation. The Administrator reserves the right to assess a penalty of 
up to $22,000 for any violation where circumstances warrant. See 49 CFR 
part 209, appendix A.

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
220.9 Requirements for trains.................       $5,000       $7,500
220.11 Requirements for roadway workers.......        5,000        7,500
220.21 Railroad Operating rules; radio
 communications...............................
(a)...........................................        5,000        7,500
(b)...........................................        2,500        5,000
220.23 Publication of radio information.......        2,500        5,000
220.25 Instruction of employees...............        5,000        7,500
220.27 Identification.........................        1,000        2,000
220.29 Statement of letters and numbers.......        1,000        2,000
220.31 Initiating a transmission..............        1,000        2,000
220.33 Receiving a transmission...............        1,000        2,000
220.35 Ending a transmission..................        1,000        2,000
220.37 Voice test.............................        5,000        7,500
220.39 Continuous monitoring..................        2,500        5,000
220.41 [Reserved].............................  ...........  ...........
220.43 Communication consistent with the rules        2,500        5,000
220.45 Complete communications................        2,500        5,000
220.47 Emergencies............................        2,500        5,000
220.49 Switching, backing or pushing..........        5,000        7,500
220.51 Signal indications.....................        5,000        7,500
220.61 Radio transmission of mandatory                5,000        7,500
 directives...................................
------------------------------------------------------------------------


[[Page 256]]



PART 221--REAR END MARKING DEVICE--PASSENGER, COMMUTER AND FREIGHT TRAINS--Table of Contents




                           Subpart A--General

Sec.
221.1 Scope.
221.3 Application.
221.5 Definitions.
221.7 Civil penalty
221.9 Waivers.
221.11 State regulation.

                       Subpart B--Marking Devices

221.13 Marking device display.
221.14 Marking devices.
221.15 Marking device inspection.
221.16 Inspection procedure.
221.17 Movement of defective equipment.

Appendix A to Part 221--Procedures for Approval of Rear End Marking 
          Devices
Appendix B to Part 221--Approved Rear End Marking Devices
Appendix C to Part 221--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 42 FR 2321, Jan. 11, 1977, unless otherwise noted.



                           Subpart A--General



Sec. 221.1  Scope.

    This part prescribes minimum requirements governing highly visible 
marking devices for the trailing end of the rear car of all passenger, 
commuter and freight trains. So long as these minimum requirements are 
met, railroads may adopt additional or more stringent requirements for 
rear end marking devices.



Sec. 221.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to passenger, commuter and freight trains when operated on a 
standard gage main track which is part of the general railroad system of 
transportation.
    (b) This part does not apply to:
    (1) A railroad that operates only trains consisting of historical or 
antiquated equipment for excursion, educational, or recreational 
purposes;
    (2) A train that operates only on track inside an installation which 
is not part of the general railroad system of transportation;
    (3) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (4) A railroad that operates only one train at any given time.

[42 FR 2321, Jan. 11, 1977, as amended at 53 FR 28600, July 28, 1988]



Sec. 221.5  Definitions.

    As used in this part:
    (a) Train means a locomotive unit or locomotive units coupled, with 
or without cars, involved in a railroad operation conducted on a main 
track. It does not include yard movements.
    (b) Commuter train means a short haul passenger train operating on 
track which is part of the general railroad system of transportation, 
within an urban, suburban or metropolitan area. It includes a passenger 
train provided by an instrumentality of a State or political subdivision 
thereof.
    (c) Locomotive means a self-propelled unit of equipment designed for 
moving other equipment in revenue service and includes a self-propelled 
unit designed to carry freight or passenger traffic, or both.
    (d) Main track means a track, other than an auxiliary track, 
extending through yards or between stations, upon which trains are 
operated by timetable or train order or both, or the use of which is 
governed by a signal system.
    (e) Train order means mandatory directives issued as authority for 
the conduct of a railroad operation outside of yard limits.
    (f) Red-orange-amber color range means those colors defined by 
chromaticity coordinates, as expressed in terms of the International 
Commission on Illumination's 1931 Colormetric System, which lie within 
the region bounded by the spectrum locus and lines defined by the 
following equations:

                        X+Y=.97 (white boundary)

                        Y=X--.12 (green boundary)

    (g) Administrator means the Federal Railroad Administrator, the 
Deputy Administrator, or any official of the Federal Railroad 
Administration to

[[Page 257]]

whom the Administrator has delegated his authority under this part.
    (h) Effective intensity means that intensity of a light in candela 
as defined by the Illuminating Engineering Society's Guide for 
Calculating the Effective Intensity of Flashing Signal Lights, November, 
1964.
    (i) Qualified person means any person who has the skill to perform 
the task and has received adequate instruction.

[42 FR 2321, Jan. 11, 1977; 42 FR 3843, Jan. 21, 1977, as amended at 51 
FR 25185, July 10, 1986]



Sec. 221.7  Civil penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix C to this part for a 
statement of agency civil penalty policy.

[53 FR 28600, July 28, 1988, as amended at 53 FR 52930, Dec. 29, 1988; 
63 FR 11621, Mar. 10, 1998]



Sec. 221.9  Waivers.

    (a) A railroad may petition the Federal Railroad Administrator for a 
waiver of compliance with any requirement prescribed in this part.
    (b) Each petition for a waiver under this section must be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, he may grant the 
waiver subject to any condition he deems necessary. Notice of each 
waiver granted, including a statement of the reasons therefor, will be 
published in the Federal Register.



Sec. 221.11  State regulation.

    Notwithstanding the provisions of this part, a State may continue in 
force any law, rule, regulation, order, or standard that was in effect 
on July 8, 1976, relating to lighted marking devices on the rear car of 
freight trains except to the extent that such law, rule, regulation, 
order, or standard would cause such cars to be in violation of this 
part.



                       Subpart B--Marking Devices



Sec. 221.13  Marking device display.

    (a) During the periods prescribed in paragraph (b) of this section, 
each train to which this part applies that occupies or operates on main 
track shall (1) be equipped with, (2) display on the trailing end of the 
rear car of that train, and (3) continuously illuminate or flash a 
marking device prescribed in this subpart.
    (b) Unless equipped with a functioning photoelectric cell activation 
mechanism complying with paragraph (c) of this section, the marking 
devices prescribed by this subpart shall be illuminated continuously or 
flash during the period between one hour before sunset and one hour 
after sunrise, and during all other hours when weather conditions so 
restrict visibility that the end silhouette of a standard box car cannot 
be seen from \1/2\ mile on tangent track by a person having 20/20 
corrected vision.
    (c) Marking devices prescribed by this part and equipped with a 
functioning photoelectric cell activation mechanism shall illuminate or 
flash the device continuously when there is less than 1.0 candela per 
square meter of ambient light.

[[Page 258]]

    (d) The centroid of the marking device must be located at a minimum 
of 48 inches above the top of the rail.

[51 FR 25185, July 10, 1986]



Sec. 221.14  Marking devices.

    (a) As prescribed in Sec. 221.13, passenger, commuter and freight 
trains shall be equipped with at least one marking device, which has 
been approved by the Federal Railroad Adminstrator in accordance with 
the procedures included in appendix A of this part, and which has the 
following characteristics:
    (1) An intensity of not less than 100 candela nor more than 1000 
candela (or an effective intensity of not less than 100 candela nor more 
than 1000 candela for flashing lights) as measured at the center of the 
beam width;
    (2) A horizontal beam with a minimum arc width of fifteen (15) 
degrees each side of the vertical center line, and a vertical beam with 
a minimum arc width of five (5) degrees each side of the horizontal 
center line as defined in terms of the 50 candela intensity points;
    (3) A color defined by the red-orange-amber color range; and
    (4) If a flashing light is used, a flash rate of not less than once 
every 1.3 seconds nor more than once every .7 seconds.
    (b) Marking devices used on passenger and commuter trains in 
compliance with paragraph (a) of this section shall be lighted under the 
conditions prescribed in Sec. 221.13 (b) and (c).
    (c) When a locomotive is operated singly, or at the rear of a train, 
highly visible marking devices may be provided by the use of:
    (1) At least one marking device that complies with paragraph (a) of 
this section; or
    (2) At least one illuminated red or amber classification light on 
the rear of the locomotive, provided it complies with paragraph (a) of 
this section; or
    (3) The rear headlight of the locomotive illuminated on low beam.

[51 FR 25185, July 10, 1986]



Sec. 221.15  Marking device inspection.

    (a) Each marking device displayed in compliance with this part shall 
be examined at each crew change point to assure that the device is in 
proper operating condition.
    (b) This examination shall be accomplished either by visually 
observing that the device is functioning as required or that the device 
will function when required by either (1) repositioning the activation 
switch or (2) covering the photoelectric cell.
    (c) This examination shall be conducted either by the train crew or 
some other qualified person, Provided that, if a non-train crewmember 
performs the examination, that person shall communicate his or her 
findings to the locomotive engineer of the new train crew.
    (d) When equipped with a radio telemetry capability, a marker 
displayed in accordance with this part may be examined by observing the 
readout information displayed in the cab of the controlling locomotive 
demonstrating that the light is functioning as required in lieu of 
conducting a visual observation.

[51 FR 25185, July 10, 1986]



Sec. 221.16  Inspection procedure.

    (a) Prior to operating the activation switch or covering the 
photoelectric cell when conducting this test, a non-train crew person 
shall determine that he is being protected against the unexpected 
movement of the train either under the procedures established in part 
218 of this chapter or under the provisions of paragraph (b) of this 
section.
    (b) In order to establish the alternative means of protection under 
this section, (1) the train to be inspected shall be standing on a main 
track; (2) the inspection task shall be limited to ascertaining that the 
marker is in proper operating condition; and (3) prior to performing the 
inspection procedure, the inspector shall personally contact the 
locomotive engineer or hostler and be advised by that person that they 
are occupying the cab of the controlling locomotive and that the train 
is and will remain secure against movement until the inspection has been 
completed.

[51 FR 25185, July 10, 1986]

[[Page 259]]



Sec. 221.17  Movement of defective equipment.

    (a) Whenever the marking device prescribed in this part becomes 
inoperative enroute, the train may be moved to the next forward location 
where the marking device can be repaired or replaced.
    (b) Defective rolling equipment which, because of the nature of the 
defect, can be placed only at the rear of a train for movement to the 
next forward location at which repairs can be made need not be equipped 
with marking devices prescribed in this part.
    (c) When a portion of a train has derailed, and a portable marking 
device is not available, the remainder of the train may be moved to the 
nearest terminal without being equipped with the marking device 
prescribed in this part.

  Appendix A to Part 221--Procedures for Approval of Rear End Marking 
                                 Devices

    As provided in Sec. 221.15 of this part, marking devices must be 
approved by the Administrator, Approval shall be issued in accordance 
with the following procedures:
    (a) Each submission for approval of a marking device consisting of 
lighted elements only shall contain the following information:
    (1) A detailed description of the device including the type, 
luminance description, size of lens, manufacturer and catalog number, 
lamp manufacturer, lamp type and model number, and any auxiliary optics 
used.
    (2) A certification, signed by the chief operating officer of the 
railroad, that--
    (i) The device described in the submission has been tested in 
accordance with the current ``Guidelines for Testing of FRA Rear End 
Marking Devices,'' copies of which may be obtained from the Office of 
Safety, Federal Railroad Administration, 2100 Second Street SW., 
Washington, DC 20590;
    (ii) The results of the tests performed under paragraph (i) of this 
subsection demonstrate marking device performance in compliance with the 
standard perscribed in 49 CFR 221.15;
    (iii) Detailed test records, including as a minimum the name and 
address of the testing organizations, the name of the individual in 
charge of the tests, a narrative description of the test procedures, the 
number of samples tested, and for each sample tested, the on-axis beam 
candela, the beam candela at the [plusmn]15 degree points in the 
horizontal plane, the beam candela at the [plusmn]5 degree points in the 
vertical plane, and the chromaticity coordinates, are maintained by the 
railroad and are available for inspection by the FRA at a designated 
location which is identified in the submission;
    (iv) Marking devices of this type installed in the operating 
environment shall consist of the same type and model of components as 
were used in the samples tested for purposes of this approval 
submission.
    (3) Unless otherwise qualified, acknowledgement of the receipt of 
the submission required by this section shall constitute approval of the 
device. The FRA reserves the right to review the test records maintained 
by the railroad, or to test independently any device submitted for 
approval under these procedures, and to withdraw the approval of such 
device at any time, after notice and opportunity for oral comment, if 
its performance in the operating environment fails to substantiate the 
rest results or to comply with 49 CFR 221.15.
    (b)(1) Each submission for approval of a marking device consisting 
of non-lighted elements or a combination of lighted and non-lighted 
elements shall contain the following information:
    (i) A detailed description of the device including the type of 
material, the reflectance factor, the size of the device, and the 
manufacturer and catalogue number;
    (ii) A detailed description of the external litht source including 
the intensity throughout its angle of coverage, and the manufacturer and 
catalogue number;
    (iii) A detailed description of the proposed test procedure to be 
used to demonstrate marking device compliance with the standard 
prescribed in 49 CFR 221.15, including any detailed mathematical data 
reflecting expected performance.
    (2) FRA will review the data submitted under subsection (1) of this 
section, and in those instances in which compliance with 49 CFR 221.15 
appears possible from a theoretical analysis, the FRA will authorize and 
may take part in testing to demonstrate such compliance.
    (3) Where authorized testing has demonstrated compliance with 49 CFR 
221.15, a railroad shall submit a certification, signed by the chief 
operating officer of the railroad, that--
    (i) The device described in the original submission has been tested 
in accordance with the procedures described therein;
    (ii) The results of the tests peformed under paragraph (i) of this 
subsection demonstrate marking device performance in compliance with the 
standard prescribed in 49 CFR 221.15;
    (iii) Detailed test records, including as a minimum the name and 
address of the testing organization, the name of the individual in 
charge of the tests, a narrative description of the test procedure, a 
description of the external light source used, the number of samples 
tested, and for each sample tested,

[[Page 260]]

the on-axis beam candela, the beam candela at the [plusmn]15 degree 
points in the horizontal plane, the beam candela at the [plusmn]15 
degree point in the vertical plane, and the chromaticity coordinates, 
are maintained by the railroad and are available for inspection by the 
FRA at a designated location which is identified in the submission;
    (iv) Marking devices of this type installed in the operating 
environment and the external light source used to illuminate them shall 
consist of the same type and model of components as were used in the 
samples tested for purposes of this approval submission.
    (4) Unless otherwise qualified, acknowledgement of the receipt of 
the submission required by this subsection shall constitute approval of 
the device. The FRA reserves the right to review the test records 
maintained by the railroad, or to test independently any device 
submitted for approval under these procedures, and to disapprove the use 
of such device at any time if its performance fails to comply with 49 
CFR 221.15.
    (c) Whenever a railroad elects to use a marking device which has 
been previously approved by the FRA, and is included in the current list 
in appendix B to this part, the submission shall contain the following 
information:
    (1) The marking device model designation as it appears in appendix 
B.
    (2) A certification, signed by the chief operating officer of the 
railroad that--
    (i) Marking devices of this type installed in the operating 
environment shall consist of the same type and model of components as 
were used in the samples tested for the original approval.
    (d) Each submission for approval of a marking device shall be filed 
in triplicate with the Office of Standards and Procedures, Office of 
Safety, Federal Railroad Administration, 2100 Second Street SW., 
Washington, DC 20590.

[42 FR 62004, Dec. 8, 1977]

        Appendix B to Part 221--Approved Rear End Marking Devices

         part i--approved devices tested for or by manufacturers

    1. Manufacturer: Star Headlight & Lantern Co., 168 West Main Street, 
Honeoye Falls, NY 14472.
    FRA identification Nos. FRA-PLE-STAR-845-F (flasher) and FRA-PLE-
STAR-845-C (steady burn).
    2. Manufacturer: Julian A. McDermott Corp., 1639 Stephen Street, 
Ridgewood, Long Island, NY 11227.
    FRA identification Nos. FRA-MEC-MCD-100-C (steady burn), FRA-MEC-
MCD-100-F (flasher), FRA-MEC-MCD-300-C (steady burn), and FRA-MEC-MCD-
300-F (flasher).
    3. Manufacturer: American Electronics, Inc., \1\ 40 Essex Street, 
Hackensack, NJ 07601.
---------------------------------------------------------------------------

    \1\ Note: Yankee Metal Products Corp. previously produced these 
devices.
---------------------------------------------------------------------------

    FRA identification Nos. FRA-DRGW-YANK-300 (portable strobe), FRA-WP-
YANK-301R (flashing), FRA-WP-YANK-305R (flashing), and FRA-WP-YANK-306R 
(steady burn).

        part ii--approved devices tested for or by rail carriers

    1. Carrier: Atchison, Topeka & Santa Fe Railway Co., Technical 
Research & Development Department, 1001 Northeast Atchison Street, 
Topeka, Kans. 66616.
    Manufacturer: Trans-Lite, Inc., P.O. Box 70, Milford, Conn. 06460.
    FRA identification Nos. FRA-ATSF-TL-875-150, FRA-ATSF-TL-875-60, 
FRA-ATSF-TL-875-4412, and FRA-ATSF-TL-200.
    2. Carrier: Amtrak--National Railroad Passenger Corporation, 400 
North Capitol Street NW., Washington, DC 20001.
    Manufacturer: (a) Trans-Lite, Inc., P.O. Box 70, Milford, Conn. 
06460.
    FRA identification Nos. FRA-ATK-TL-3895-1, FRA-ATK-TL-4491-2, FRA-
ATK-TL-4491-3, and FRA-ATK-TL-FM-4491-1.
    Manufacturer: (b) Luminator Division of Gulfton Industries, Inc., 
1200 East Dallas North Parkway, Plano, Tex. 75074.
    FRA identification No. FRA-ATK-LUM-0101890-001.
    Manufacturer: (c) Whelen Engineering Co., Inc., Deep River, Conn. 
06417.
    FRA identification No. FRA-ATK-WHE-WERT-12.

[43 FR 36447, Aug. 17, 1978]

         Appendix C to Part 221--Schedule of Civil Penalties \1\
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $20,000 for any violation where circumstances warrant. 
See 49 CFR part 209, appendix A. Where the conditions for movement of 
defective equipment set forth in Sec. 221.17 of this part are not met, 
the movement constitutes a violation of Sec. 221.13 of this part.

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
221.13 Marking device display:
    (a) device not present, not displayed, or        $5,000       $7,500
     not properly illuminated.................
    (d) device too close to rail..............        1,000        2,000
221.14 Marking devices: Use of unapproved or          2,500        5,000
 noncomplying device..........................

[[Page 261]]

 
221.15 Marking device inspection:
    (a) Failure to inspect at crew change.....        2,500        5,000
    (b), (c) improper inspection..............        2,500        5,000
221.16 Inspection procedure:
    (a) Failure to obtain protection..........        5,000        7,500
    (b) Improper protection...................        2,500        5,000
221.17 Movement of defective equipment........        (\1\)        (\1\)
------------------------------------------------------------------------


[53 FR 52930, Dec. 29, 1988]



PART 223--SAFETY GLAZING STANDARDS--LOCOMOTIVES, PASSENGER CARS AND CABOOSES--Table of Contents




                           Subpart A--General

Sec.
223.1 Scope.
223.3 Application.
223.5 Definitions.
223.7 Responsibility.

                    Subpart B--Specific Requirements

223.8 Additional requirements for passenger equipment.
223.9 Requirements for new or rebuilt equipment.
223.11 Requirements for existing locomotives.
223.13 Requirements for existing cabooses.
223.15 Requirements for existing passenger cars.
223.17 Identification of equipped locomotives, passenger cars and 
          cabooses.

Appendix A to Part 223--Certification of Glazing Materials
Appendix B to Part 223--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-03, 20133, 20701-20702, 21301-02, 21304; 
49 CFR 1.49(c), (m).



                           Subpart A--General



Sec. 223.1  Scope.

    This part provides minimum requirements for glazing materials in 
order to protect railroad employees and railroad passengers from injury 
as a result of objects striking the windows of locomotives, caboose and 
passenger cars.

[44 FR 77352, Dec. 31, 1979]



Sec. 223.3  Application.

    (a) This part applies to railroads that operate rolling equipment on 
standard gauge track that is a part of the general railroad system of 
transportation.
    (b) This part does not apply to--
    (1) Locomotives, cabooses, and passenger cars that operate only on 
track inside an installation that is not part of the general railroad 
system of transportation;
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (3) Locomotives, passenger cars and cabooses that are historical or 
antiquated equipment and are used only for excursion, educational, 
recreational purposes or private transportation purposes.
    (4) Locomotives that are used exclusively in designated service as 
defined in Sec. 223.5(m).

[44 FR 77352, Dec. 31, 1979, as amended at 53 FR 28600, July 28, 1988]



Sec. 223.5  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Caboose means a car in a freight train intended to provide 
transportation for crewmembers.
    Certified glazing means a glazing material that has been certified 
by the manufacturer as having met the testing requirements set forth in 
Appendix A of this part and that has been installed in such a manner 
that it will perform its intended function.
    Designated service means exclusive operation of a locomotive under 
the following conditions:
    (1) The locomotive is not used as an independent unit or the 
controlling unit is a consist of locomotives except when moving for the 
purpose of servicing or repair within a single yard area;
    (2) The locomotive is not occupied by operating or deadhead crews 
outside a single yard area; and
    (3) The locomotive is stenciled ``Designated Service--DO NOT 
OCCUPY''.

[[Page 262]]

    Emergency responder means a member of a police or fire department, 
or other organization involved with public safety charged with providing 
or coordinating emergency services, who responds to a passenger train 
emergency.
    Emergency window means that segment of a side facing glazing 
location which has been designed to permit rapid and easy removal during 
a crisis situation.
    End facing glazing location means any location where a line 
perpendicular to the plane of the glazing material makes a horizontal 
angle of 50 degrees or less with the centerline of the locomotive, 
caboose or passenger car. Any location which, due to curvature of the 
glazing material, can meet the criteria for either a front facing 
location or a side facing location shall be considered a front facing 
location.
    FRA means the Federal Railroad Administration.
    Locomotive means a self-propelled unit of equipment designed 
primarily for moving other equipment. It does not include self-propelled 
passenger cars.
    Locomotive cab means that portion of the superstructure designed to 
be occupied by the crew while operating the locomotive.
    Passenger car means a unit of rail rolling equipment intended to 
provide transportation for members of the general public and includes 
self-propelled cars designed to carry baggage, mail, express or 
passengers. This term includes a passenger coach, cab car, and an MU 
locomotive. This term does not include a private car.
    Passenger train service means the transportation of persons (other 
than employees, contractors, or persons riding equipment to observe or 
monitor railroad operations) in intercity passenger service or commuter 
or other short-haul passenger service in a metropolitan or suburban 
area.
    Person includes all categories of entities covered under 1 U.S.C. 1, 
including, but not limited to, a railroad; any manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any passenger, any trespasser or nontrespasser; any 
independent contractor providing goods or services to a railroad; and 
any employee of such owner, manufacturer, lessor, lessee, or independent 
contractor.
    Railroad means:
    (1) Any form of non-highway ground transportation that runs on rails 
or electromagnetic guideways, including
    (i) Commuter or other short-haul rail passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979, and
    (ii) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads, but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation and
    (2) A person that provides railroad transportation, whether directly 
or by contracting out operation of the railroad to another person.
    Rebuilt locomotive, caboose or passenger car means a locomotive, 
caboose or passenger car that has undergone overhaul which has been 
identified by the railroad as a capital expense under Surface 
Transportation Board accounting standards.
    Side facing glazing location means any location where a line 
perpendicular to the plane of the glazing material makes an angle of 
more than 50 degrees with the centerline of the locomotive, caboose or 
passenger car.
    Windshield means the combination of individual units of glazing 
material of the locomotive, passenger car, or caboose that are 
positioned in an end facing glazing location.
    Yard is a system of auxiliary tracks used exclusively for the 
classification of passenger or freight cars according to commodity or 
destination; assembling of cars for train movement; storage of cars; or 
repair of equipment.
    Yard caboose means a caboose that is used exclusively in a single 
yard area.
    Yard locomotive means a locomotive that is operated only to perform 
switching functions within a single yard area.

[63 FR 24675, May 4, 1998; 63 FR 36376, July 6, 1998]

[[Page 263]]



Sec. 223.7  Responsibility.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix B to this part for a 
statement of agency civil penalty policy.

[53 FR 28601, July 28, 1988, as amended at 53 FR 52930, Dec. 29, 1988; 
63 FR 11621, Mar. 10, 1998]



                    Subpart B--Specific Requirements



Sec. 223.8  Additional requirements for passenger equipment.

    In addition to the requirements contained in this part, requirements 
for emergency window exits and window safety glazing on passenger 
equipment, as defined in Sec. 238.5 of this chapter, are also found in 
part 238 of this chapter.

[64 FR 25659, May 12, 1999]



Sec. 223.9  Requirements for new or rebuilt equipment.

    (a) Locomotives, including yard locomotives, built or rebuilt after 
June 30, 1980, must be equipped with certified glazing in all locomotive 
cab windows.
    (b) Cabooses, including yard cabooses, built or rebuilt after June 
30, 1980, must be equipped with certified glazing in all windows.
    (c) Passenger cars, including self-propelled passenger cars, built 
or rebuilt after June 30, 1980, must be equipped with certified glazing 
in all windows and at least four emergency opening windows.
    (d) Marking. Each railroad providing passenger train service shall 
ensure that for each passenger car, except for self-propelled cars 
designed to carry baggage, mail, or express:
    (1) Each emergency window is conspicuously and legibly marked with 
luminescent material on the inside of each car to facilitate passenger 
egress. Each such railroad shall post clear and legible operating 
instructions at or near each such exit.
    (2) Each window intended for emergency access by emergency 
responders for extrication of passengers is marked with a 
retroreflective, unique, and easily recognizable symbol or other clear 
marking. Each such railroad shall post clear and understandable window-
access instructions either at each such window or at each end of the 
car.

[44 FR 77352, Dec. 31, 1979, as amended at 45 FR 49271, July 24, 1980; 
63 FR 24675, May 4, 1998]



Sec. 223.11  Requirements for existing locomotives.

    (a) Locomotives, other than yard locomotives, built or rebuilt prior 
to July 1, 1980, which are equipped in the forward and rearward end 
facing glazing locations of the locomotive cab windshield with a glazing 
material that meets the criteria for either portion of the impact 
testing required for a Type I test under the provisions of appendix A of 
this part, will not require the installation of certified glazing in the 
windshield location except to replace windshield glazing material that 
is broken or damaged.
    (b) Locomotives, other than yard locomotives, built or rebuilt prior 
to July 1, 1980, which are equipped in all locomotive cab side facing 
glazing locations with a glazing material that meets the criteria for 
either portion of the impact testing required for a Type II test under 
the provisions of appendix A of this part, will not require the 
installation of certified glazing in the sidefacing glazing location 
except to replace sidefacing glazing material that is broken or damaged.

[[Page 264]]

    (c) Except for yard locomotives and locomotives equipped as 
described in paragraphs (a) and (b), of this section, locomotives built 
or rebuilt prior to July 1, 1980, shall be equipped with certified 
glazing in all locomotive cab windows after June 30, 1984.
    (d) Each locomotive subject to the provisions of paragraph (c) of 
this section which, as a result of an act of vandalism has a locomotive 
cab window that is broken or damaged so that the window fails to permit 
good visibility--
    (1) Shall be placed in Designated Service within 48 hours of the 
time of breakage or damage or
    (2) Shall be removed from service until equipped with certified 
glazing in the following manner:
    (i) If the broken or damaged window is a part of the windshield of 
the locomotive cab, all of the forward and rearward end facing glazing 
locations of the locomotive cab must be replaced with certified glazing.
    (ii) If the broken or damaged window is a part of the sidefacing 
window of the locomotive cab, all of the sidefacing glazing locations of 
the locomotive cab must be replaced with certified glazing.

(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C. 
438); sec. 1.49(m) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(m))

[45 FR 49271, July 24, 1980, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983]



Sec. 223.13  Requirements for existing cabooses.

    (a) Cabooses, other than yard cabooses, built or rebuilt prior to 
July 1, 1980, which are equipped in the forward and rearward end facing 
glazing locations of the windshield with a glazing material that meets 
the criteria for either portion of the impact testing required for a 
Type I test under the provisions of appendix A of this part, will not 
require the installation of certified glazing in the windshield location 
except to replace windshield glazing material that is broken or damaged.
    (b) Cabooses, other than yard cabooses, built or rebuilt prior to 
July 1, 1980, which are equipped in all side facing glazing locations 
with a glazing material that meets the criteria for either portion of 
the impact testing required for a Type II test under the provisions of 
appendix A of this part, will not require the installation of certified 
glazing in the sidefacing glazing locations except to replace sidefacing 
glazing material that is broken or damaged.
    (c) Except for yard cabooses and cabooses equipped as described in 
paragraphs (a) and (b), cabooses built or rebuilt prior to July 1, 1980, 
shall be equipped with certified glazing in all windows after June 30, 
1984.
    (d) Each caboose subject to the provision of paragraph (c) of this 
section, which, as a result of an act of vandalism, has a window that is 
broken or damaged so that the window fails to permit good visibility 
shall be equipped with certified glazing in the following manner:
    (1) If the broken window is a part of the windshield, all of the 
forward and rearward end facing glazing locations must be replaced with 
certified glazing within 30 days of the date of breakage or damage.
    (2) If the broken window is a part of the sidefacing window, all of 
the sidefacing glazing locations must be replaced with certified glazing 
within 30 days of the date of breakage.

(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C. 
438); Sec. 1.49(m) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(m))

[44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983]



Sec. 223.15  Requirements for existing passenger cars.

    (a) Passenger cars built or rebuilt prior to July 1, 1980, which are 
equipped in the forward and rearward end facing glazing locations of the 
windshield with a glazing material that meets the criteria for either 
portion of the impact testing required for a Type I test under the 
provisions of appendix A of this part will not require the installation 
of certified glazing in the windshield location except to replace 
windshield glazing material that is broken or damaged.
    (b) Passenger cars built or rebuilt prior to July 1, 1980, which are

[[Page 265]]

equipped in the sidefacing glazing locations with a glazing material 
that meets the criteria for either portion of the impact testing 
required for a Type II test under the provisions of appendix A of this 
part, will not require the installation of certified glazing except to 
replace sidefacing glazing material that is broken or damaged.
    (c) Except for passenger cars described in paragraphs (a) and (b), 
passenger cars built or rebuilt prior to July 1, 1980, shall be equipped 
with certified glazing in all windows and a minimum of four emergency 
windows after June 30, 1984.
    (d) Each passenger car subject to the provisions of paragraph (c) of 
this section which as a result of an act of vandalism, has a window that 
is broken or damaged so that the window fails to permit good visibility 
shall be equipped with certified glazing in the following manner:
    (1) When the broken window is a part of the windshield, all of the 
forward and rearward end facing glazing locations shall be replaced with 
certified glazing within 30 days of breakage.
    (2) When the broken window is a part of the sidefacing window, the 
glazing in that individual sidefacing glazing location shall be replaced 
with certified glazing within 30 days of the date of breakage.

(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C. 
438); sec. 1.49(m) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(m))

[44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983]



Sec. 223.17  Identification of equipped locomotives, passenger cars and cabooses.

    Each locomotive, passenger car and caboose that is fully equipped 
with glazing materials that meet the requirements of this part shall be 
stencilled on an interior wall as follows:

``Fully Equipped FRA Part 223 glazing'' or similar words conveying that 
meaning in letters at least \3/8\ inch high.

[45 FR 49271, July 24, 1980]

       Appendix A to Part 223--Certification of Glazing Materials

    As provided in this part, certified glazing materials installed in 
locomotives, passenger cars, or cabooses must be certified by the 
glazing manufacturer in accordance with the following procedures:
    a. General Requirements
    (1) Each manufacturer that provides glazing materials, intended by 
the manufacturer for use in achieving compliance with the requirements 
of this part, shall certify that each type of glazing material being 
supplied for this purpose has been succcessfully tested in accordance 
with this appendix and that test verification data is available to a 
railroad or to FRA upon request.
    (2) The test verification data shall contain all pertinent original 
data logs and documentation that the selection of material samples, test 
set-ups, test measuring devices, and test procedures were performed by 
qualified personnel using recognized and acceptable practices and in 
accordance with this appendix.
    b. Testing Requirements
    (1) The material to be tested (Target Material) shall be a full 
scale sample of the largest dimension intended to be produced and 
installed.
    (2) The Target Material shall be representative of production 
material and shall be selected on a documented random choice basis.
    (3) The Target Material shall be securely and rigidly attached in a 
fixture so that the fixture's own characteristics will not induce test 
errors.
    (4) The Target Material so selected and attached shall constitute a 
Test Specimen.
    (5) The Test Specimen will then be equipped with a Witness Plate 
that shall be mounted parallel to and at a distance of six inches in 
back of the Target Material. The Witness Plate shall have at least an 
area which will cover the full map of the Target Material.
    (6) The Witness Plate shall be an unbacked sheet of maximum 0.006 
inch, alloy 1100 temper O, aluminum stretched within the perimeter of a 
suitable frame to provide a taut surface.
    (7) The Test Specimen will be positioned so that the defined 
projectile impacts it at an angle of 90 degrees to the Test Specimen 
surface.
    (8) The point of impact of the defined projectile will be within a 
radius of 3 of the centroid of the Target Material.
    (9) Velocity screens or other suitable velocity measuring devices 
will be positioned so as to measure the impact velocity of the defined 
projectile within a 10% accuracy tolerance, with test modifications made 
to guarantee that the stipulated minimum velocity requirements are met.

[[Page 266]]

    (10) The Test Specimen for glazing material that is intended for use 
in end facing glazing locations shall be subjected to a Type I test 
regimen consisting of the following tests:
    (i) Ballistic Impact in which a standard 22 caliber long rifle lead 
bullet of 40 grains in weight impacts at a minimum of 960 feet per 
second velocity.
    (ii) Large Object Impact in which a cinder block of 24 lbs minimum 
weight with dimensions of 8 inches by 8 inches by 16 inches nominally 
impacts at the corner of the block at a minimum of 44 feet per second 
velocity. The cinder block must be of composition referenced in American 
Society for Testing and Materials (ASTM) Specification C33L or ASTM C90.
    (11) The Test Specimen for glazing material that is intended for use 
only in side facing glazing locations shall be subjected to a Type II 
test regimen consisting of the following tests:
    (i) Ballistic Impact in which a standard 22 caliber long rifle lead 
bullet of 40 grains in weight impacts at a minimum of 960 feet per 
second velocity.
    (ii) Large Object Impact in which a cinder block of 24 lbs minimum 
weight with dimensions of 8 inches by 8 inches by 16 inches nominally 
impacts at the corner of the block at a minimum of 12 feet per second 
velocity. The cinder block must be of the composition referenced in ASTM 
C33L or ASTM C90.
    (12) Three different test specimens must be subjected to the 
ballistic impact portion of these tests.
    (13) Two different test specimens must be subjected to the large 
object impact portion of these tests.
    (14) A material so tested must perform so that:
    (i) there shall be no penetration of the back surfaces (side closest 
to Witness Plate) of the Target Material by the projectile. Partial 
penetration of the impact (front) surface of the Target Material does 
not constitute a failure; and
    (ii) there shall be no penetration of particles from the back side 
of the Target Material through the back side of the prescribed Witness 
Plate.
    (15) Test specimens must consecutively pass the required number of 
tests at the required minimum velocities. Individual tests resulting in 
failures at greater than the required minimum velocities may be repeated 
but a failure of an individual test at less than the minimum velocity 
shall result in termination of the total test and failure of the 
material.
    (16) After successful completion of the prescribed set of required 
consecutive tests, a manufacturer may certify in writing that a 
particular glazing material meets the requirements of these standards.
    c. Material Identification
    (1) Each individual unit of glazing material shall be permanently 
marked, prior to installation, to indicate that this type of material 
has been successfully tested as set forth in this appendix and that 
marking shall be done in such a manner that it is clearly visible after 
the material has been installed.
    (2) Each individual unit of a glazing material that has successfully 
passed the Type I testing regimen shall be marked to indicate:
    (i) ``FRA Type I'' material;
    (ii) the manufacturer of the material;
    (iii) the type or brand identification of the material.
    (3) Each individual unit of a glazing material that has successfully 
passed the Type II testing regimen shall be marked to indicate:
    (i) ``FRA Type II'' material;
    (ii) the manufacturer of the material;
    (iii) the type or brand identification of the material.

         Appendix B to Part 223--Schedule of Civil Penalties \1\
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $22,000 for any violation where circumstances warrant. 
See 49 U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. Further 
designations, not found in the CFR citation for certain provisions are 
FRA Office of Chief Counsel computer codes added as a suffix to the CFR 
citation and used to expedite imposition of civil penalties for 
violations. FRA reserves the right, should litigation become necessary, 
to substitute in its complaint the CFR citation in place of the combined 
designation cited in the penalty demand letter.

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
223.9 New or rebuilt Equipment:
    (a) Locomotives...........................       $2,500       $5,000
    (b) Cabooses..............................        2,500        5,000
    (c) Passenger cars........................        2,500        5,000
    (d) (1), (d)(2):..........................
        (i) Window not marked or instructions         2,500        5,000
         not posted...........................
        (ii) Window improperly marked or              1,000        2,000
         instructions improperly posted.......
223.11(c) Existing locomotives................        2,500        5,000
(d) Repair of window..........................        1,000        2,000
223.13(c) Existing cabooses...................        2,500        5,000
(d) Repair of window..........................        1,000        2,000
223.15(c) Existing passenger cars.............        2,500        5,000
(d) Repair of window..........................        1,000        2,000
223.17 Identification of units................        1,000        1,500
------------------------------------------------------------------------


[63 FR 24676, May 4, 1998]

[[Page 267]]



PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND INVESTIGATIONS--Table of Contents




Sec.
225.1 Purpose.
225.3 Applicability.
225.5 Definitions.
225.7 Public examination and use of reports.
225.9 Telephonic reports of certain accidents/incidents and other 
          events.
225.11 Reporting of accidents/incidents.
225.12 Rail Equipment Accident/Incident Reports alleging employee human 
          factor as cause; Employee Human Factor Attachment; notice to 
          employee; employee supplement.
225.13 Late reports.
225.15 Accidents/incidents not to be reported.
225.17 Doubtful cases; alcohol or drug involvement.
225.19 Primary groups of accidents/incidents.
225.21 Forms.
225.23 Joint operations.
225.25 Recordkeeping.
225.27 Retention of records.
225.29 Penalties.
225.31 Investigations.
225.33 Internal Control Plans.
225.35 Access to records and reports.
225.37 Magnetic media transfer and electronic submission.
225.39 FRA policy on covered data.

Appendix A to Part 225--Schedule of Civil Penalties
Appendix B to Part 225--Procedure for Determining Reporting Threshold

    Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301, 
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49.

    Source: 39 FR 43224, Dec. 11, 1974, unless otherwise noted.



Sec. 225.1  Purpose.

    The purpose of this part is to provide the Federal Railroad 
Administration with accurate information concerning the hazards and 
risks that exist on the Nation's railroads. FRA needs this information 
to effectively carry out its regulatory responsibilities under 49 U.S.C. 
chapters 201-213. FRA also uses this information for determining 
comparative trends of railroad safety and to develop hazard elimination 
and risk reduction programs that focus on preventing railroad injuries 
and accidents. Issuance of these regulations under the federal railroad 
safety laws and regulations preempts States from prescribing accident/
incident reporting requirements. Any State may, however, require 
railroads to submit to it copies of accident/incident and injury/illness 
reports filed with FRA under this part, for accidents/incidents and 
injuries/illnesses which occur in that State.

[61 FR 30967, June 18, 1996]



Sec. 225.3  Applicability.

    (a) Except as provided in paragraphs (b), (c), and (d), this part 
applies to all railroads except--
    (1) A railroad that operates freight trains only on track inside an 
installation which is not part of the general railroad system of 
transportation or that owns no track except for track that is inside an 
installation that is not part of the general railroad system of 
transportation and used for freight operations.
    (2) Rail mass transit operations in an urban area that are not 
connected with the general railroad system of transportation.
    (3) A railroad that exclusively hauls passengers inside an 
installation that is insular or that owns no track except for track used 
exclusively for the hauling of passengers inside an installation that is 
insular. An operation is not considered insular if one or more of the 
following exists on its line:
    (i) A public highway-rail grade crossing that is in use;
    (ii) An at-grade rail crossing that is in use;
    (iii) A bridge over a public road or waters used for commercial 
navigation; or
    (iv) A common corridor with a railroad, i.e., its operations are 
within 30 feet of those of any railroad.
    (b) The Internal Control Plan requirements in Sec. 225.33(a)(3) 
through (10) do not apply to--
    (1) Railroads that operate or own track on the general railroad 
system of transportation that have 15 or fewer employees covered by the 
hours of service law (49 U.S.C. 21101-21107) and
    (2) Railroads that operate or own track exclusively off the general 
system.
    (c) The recordkeeping requirements regarding accountable injuries 
and illnesses and accountable rail equipment

[[Page 268]]

accidents/incidents found in Sec. 225.25(a) through (g) do not apply to-
-
    (1) Railroads that operate or own track on the general railroad 
system of transportation that have 15 or fewer employees covered by the 
hours of service law (49 U.S.C. 21101-21107) and
    (2) Railroads that operate or own track exclusively off the general 
system.
    (d) All requirements in this part to record or report an injury or 
illness incurred by any classification of person that results from a 
non-train incident do not apply to railroads that operate or own track 
exclusively off the general railroad system of transportation, unless 
the non-train incident involves in- service on-track equipment.

[61 FR 30967, June 18, 1996, as amended at 61 FR 67490, Dec. 23, 1996]



Sec. 225.5  Definitions.

    As used in this part--
    Accident/incident means:
    (1) Any impact between railroad on-track equipment and an 
automobile, bus, truck, motorcycle, bicycle, farm vehicle or pedestrian 
at a highway-rail grade crossing;
    (2) Any collision, derailment, fire, explosion, act of God, or other 
event involving operation of railroad on-track equipment (standing or 
moving) that results in reportable damages greater than the current 
reporting threshold to railroad on-track equipment, signals, track, 
track structures, and roadbed;
    (3) Any event or exposure arising from the operation of a railroad, 
if the event or exposure is a discernable cause of one or more of the 
following outcomes, and this outcome is a new case or a significant 
aggravation of a pre-existing injury or illness:
    (i) Death to any person;
    (ii) Injury to any person that results in medical treatment;
    (iii) Injury to a railroad employee that results in:
    (A) A day away from work;
    (B) Restricted work activity or job transfer; or
    (C) Loss of consciousness;
    (iv) Occupational illness of a railroad employee that results in any 
of the following:
    (A) A day away from work;
    (B) Restricted work activity or job transfer;
    (C) Loss of consciousness; or
    (D) Medical treatment;
    (v) Significant injury to or significant illness of a railroad 
employee diagnosed by a physician or other licensed health care 
professional even if it does not result in death, a day away from work, 
restricted work activity or job transfer, medical treatment, or loss of 
consciousness;
    (vi) Illness or injury that meets the application of any of the 
following specific case criteria:
    (A) Needlestick or sharps injury to a railroad employee;
    (B) Medical removal of a railroad employee;
    (C) Occupational hearing loss of a railroad employee;
    (D) Occupational tuberculosis of a railroad employee; or
    (E) Musculoskeletal disorder of a railroad employee if this disorder 
is independently reportable under one or more of the general reporting 
criteria.
    (4) Occupational illness.
    Accountable injury or illness means any condition, not otherwise 
reportable, of a railroad employee that is discernably caused by an 
event, exposure, or activity in the work environment which condition 
causes or requires the railroad employee to be examined or treated by a 
qualified health care professional.
    Accountable rail equipment accident/incident means any event not 
otherwise reportable, involving the operation of on-track equipment that 
causes physical damage to either the on-track equipment or the track 
upon which such equipment was operated and that requires the removal or 
repair of rail equipment from the track before any rail operations over 
the track can continue. An accountable rail equipment accident/incident, 
if not tended to, thus would disrupt railroad service. Examples of 
``disruption of service'' would include: loss of main track; one or more 
derailed wheels; any train failing to arrive or depart at its scheduled 
time; one or more cars or locomotives taken out of service; or rerouting 
trains due to a damaged car or locomotive.

[[Page 269]]

    Covered data means information that must be reported to FRA under 
this part concerning a railroad employee injury or illness case that is 
reportable exclusively because a physician or other licensed health care 
professional--
    (1) Recommended in writing that--
    (i) The employee take one or more days away from work when the 
employee instead reports to work (or would have reported had he or she 
been scheduled) and takes no days away from work in connection with the 
injury or illness,
    (ii) The employee work restricted duty for one or more days when the 
employee instead works unrestricted (or would have worked unrestricted 
had he or she been scheduled) and takes no days of restricted work 
activity in connection with the injury or illness, or
    (iii) The employee take over-the-counter medication at a dosage 
equal to or greater than the minimum prescription strength, whether or 
not the employee actually takes the medication; or
    (2) Made a one-time topical application of a prescription-strength 
medication to the employee's injury.
    Day away from work means a day away from work as described in 
paragraph (1) of this definition or, if paragraph (1) does not apply, a 
day away from work solely for reporting purposes as described in 
paragraph (2) of this definition. For purposes of this definition, the 
count of days includes all calendar days, regardless of whether the 
employee would normally be scheduled to work on those days (e.g., 
weekend days, holidays, rest days, and vacation days), and begins on the 
first calendar day after the railroad employee has been examined by a 
physician or other licensed health care professional (PLHCP) and 
diagnosed with a work-related injury or illness. In particular, the term 
means--
    (1) Each calendar day that the employee, for reasons associated with 
his or her condition, does not report to work (or would have been unable 
to report had he or she been scheduled) if not reporting results from:
    (i) A PLHCP's written recommendation not to work, or
    (ii) A railroad's instructions not to work, if the injury or illness 
is otherwise reportable; or
    (2) A minimum of one calendar day if a PLHCP, for reasons associated 
with the employee's condition, recommends in writing that the employee 
take one or more days away from work, but the employee instead reports 
to work (or would have reported had he or she been scheduled). This 
paragraph is intended to take into account ``covered data'' cases and 
also those non-covered data cases that are independently reportable for 
some other reason (e.g., ``medical treatment'' or ``day of restricted 
work activity''). The requirement to report ``a minimum of one calendar 
day'' is intended to give a railroad the discretion to report up to the 
total number of days recommended by the PLHCP.
    Day of restricted work activity means a day of restricted work 
activity as described in paragraph (1) of this definition or, if 
paragraph (1) does not apply, a day of restricted work activity solely 
for reporting purposes as described in paragraph (2) of this definition; 
in both cases, the work restriction must affect one or more of the 
employee's routine job functions (i.e., those work activities regularly 
performed at least once per week) or prevent the employee from working 
the full workday that he or she would otherwise have worked. For 
purposes of this definition, the count of days includes all calendar 
days, regardless of whether the employee would normally be scheduled to 
work on those days (e.g., weekend days, holidays, rest days, and 
vacation days), and begins on the first calendar day after the railroad 
employee has been examined by a physician or other licensed health care 
professional (PLHCP) and diagnosed with a work-related injury or 
illness. In particular, the term means--
    (1) Each calendar day that the employee, for reasons associated with 
his or her condition, works restricted duty (or would have worked 
restricted duty had he or she been scheduled) if the restriction results 
from:
    (i) A PLHCP's written recommendation to work restricted duty, or
    (ii) A railroad's instructions to work restricted duty, if the 
injury or illness is otherwise reportable; or

[[Page 270]]

    (2) A minimum of one calendar day if a PLHCP, for reasons associated 
with the employee's condition, recommends in writing that the employee 
work restricted duty for one or more days, but the employee instead 
works unrestricted (or would have worked unrestricted had he or she been 
scheduled). This paragraph is intended to take into account ``covered 
data'' cases and also those non-covered data cases that are 
independently reportable for some other reason (e.g., ``medical 
treatment'' or ``day of restricted work activity''). The requirement to 
report ``a minimum of one calendar day'' is intended to give a railroad 
the discretion to report up to the total number of days recommended by 
the PLHCP.
    Employee human factor includes any of the accident causes signified 
by the train accident cause codes listed under ``Train Operation--Human 
Factors'' in the current ``FRA Guide for Preparing Accidents/Incidents 
Reports,'' except for those train accident cause codes pertaining to 
non-railroad workers. For purposes of this definition ``employee'' 
includes the classifications of Worker on Duty--Employee, Employee not 
on Duty, Worker on Duty--Contractor, and Worker on Duty--Volunteer.
    Establishment means a single physical location where workers report 
to work, where railroad business is conducted, or where services or 
operations are performed. Examples are: a division office, general 
office, repair or maintenance facility, major switching yard or 
terminal. For employees who are engaged in dispersed operations, such as 
signal or track maintenance workers, an ``establishment'' is typically a 
location where work assignments are initially made and oversight 
responsibility exists, e.g., the establishment where the signal 
supervisor or roadmaster is located.
    Event or exposure arising from the operation of a railroad includes-
-
    (1) With respect to a person who is on property owned, leased, or 
maintained by the railroad, an activity of the railroad that is related 
to the performance of its rail transportation business or an exposure 
related to the activity;
    (2) With respect to an employee of the railroad (whether on or off 
property owned, leased, or maintained by the railroad), an activity of 
the railroad that is related to the performance of its rail 
transportation business or an exposure related to the activity; and
    (3) With respect to a person who is not an employee of the railroad 
and not on property owned, leased, or maintained by the railroad--an 
event or exposure directly resulting from one or more of the following 
railroad operations:
    (i) A train accident, a train incident, or a highway-rail crossing 
accident or incident involving the railroad; or
    (ii) A release of a hazardous material from a railcar in the 
possession of the railroad or of another dangerous commodity that is 
related to the performance of the railroad's rail transportation 
business.
    FRA representative means the Associate Administrator for Safety, 
FRA; the Associate Administrator's delegate (including a qualified State 
inspector acting under part 212 of this chapter); the Chief Counsel, 
FRA; or the Chief Counsel's delegate.
    General reporting criteria means the criteria listed in 
Sec. 225.19(d)(1), (2), (3), (4), and (5).
    Highway-rail grade crossing means a location where a public highway, 
road, street, or private roadway, including associated sidewalks and 
pathways, crosses one or more railroad tracks at grade.
    Joint operations means rail operations conducted on a track used 
jointly or in common by two or more railroads subject to this part or 
operation of a train, locomotive, car, or other on-track equipment by 
one railroad over the track of another railroad.
    Medical removal means medical removal under the medical surveillance 
requirements of the Occupational Safety and Health Administration 
standard in 29 CFR part 1910 in effect during calendar year 2002, even 
if the case does not meet one of the general reporting criteria.
    Medical treatment means any medical care or treatment beyond ``first 
aid'' regardless of who provides such treatment. Medical treatment does 
not include diagnostic procedures, such as X-

[[Page 271]]

rays and drawing blood samples. Medical treatment also does not include 
counseling.
    Musculoskeletal disorder (MSD) means a disorder of the muscles, 
nerves, tendons, ligaments, joints, cartilage, and spinal discs. The 
term does not include disorders caused by slips, trips, falls, motor 
vehicle accidents, or other similar accidents. Examples of MSDs include: 
Carpal tunnel syndrome, Rotator cuff syndrome, De Quervain's disease, 
Trigger finger, Tarsal tunnel syndrome, Sciatica, Epicondylitis, 
Tendinitis, Raynaud's phenomenon, Carpet layers knee, Herniated spinal 
disc, and Low back pain.
    Needlestick or sharps injury means a cut, laceration, puncture, or 
scratch from a needle or other sharp object that involves contamination 
with another person's blood or other potentially infectious material, 
even if the case does not meet one of the general reporting criteria.
    New case means a case in which either the employee has not 
previously experienced a reported injury or illness of the same type 
that affects the same part of the body, or the employee previously 
experienced a reported injury or illness of the same type that affected 
the same part of the body but had recovered completely (all signs had 
disappeared) from the previous injury or illness and an event or 
exposure in the work environment caused the signs or symptoms to 
reappear.
    Non-train incident means an event that results in a reportable 
casualty, but does not involve the movement of on-track equipment nor 
cause reportable damage above the threshold established for train 
accidents.
    Occupational hearing loss means a diagnosis of occupational hearing 
loss by a physician or other licensed health care professional, where 
the employee's audiogram reveals a work-related Standard Threshold Shift 
(STS) (i.e., at least a 10-decibel change in hearing threshold, relative 
to the baseline audiogram for that employee) in hearing in one or both 
ears, and the employee's total hearing level is 25 decibels or more 
above audiometric zero (averaged at 2000, 3000, and 4000 Hz) in the same 
ear(s) as the STS.
    Occupational illness means any abnormal condition or disorder, as 
diagnosed by a physician or other licensed health care professional, of 
any person who falls under the definition for the classification of 
Worker on Duty--Employee, other than one resulting from injury, 
discernably caused by an environmental factor associated with the 
person's railroad employment, including, but not limited to, acute or 
chronic illnesses or diseases that may be caused by inhalation, 
absorption, ingestion, or direct contact.
    Occupational tuberculosis means the occupational exposure of an 
employee to anyone with a known case of active tuberculosis if the 
employee subsequently develops a tuberculosis infection, as evidenced by 
a positive skin test or diagnosis by a physician or other licensed 
health care professional, even if the case does not meet one of the 
general reporting criteria.
    Privacy concern case is any occupational injury or illness in the 
following list:
    (1) Any injury or illness to an intimate body part or the 
reproductive system;
    (2) An injury or illness resulting from a sexual assault;
    (3) Mental illnesses;
    (4) HIV infection, hepatitis, or tuberculosis;
    (5) Needlestick and sharps injuries; and
    (6) Other injuries or illnesses, if the employee independently and 
voluntarily requests in writing to the railroad reporting officer that 
his or her injury or illness not be posted.
    Person includes all categories of entities covered under 1 U.S.C. 1, 
including, but not limited to, a railroad; any manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any passenger; any trespasser or nontrespasser; any 
independent contractor providing goods or services to a railroad; any 
volunteer providing goods or services to a railroad; and any employee of 
such owner, manufacturer, lessor, lessee, or independent contractor.
    Qualified health care professional is a health care professional 
operating

[[Page 272]]

within the scope of his or her license, registration, or certification. 
For example, an otolaryngologist is qualified to diagnose a case of 
noise-induced hearing loss and identify potential causal factors, but 
may not be qualified to diagnose a case of repetitive motion injuries. 
In addition to licensed physicians, the term qualified health care 
professional includes members of other occupations associated with 
patient care and treatment such as chiropractors, podiatrists, 
physician's assistants, psychologists, and dentists.
    Railroad means a person providing railroad transportation.
    Railroad transportation means any form of non-highway ground 
transportation that run on rails or electro-magnetic guideways, 
including commuter or other short-haul railroad passenger service in a 
metropolitan or suburban area, as well as any commuter railroad service 
that was operated by the Consolidated Rail Corporation as of January 1, 
1979, and high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    Significant change in the damage costs for reportable rail equipment 
accidents/incidents means at least a ten-percent variance between the 
damage amount reported to FRA and current cost figures.
    Significant change in the number of reportable days away from work 
or days restricted means at least a ten-percent variance in the number 
of actual reportable days away from work or days restricted compared to 
the number of days already reported.
    Significant illness means an illness involving cancer or a chronic 
irreversible disease such as byssinosis or silicosis, if the disease 
does not result in death, a day away from work, restricted work, job 
transfer, medical treatment, or loss of consciousness.
    Significant injury means an injury involving a fractured or cracked 
bone or a punctured eardrum, if the injury does not result in death, a 
day away from work, restricted work, job transfer, medical treatment, or 
loss of consciousness.
    Train accident means any collision, derailment, fire, explosion, act 
of God, or other event involving operation of railroad on-track 
equipment (standing or moving) that results in damages greater than the 
current reporting threshold to railroad on-track equipment, signals, 
track, track structures, and roadbed.
    Train incident means any event involving the movement of on-track 
equipment that results in a reportable casualty but does not cause 
reportable damage above the current threshold established for train 
accidents.
    Work environment is the physical location, equipment, materials 
processed or used, and activities of a railroad employee associated with 
his or her work, whether on or off the railroad's property.
    Work related means related to any incident, activity, exposure, or 
the like occurring within the work environment.

[61 FR 30968, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67490, Dec. 23, 1996; 68 FR 10136, Mar. 3, 2003]



Sec. 225.7  Public examination and use of reports.

    (a) Accident/Incident reports made by railroads in compliance with 
these rules shall be available to the public in the manner prescribed by 
part 7 of this title. Accident/Incident reports may be inspected at the 
Office of Safety, Federal Railroad Administration, 400 Seventh Street, 
SW., Washington, DC 20590. Written requests for a copy of a report 
should be addressed to the Freedom of Information Officer, Office of 
Chief Counsel, FRA, 400 Seventh Street, SW., Washington, DC 20590, and 
be accompanied by the appropriate fee prescribed in part 7 of this 
title. To facilitate expedited handling, each request should be clearly 
marked ``Request for Accident/Incident Report.''
    (b) 49 U.S.C. 20903 provides that monthly reports filed by railroads 
under Sec. 225.11 may not be admitted as evidence or used for any 
purpose in any action for damages growing out of any matters mentioned 
in these monthly reports. The Employee Human Factor Attachment, Notice, 
and Employee

[[Page 273]]

Supplement under Sec. 225.12 are part of the reporting railroad's 
accident report to FRA pursuant to the 49 U.S.C. 20901 and, as such, 
shall not ``be admitted as evidence or used for any purpose in any suit 
or action for damages growing out of any matter mentioned in said report 
* * *.'' 49 U.S.C. 20903.

[39 FR 43224, Dec. 11, 1974, as amended at 51 FR 47019, Dec. 30, 1986; 
53 FR 28601, July 28, 1988; 55 FR 37827, Sept. 13, 1990; 55 FR 52487, 
Dec. 21, 1990; 61 FR 30969, June 18, 1996]



Sec. 225.9  Telephonic reports of certain accidents/incidents and other events.

    (a) Types of accidents/incidents and other events to be reported--
(1) Certain deaths or injuries. Each railroad must report immediately, 
as prescribed in paragraphs (b) through (d) of this section, whenever it 
learns of the occurrence of an accident/incident arising from the 
operation of the railroad, or an event or exposure that may have arisen 
from the operation of the railroad, that results in the--
    (i) Death of a rail passenger or a railroad employee;
    (ii) Death of an employee of a contractor to a railroad performing 
work for the railroad on property owned, leased, or maintained by the 
contracting railroad; or
    (iii) Death or injury of five or more persons.
    (2) Certain train accidents or train incidents. Each railroad must 
report immediately, as prescribed in paragraphs (b) through (d) of this 
section, whenever it learns of the occurrence of any of the following 
events that arose from the operation of the railroad:
    (i) A train accident that results in serious injury to two or more 
train crewmembers or passengers requiring their admission to a hospital;
    (ii) A train accident resulting in evacuation of a passenger train;
    (iii) A fatality at a highway-rail grade crossing as a result of a 
train accident or train incident;
    (iv) A train accident resulting in damage (based on a preliminary 
gross estimate) of $150,000, to railroad and nonrailroad property; or
    (v) A train accident resulting in damage of $25,000 or more to a 
passenger train, including railroad and nonrailroad property.
    (3) Train accidents on or fouling passenger service main lines. The 
dispatching railroad must report immediately, as prescribed in 
paragraphs (b) through (d) of this section, whenever it learns of the 
occurrence of any train accident reportable as a rail equipment 
accident/incident under Secs. 225.11 and 225.19(c)--
    (i) That involves a collision or derailment on a main line that is 
used for scheduled passenger service; or
    (ii) That fouls a main line used for scheduled passenger service.
    (b) Method of reporting. (1) Telephonic reports required by this 
section shall be made by toll-free telephone to the National Response 
Center, Area Code 800-424-8802 or 800-424-0201.
    (2) Through one of the same telephone numbers (800-424-0201), the 
National Response Center (NRC) also receives notifications of rail 
accidents for the National Transportation Safety Board (49 CFR part 840) 
and the Research and Special Programs Administration of the U.S. 
Department of Transportation (Hazardous Materials Regulations, 49 CFR 
171.15). FRA Locomotive Safety Standards require certain locomotive 
accidents to be reported by telephone to the NRC at the same toll-free 
number (800-424-0201). 49 CFR 229.17.
    (c) Contents of report. Each report must state the:
    (1) Name of the railroad;
    (2) Name, title, and telephone number of the individual making the 
report;
    (3) Time, date, and location of the accident/incident;
    (4) Circumstances of the accident/incident;
    (5) Number of persons killed or injured; and
    (6) Available estimates of railroad and non-railroad property 
damage.
    (d) Timing of report. (1) To the extent that the necessity to report 
an accident/incident depends upon a determination of fact or an estimate 
of property damage, a report will be considered immediate if made as 
soon as possible following the time that the determination or estimate 
is made, or could reasonably have been made,

[[Page 274]]

whichever comes first, taking into consideration the health and safety 
of those affected by the accident/incident, including actions to protect 
the environment.
    (2) NTSB has other specific requirements regarding the timeliness of 
reporting. See 49 CFR part 840.

[68 FR 10138, Mar. 3, 2003]



Sec. 225.11  Reporting of accidents/incidents.

    Each railroad subject to this part shall submit to FRA a monthly 
report of all railroad accidents/incidents described in Sec. 225.19. The 
report shall be made on the forms prescribed in Sec. 225.21 in hard copy 
or, alternatively, by means of magnetic media or electronic submission, 
as prescribed in Sec. 225.37, and shall be submitted within 30 days 
after expiration of the month during which the accidents/incidents 
occurred. Reports shall be completed as required by the current ``FRA 
Guide for Preparing Accidents/Incidents Reports.'' A copy of this guide 
may be obtained from the Office of Safety, RRS-22, Federal Railroad 
Administration, 400 Seventh Street, S.W., Washington, D.C. 20590.

[61 FR 30969, June 18, 1996]



Sec. 225.12  Rail Equipment Accident/Incident Reports alleging employee human factor as cause; Employee Human Factor Attachment; notice to employee; employee 
          supplement.

    (a) Rail Equipment Accident/Incident Report alleging employee human 
factor as cause; completion of Employee Human Factor Attachment. If, in 
reporting a rail equipment accident/incident to FRA, a railroad cites an 
employee human factor as the primary cause or a contributing cause of 
the accident; then the railroad that cited such employee human factor 
must complete, in accordance with instructions on the form and in the 
current ``FRA Guide for Preparing Accident/Incident Reports,'' an 
Employee Human Factor Attachment form on the accident. For purposes of 
this section, ``employee'' is defined as a Worker on Duty--Employee, 
Employee not on Duty, Worker on Duty--Contractor, or Worker on Duty--
Volunteer.
    (b) Notice to identified implicated employees. Except as provided in 
paragraphs (e) and (f) of this section, for each employee whose act, 
omission, or physical condition was alleged by the railroad as the 
employee human factor that was the primary cause or a contributing cause 
of a rail equipment accident/incident and whose name was listed in the 
Employee Human Factor Attachment for the accident and for each such 
railroad employee of whose identity the railroad has actual knowledge, 
the alleging railroad shall--
    (1) Complete part I, ``Notice to Railroad Employee Involved in Rail 
Equipment Accident/Incident Attributed to Employee Human Factor,'' of 
Form FRA F 6180.78 with information regarding the accident, in 
accordance with instructions on the form and in the current ``FRA Guide 
for Preparing Accident/Incident Reports''; and
    (2) Hand deliver or send by first class mail (postage prepaid) to 
that employee, within 45 days after the end of the month in which the 
rail equipment accident/incident occurred--
    (i) A copy of Form FRA F 6180.78, ``Notice to Railroad Employee 
Involved in Rail Equipment Accident/Incident Attributed to Employee 
Human Factor; Employee Statement Supplementing Railroad Accident 
Report,'' with part I completed as to the applicable employee and 
accident;
    (ii) A copy of the railroad's Rail Equipment Accident/Incident 
Report and Employee Human Factor Attachment on the rail equipment 
accident/incident involved; and
    (iii) If the accident was also reportable as a highway-rail grade 
crossing accident/incident, a copy of the railroad's Highway-Rail Grade 
Crossing Accident/Incident Report on that accident.
    (c) Joint operations. If a reporting railroad makes allegations 
under paragraph (a) of this section concerning the employee of another 
railroad, the employing railroad must promptly provide the name, job 
title, address, and medical status of any employee reasonably identified 
by the alleging railroad, if requested by the alleging railroad.
    (d) Late identification. Except as provided in paragraphs (e) and 
(f) of this section, if a railroad is initially unable

[[Page 275]]

to identify a particular railroad employee whose act, omission, or 
physical condition was cited by the railroad as a primary or 
contributing cause of the accident, but subsequently makes such 
identification, the railroad shall submit a revised Employee Human 
Factor Attachment to FRA immediately, and shall submit the Notice 
described in paragraph (b) of this section to that employee within 15 
days of when the revised report is to be submitted.
    (e) Deferred notification on medical grounds. The reporting railroad 
has reasonable discretion to defer notification of implicated employees 
on medical grounds.
    (f) Implicated employees who have died by the time that the Notice 
is ready to be sent. (1) If an implicated employee has died as a result 
of the accident, a Notice under paragraph (b) addressed to that employee 
must not be sent to any person.
    (2) If an implicated employee has died of whatever causes by the 
time that the Notice is ready to be sent, no Notice addressed to that 
employee is required.
    (g) Employee Statement Supplementing Railroad Accident Report 
(Supplements or Employee Supplements). (1) Employee Statements 
Supplementing Railroad Accident Reports are voluntary, not mandatory; 
nonsubmission of a Supplement does not imply that the employee admits or 
endorses the railroad's conclusions as to cause or any other 
allegations.
    (2) Although a Supplement is completely optional and not required, 
if an employee wishes to submit a Supplement and assure that, after 
receipt, it will be properly placed by FRA in a file with the railroad's 
Rail Equipment Accident/Incident Report and that it will be required to 
be reviewed by the railroad that issued the Notice, the Supplement must 
be made on part II of Form FRA F 6180.78 (entitled ``Notice to Railroad 
Employee Involved in Rail Equipment Accident/Incident Attributed to 
Employee Human Factor; Employee Statement Supplementing Railroad 
Accident Report''), following the instructions printed on the form. 
These instructions require that, within 35 days of the date that the 
Notice was hand delivered or sent by first class mail (postage prepaid) 
to the employee (except for good cause shown), the original of the 
Supplement be filed with FRA and a copy be hand delivered or sent by 
first class mail (postage prepaid) to the railroad that issued the 
Notice so that the railroad will have an opportunity to reassess its 
reports to FRA concerning the accident.
    (3) Information that the employee wishes to withhold from the 
railroad must not be included in this Supplement. If an employee wishes 
to provide confidential information to FRA, the employee should not use 
the Supplement form (part II of Form FRA F 6180.78), but rather provide 
such confidential information by other means, such as a letter to the 
employee's collective bargaining representative, or to the Federal 
Railroad Administration, Office of Safety Assurance and Compliance, RRS-
11, 400 Seventh Street, SW., Washington, DC 20590. The letter should 
include the name of the railroad making the allegations, the date and 
place of the accident, and the rail equipment accident/incident number.
    (h) Willful false statements; penalties. If an employee chooses to 
submit a Supplement to FRA, all of the employee's assertions in the 
Supplement must be true and correct to the best of the employee's 
knowledge and belief.
    (1) Under 49 U.S.C. 21301, 21302, and 21304, any person who 
willfully files a false Supplement with FRA is subject to a civil 
penalty. See appendix A to this part.
    (2) Any person who knowingly and willfully files a false Supplement 
is subject to a $5,000 fine, or up to two years'' imprisonment, or both, 
under 49 U.S.C. 21311.

[55 FR 37827, Sept. 13, 1990; 55 FR 39538, Sept. 27, 1990, as amended at 
61 FR 30969, 30973, June 18, 1996]



Sec. 225.13  Late reports.

    Whenever a railroad discovers that a report of an accident/incident, 
through mistake or otherwise, has been improperly omitted from or 
improperly reported on its regular monthly accident/incident report, a 
report covering this accident/incident together with a letter of 
explanation must be submitted immediately. Whenever a railroad receives 
a partially or fully completed

[[Page 276]]

Employee Statement Supplementing Railroad Accident Report (part II of 
Form FRA F 6180.78), in response to a Notice to Railroad Employee (part 
I of Form FRA F 6180.78) issued by the railroad and mailed or hand 
delivered to the employee, the railroad must promptly review that 
Supplement; based on that review, reassess the accuracy and validity of 
the railroad's Rail Equipment Accident/Incident Report and of any other 
reports and records required by this part concerning the same accident, 
including the Employee Human Factor Attachment; make all justified 
revisions to each of those reports and records; submit any amended 
reports to FRA; and submit a copy of any amended Rail Equipment 
Accident/Incident Report, Employee Human Factor Attachment, and Highway-
Rail Grade Crossing Accident/Incident Report on the accident to the 
employee. A second notice under Sec. 225.12 is not required for the 
employee. If an employee who was never sent a notice under Sec. 225.12 
for that accident is implicated in the revised Employee Human Factor 
Attachment, the railroad must follow the procedures of Sec. 225.12(d).

[39 FR 43224, Dec. 11, 1974, as amended at 55 FR 37828, Sept. 13, 1990; 
61 FR 30973, June 18, 1996]



Sec. 225.15  Accidents/incidents not to be reported.

    A railroad need not report:
    (a) Casualties which occur at highway-rail grade crossings that do 
not involve the presence or operation of on-track equipment, or the 
presence of railroad employees then engaged in the operation of a 
railroad;
    (b) Casualties in or about living quarters not arising from the 
operation of a railroad;
    (c) Suicides as determined by a coroner or other public authority; 
or
    (d) Attempted suicides.

[39 FR 43224, Dec. 11, 1974, as amended at 61 FR 30973, June 18, 1996]



Sec. 225.17  Doubtful cases; alcohol or drug involvement.

    (a) The reporting officer f a railroad will ordinarily determine the 
reportability or nonreportability of an accident/incident after 
examining all evidence available. The FRA, however, cannot delegate 
authority to decide matters of judgment when facts are in dispute. In 
all such cases the decision shall be that of the FRA.
    (b) Even though there may be no witness to an accident/incident, if 
there is evidence indicating that a reportable accident/incident may 
have occurred, a report of that accident/incident must be made.
    (c) All accidents/incidents reported as ``claimed but not admitted 
by the railroad'' are given special examination by the FRA, and further 
inquiry may be ordered. Accidents/incidents accepted as reportable are 
tabulated and included in the various statistical statements issued by 
the FRA. The denial of any knowledge or refusal to admit responsibility 
by the railroad does not exclude those accidents/incidents from monthly 
and annual figures. Facts stated by a railroad that tend to refute the 
claim of an injured person are given consideration, and when the facts 
seem sufficient to support the railroad's position, the case is not 
allocated to the reporting railroad.
    (d)(1) In preparing a Rail Equipment Accident/Incident Report under 
this part, the railroad shall make such specific inquiry as may be 
reasonable under the circumstances into the possible involvement of 
alcohol or drug use or impairment in such accident or incident. If the 
railroad comes into possession of any information whatsoever, whether or 
not confirmed, concerning alleged alcohol or drug use or impairment by 
an employee who was involved in, or arguably could be said to have been 
involved in, the accident/incident, the railroad shall report such 
alleged use or impairment as provided in the current FRA Guide for 
Preparing Accident/Incident Reports. If the railroad is in possession of 
such information but does not believe that alcohol or drug impairment 
was the primary or contributing cause of the accident/incident, then the 
railroad shall include in the narrative statement of such report a brief 
explanation of the basis of such determination.
    (2) For any train accident within the requirement for post-accident 
testing under Sec. 219.201 of this title, the railroad

[[Page 277]]

shall append to the Rail Equipment Accident/Incident Report any report 
required by Sec. 219.209(b) (pertaining to failure to obtain samples for 
post-accident toxicological testing).
    (3) For any train or non-train incident, the railroad shall provide 
any available information concerning the possible involvement of alcohol 
or drug use or impairment in such accident or incident.
    (4) In providing information required by this paragraph, a railroad 
shall not disclose any information concerning use of controlled 
substances determined by the railroad's Medical Review Officer to have 
been consistent with 49 CFR 219.103.

[39 FR 43224, Dec. 11, 1974, as amended at 50 FR 31579, Aug. 2, 1985; 54 
FR 53279, Dec. 27, 1989]



Sec. 225.19  Primary groups of accidents/incidents.

    (a) For reporting purposes reportable railroad accidents/incidents 
are divided into three groups:

Group I--Highway-Rail Grade Crossing;
Group II--Rail Equipment;
Group III--Death, Injury and Occupational Illness.

    (b) Group I--Highway-rail grade crossing. Each highway-rail grade 
crossing accident/incident must be reported to the FRA on Form FRA F 
6180.57, regardless of the extent of damages or whether a casualty 
occurred. In addition, whenever a highway-rail grade crossing accident/
incident results in damages greater than the current reporting threshold 
to railroad on-track equipment, signals, track, track structures, or 
roadbed, that accident/incident shall be reported to the FRA on Form FRA 
F 6180.54. For reporting purposes, damages include labor costs and all 
other costs to repair or replace in kind damaged on-track equipment, 
signals, track, track structures, or roadbed, but do not include the 
cost of clearing a wreck.
    (c) Group II--Rail equipment. Rail equipment accidents/incidents are 
collisions, derailments, fires, explosions, acts of God, and other 
events involving the operation of on-track equipment (standing or 
moving) that result in damages higher than the current reporting 
threshold (i.e., $6,300 for calendar years 1991 through 1966, $6,500 for 
calendar year 1997, and $6,700 for calendar years 2002 and 2003 and, 
until further notice, for calendar years thereafter) to railroad on-
track equipment, signals, tracks, track structures, or roadbed, 
including labor costs and the costs for acquiring new equipment and 
material. Each rail equipment accident/incident must be reported to the 
FRA on Form FRA F 6180.54. If the property of more than one railroad is 
involved in an accident/incident, the reporting threshold is calculated 
by including the damages suffered by all of the railroads involved. See 
Sec. 225.23, Joint Operations. The reporting threshold will be reviewed 
periodically, and, if necessary, will be adjusted every year.
    (d) Group III--Death, injury, or occupational illness. Each event or 
exposure arising from the operation of a railroad shall be reported on 
Form FRA F 6180.55a if the event or exposure is a discernable cause of 
one or more of the following outcomes, and this outcome is a new case or 
a significant aggravation of a pre-existing injury or illness:
    (1) Death to any person;
    (2) Injury to any person that results in medical treatment;
    (3) Injury to a railroad employee that results in:
    (i) A day away from work;
    (ii) Restricted work activity or job transfer; or
    (iii) Loss of consciousness;
    (4) Occupational illness of a railroad employee that results in any 
of the following:
    (i) A day away from work;
    (ii) Restricted work activity or job transfer;
    (iii) Loss of consciousness; or
    (iv) Medical treatment;
    (5) Significant injury to or significant illness of a railroad 
employee diagnosed by a physician or other licensed health care 
professional even if it does not result in death, a day away from work, 
restricted work activity or job transfer, medical treatment, or loss of 
consciousness;
    (6) Illness or injury that meets the application of any of the 
following specific case criteria:

[[Page 278]]

    (i) Needlestick or sharps injury to a railroad employee;
    (ii) Medical removal of a railroad employee;
    (iii) Occupational hearing loss of a railroad employee;
    (iv) Occupational tuberculosis of a railroad employee; or
    (v) Musculoskeletal disorder of a railroad employee if this disorder 
is independently reportable under one or more of the general reporting 
criteria.
    (e) The reporting threshold is $6,300 for calendar years 1991 
through 1996. The reporting threshold is $6,500 for calendar year 1997, 
$6,600 for calendar years 1998 through 2001, and $6,700 for calendar 
years 2002 and 2003 and, until further notice, for calendar years 
thereafter. The procedure for determining the reporting threshold for 
calendar years 1997 through 2002 appears as paragraphs 1-9 of appendix B 
to part 225. The primary rationale for the reporting threshold 
established for calendar year 2003 and, until further notice, for 
subsequent calendar years, appears as paragraph 10 of appendix B to part 
225.

(Secs. 11144 and 11145, Subtitle IV of Title 49 (49 U.S.C. 11144 and 
11145); secs. 1 and 6, Accident Reports Act (45 U.S.C. 431 and 437); 
sec. 6(e) and (f), Department of Transportation Act (49 U.S.C. 1655(e) 
and (f)); sec. 1.49(g) and (m), regulations of the Office of the 
Secretary of Transportation (49 CFR 1.49(g) and (m))

[39 FR 43224, Dec. 11, 1974, as amended at 41 FR 50691, Nov. 17, 1976; 
42 FR 1221, Jan. 6, 1977; 47 FR 56358, Dec. 16, 1982; 51 FR 47019, Dec. 
30, 1986; 53 FR 48548, Dec. 1, 1988; 55 FR 52847, Dec. 21, 1990; 61 FR 
30969, 30973, June 18, 1996; 61 FR 60634, Nov. 29, 1996; 61 FR 67490, 
Dec. 23, 1996; 63 FR 63676, Dec. 2, 1997; 63 FR 71791, Dec. 30, 1998; 64 
FR 69195, Dec. 10, 1999; 65 FR 69886, Nov. 21, 2000; 66 FR 66348, Dec. 
26, 2001; 67 FR 79536, Dec. 30, 2002; 68 FR 10138, Mar. 3, 2003]



Sec. 225.21  Forms.

    The following forms and copies of the FRA Guide for Preparing 
Accident/Incident Reports may be obtained from the Office of Safety, 
FRA, 400 Seventh Street, SW., Washington, DC 20590.
    (a) Form FRA F 6180.54--Rail Equipment Accident/Incident Report. 
Form FRA F 6180.54 shall be used to report each reportable rail 
equipment accident/incident which occurred during the preceding month.
    (b) Form FRA F 6180.55--Railroad Injury and Illness Summary. Form 
FRA F 6180.55 must be filed each month, even though no reportable 
accident/incident occurred during the month covered. Each report must 
include an oath or verification, made by the proper officer of the 
reporting railroad, as provided for attestation on the form. If no 
reportable accident/incident occurred during the month, that fact must 
be stated on this form. All railroads subject to this part, shall show 
on this form the total number of freight train miles, passenger train 
miles, yard switching train miles, and other train miles run during the 
month.
    (c) Form FRA 6180.55a--Railroad Injury and Illness (Continuation 
Sheet). Form FRA 6180.55a shall be used to report all reportable 
fatalities, injuries and occupational illnesses that occurred during the 
preceding month.
    (d) Form FRA 6180.56--Annual Railroad Report of Manhours by State. 
Form FRA 6180.56 shall be submitted as part of the monthly Railroad 
Injury and Illness Summary (Form FRA F 6180.55) for the month of 
December of each year.
    (e) Form FRA F 6180.57--Highway-Rail Grade Crossing Accident/
Incident Report. Form FRA F 6180.57 shall be used to report each 
highway-rail grade crossing accident/incident which occurred during the 
preceding month.
    (f) Form FRA F 6180.81--Employee Human Factor Attachment. Form FRA F 
6180.81 shall be used by railroads, as a supplement to the Rail 
Equipment Accident/Incident Report (Form FRA F 6180.54), in reporting 
rail equipment accidents/incidents that they attribute to an employee 
human factor. This form shall be completed in accordance with 
instructions printed on the form and in the current ``FRA Guide for 
Preparing Accident/Incident Reports.'' The form shall be attached to the 
Rail Equipment Accident/Incident Report and shall be submitted within 30 
days after expiration of the month in which the accident/incident 
occurred.
    (g) Form FRA F 6180.78--Notice to Railroad Employee Involved in Rail 
Equipment Accident/Incident Attributed to Employee Human Factor; 
Employee Statement Supplementing Railroad Accident

[[Page 279]]

Report. When a railroad alleges, in the Employee Human Factor Attachment 
to a Rail Equipment Accident/Incident Report, that the act, omission, or 
physical condition of a specific employee was a primary or contributing 
cause of the rail equipment accident/incident, the railroad shall 
complete part I of Form FRA F 6180.78 to notify each such employee 
identified that the railroad has made such allegation and that the 
employee has the right to submit a statement to FRA. The railroad shall 
then submit the entire form, parts I and II, to the employee. The 
Employee Statement Supplementing Railroad Accident Report (Employee 
Supplement) is completely at the option of the employee; however, if the 
employee desires to make a statement about the accident that will become 
part of the railroad's Rail Equipment Accident/Incident Report, the 
employee shall complete the Employee Supplement form (part II of Form 
FRA F 6180.78) and shall then submit the original of the entire form, 
parts I and II, and any attachments, to FRA and submit a copy of the 
same to the railroad that issued the Notice in part I.
    (h) Form FRA F 6180.98--Railroad Employee Injury and/or Illness 
Record. Form FRA F 6180.98 or an alternative railroad-designed record 
shall be used by the railroads to record all reportable and accountable 
injuries and illnesses to railroad employees for each establishment. 
This record shall be completed and maintained in accordance with the 
requirements set forth in Sec. 225.25.
    (i) Form FRA F 6180.97--Initial Rail Equipment Accident/Incident 
Record. Form FRA F 6180.97 or an alternative railroad-designed record 
shall be used by the railroads to record all reportable and accountable 
rail equipment accidents/incidents for each establishment. This record 
shall be completed and maintained in accordance with the requirements 
set forth in Sec. 225.25.
    (j) Form FRA 6180.107--Alternative Record for Illnesses Claimed to 
Be Work-Related. (1) Form FRA F 6180.107 shall be used by a railroad to 
record each illness claimed to be work-related that is reported to the 
railroad--
    (i) For which there is insufficient information to determine whether 
the illness is work-related;
    (ii) For which the railroad has made a preliminary determination 
that the illness is not work-related; or
    (iii) For which the railroad has made a final determination that the 
illness is not work-related.
    (2) For any case determined to be reportable, the designation 
``illness claimed to be work-related'' shall be removed, and the record 
shall be transferred to the reporting officer for retention and 
reporting in the normal manner.
    (3) In the event the narrative block (similar to Form FRA F 6180.98, 
block 39) indicates that the case is not reportable, the explanation 
contained on that block shall record the reasons the railroad determined 
that the case is not reportable, making reference to the most 
authoritative information relied upon.
    (4) Although the Form FRA F 6180.107 may not include all supporting 
documentation, such as medical records, the Form FRA F 6180.107 shall 
note the name, title, and address of the custodian of those documents 
and where the supporting documents are located so that they are readily 
accessible to FRA upon request.

[39 FR 43224, Dec. 11, 1974, as amended at 42 FR 1221, Jan. 6, 1977; 49 
FR 48939, Dec. 17, 1984; 55 FR 37828, Sept. 13, 1990; 61 FR 30969, 
30973, June 18, 1996; 68 FR 10138, Mar. 3, 2003]



Sec. 225.23  Joint operations.

    (a) Any reportable death, injury, or illness of an employee arising 
from an accident/incident involving joint operations must be reported on 
Form FRA F 6180.55a by the employing railroad.
    (b) In all cases involving joint operations, each railroad must 
report on Form FRA F 6180.55a the casualties to all persons on its train 
or other on-track equipment. Casualties to railroad employees must be 
reported by the employing railroad regardless of whether the employees 
were on or off duty. Casualties to all other persons not on trains or 
on-track equipment must be reported on Form FRA F 6180.55a by the 
railroad whose train or equipment is involved. Any person found 
unconscious or dead, if such condition arose

[[Page 280]]

from the operation of a railroad, on or adjacent to the premises or 
right-of-way of the railroad having track maintenance responsibility 
must be reported by that railroad on Form FRA F 6180.55a.
    (c) In rail equipment accident/incident cases involving joint 
operations, the railroad responsible for carrying out repairs to, and 
maintenance of, the track on which the accident/incident occurred, and 
any other railroad directly involved in the accident/incident, each must 
report the accident/incident on Form FRA F 6180.54.

[39 FR 43224, Dec. 11, 1974, as amended at 42 FR 1221, Jan. 6, 1977; 68 
FR 10138, Mar. 3, 2003]



Sec. 225.25  Recordkeeping.

    (a) Each railroad shall maintain either the Railroad Employee Injury 
and/or Illness Record (Form FRA F 6180.98) or an alternative railroad-
designed record as described in paragraph (b) of this section of all 
reportable and accountable injuries and illnesses of its employees that 
arise from the operation of the railroad for each railroad establishment 
where such employees report to work, including, but not limited to, an 
operating division, general office, and major installation such as a 
locomotive or car repair or construction facility.
    (b) The alternative railroad-designed record may be used in lieu of 
the Railroad Employee Injury and/or Illness Record (Form FRA F 6180.98) 
described in paragraph (a) of this section. Any such alternative record 
shall contain all of the information required on the Railroad Employee 
Injury and/or Illness Record. Although this information may be displayed 
in a different order from that on the Railroad Employee Injury and/or 
Illness Record, the order of the information shall be consistent from 
one such record to another such record. The order chosen by the railroad 
shall be consistent for each of the railroad''s reporting 
establishments. Railroads may list additional information on the 
alternative record beyond the information required on the Railroad 
Employee Injury and/or Illness Record. The alternative record shall 
contain, at a minimum, the following information:
    (1) Name of railroad;
    (2) Case/incident number;
    (3) Full name of railroad employee;
    (4) Date of birth of railroad employee;
    (5) Gender of railroad employee;
    (6) Employee identification number or, in the alternative, Social 
Security Number of railroad employee;
    (7) Date the railroad employee was hired;
    (8) Home address of railroad employee; include the street address, 
city, State, ZIP code, and home telephone number with area code;
    (9) Name of facility where railroad employee normally reports to 
work;
    (10) Address of facility where railroad employee normally reports to 
work; include the street address, city, State, and ZIP code;
    (11) Job title of railroad employee;
    (12) Department assigned;
    (13) Specific site where accident/incident/exposure occurred; 
include the city, county, State, and ZIP code;
    (14) Date and time of occurrence; military time or AM/PM;
    (15) Time employee's shift began; military time or AM/PM;
    (16) Whether employee was on premises when injury, illness, or 
condition occurred;
    (17) Whether employee was on or off duty;
    (18) Date and time when employee notified company personnel of 
condition; military time or AM/PM;
    (19) Name and title of railroad official notified;
    (20) Description of the general activity this employee was engaged 
in prior to the injury/illness/condition;
    (21) Description of all factors associated with the case that are 
pertinent to an understanding of how it occurred. Include a discussion 
of the sequence of events leading up to it; and the tools, machinery, 
processes, material, environmental conditions, etc., involved;
    (22) Description, in detail, of the injury/illness/condition that 
the employee sustained, including the body parts affected. If a 
recurrence, list the date of the last occurrence;
    (23) Identification of all persons and organizations used to 
evaluate or treat the condition, or both. Include the facility, provider 
and complete address;

[[Page 281]]

    (24) Description of all procedures, medications, therapy, etc., used 
or recommended for the treatment of the condition.
    (25) Extent and outcome of injury or illness to show the following 
as applicable:
    (i) Fatality--enter date of death;
    (ii) Restricted work; number of days; beginning date;
    (iii) Occupational illness; date of initial diagnosis;
    (iv) Instructions to obtain prescription medication, or receipt of 
prescription medication;
    (v) If one or more days away from work, provide the number of days 
away and the beginning date;
    (vi) Medical treatment beyond ``first aid'';
    (vii) Hospitalization for treatment as an inpatient;
    (viii) Multiple treatments or therapy sessions;
    (ix) Loss of consciousness;
    (x) Transfer to another job or termination of employment;
    (xi) Significant injury or illness of a railroad employee;
    (xii) Needlestick or sharps injury to a railroad employee, medical 
removal of a railroad employee, occupational hearing loss of a railroad 
employee, occupational tuberculosis of a railroad employee, or 
musculoskeletal disorder of a railroad employee which musculoskeletal 
disorder is reportable under one or more of the general reporting 
criteria.
    (26) Each railroad shall indicate if the Railroad Injury and Illness 
Summary (Continuation Sheet) (FRA Form F 6180.55a) has been filed with 
FRA for the injury or illness. If FRA Form F 6180.55a was not filed with 
FRA, then the railroad shall provide an explanation of the basis for its 
decision.
    (27) The reporting railroad shall indicate if the injured or ill 
railroad employee was provided an opportunity to review his or her file; 
and
    (28) The reporting railroad shall identify the preparer's name; 
title; telephone number with area code; and the date the log entry was 
completed.
    (c) Each railroad shall provide the employee, upon request, a copy 
of either the completed Railroad Employee Injury and/or Illness Record 
(Form FRA F 6180.98) or the alternative railroad-designed record as 
described in paragraphs (a) and (b) of this section as well as a copy of 
forms or reports required to be maintained or filed under this part 
pertaining to that employee's own work-related injury or illness.
    (d) Each railroad shall maintain the Initial Rail Equipment 
Accident/Incident Record (Form FRA F 6180.97) or an alternative 
railroad-designed record as described in paragraph (e) of this section 
of reportable and accountable collisions, derailments, fires, 
explosions, acts of God, or other events involving the operation of 
railroad on-track equipment, signals, track, or track equipment 
(standing or moving) that result in damages to railroad on-track 
equipment, signals, tracks, track structures, or roadbed, including 
labor costs and all other costs for repairs or replacement in kind for 
each railroad establishment where workers report to work, including, but 
not limited to, an operating division, general office, and major 
installation such as a locomotive or car repair or construction 
facility.
    (e) The alternative railroad-designed record may be used in lieu of 
the Initial Rail Equipment Accident/Incident Record (Form FRA F 
6180.97). Any such alternative record shall contain all of the 
information required on the Initial Rail Equipment Accident/Incident 
Record. Although this information may be displayed in a different order 
from that on the Initial Rail Equipment Accident/Incident Record, the 
order of the information shall be consistent from one such record to 
another such record. The order chosen by the railroad shall be 
consistent for each of the railroad's reporting establishments. 
Railroads may list additional information in the alternative record 
beyond the information required on the Initial Rail Equipment Accident/
Incident Record. The alternative record shall contain, at a minimum, the 
following information:
    (1) Date and time of accident;
    (2) Reporting railroad, and accident/incident number;
    (3) Other railroad, if applicable, and other railroad's accident/
incident number;

[[Page 282]]

    (4) Railroad responsible for track maintenance, and that railroad's 
incident number;
    (5) Type of accident/incident (derailment, collision, etc.);
    (6) Number of cars carrying hazardous materials that derailed or 
were damaged; and number of cars carrying hazardous materials that 
released product;
    (7) Division;
    (8) County and nearest city or town;
    (9) State;
    (10) Milepost (to the nearest tenth);
    (11) Specific site;
    (12) Speed (indicate if actual or estimate);
    (13) Train number or job number;
    (14) Type of equipment (freight, passenger, yard switching, etc.);
    (15) Type of track (main, yard, siding, industry);
    (16) Total number of locomotives in train;
    (17) Total number of locomotives that derailed;
    (18) Total number of cars in train;
    (19) Total number of cars that derailed;
    (20) Total amount of damage in dollars to equipment based on 
computations as described in the ``FRA Guide for Preparing Accidents/
Incidents Reports'';
    (21) Total amount of damage in dollars to track, signal, way and 
structures based on computations as described in the ``FRA Guide for 
Preparing Accidents/Incidents Reports'';
    (22) Primary cause;
    (23) Contributing cause;
    (24) Persons injured, persons killed, and employees with an 
occupational illness, broken down into the following classifications: 
worker on duty--employee; employee not on duty; passenger on train; 
nontrespasser--on railroad property; trespasser; worker on duty--
contractor; contractor--other; worker on duty--volunteer; volunteer--
other; and nontrespasser-off railroad property;
    (25) Narrative description of the accident;
    (26) Whether the accident/incident was reported to FRA;
    (27) Preparer's name, title, telephone number with area code, and 
signature; and
    (28) Date the report was completed.
    (f) Each railroad shall enter each reportable and accountable injury 
and illness and each reportable and accountable rail equipment accident/
incident on the appropriate record, as required by paragraphs (a) 
through (e) of this section, as early as practicable but no later than 
seven working days after receiving information or acquiring knowledge 
that an injury or illness or rail equipment accident/incident has 
occurred.
    (g) The records required under paragraphs (a) through (e) of this 
section may be maintained at the local establishment or, alternatively, 
at a centralized location. If the records are maintained at a 
centralized location, but not through electronic means, then a paper 
copy of the records that is current within 35 days of the month to which 
it applies shall be available for that establishment. If the records are 
maintained at a centralized location through electronic means, then the 
records for that establishment shall be available for review in a hard 
copy format within four business hours of FRA's request. FRA recognizes 
that circumstances outside the railroad's control may preclude it from 
fulfilling the four-business-hour time limit. In these circumstances, 
FRA will not assess a monetary penalty against the railroad for its 
failure to provide the requested documentation provided the railroad 
made a reasonable effort to correct the problem.
    (h) Except as provided in paragraph(h)(15) of this section, a 
listing of all injuries and occupational illnesses reported to FRA as 
having occurred at an establishment shall be posted in a conspicuous 
location at that establishment, within 30 days after the expiration of 
the month during which the injuries and illnesses occurred, if the 
establishment has been in continual operation for a minimum of 90 
calendar days. If the establishment has not been in continual operation 
for a minimum of 90 calendar days, the listing of all injuries and 
occupational illnesses reported to FRA as having occurred at the 
establishment shall be posted, within 30 days after the expiration of 
the month during which the injuries and illnesses occurred, in a 
conspicuous

[[Page 283]]

location at the next higher organizational level establishment, such as 
one of the following: an operating division headquarters; a major 
classification yard or terminal headquarters; a major equipment 
maintenance or repair installation, e.g., a locomotive or rail car 
repair or construction facility; a railroad signal and maintenance-of-
way division headquarters; or a central location where track or signal 
maintenance employees are assigned as a headquarters or receive work 
assignments. These examples include facilities that are generally major 
facilities of a permanent nature where the railroad generally posts or 
disseminates company informational notices and policies, e.g., the 
policy statement in the internal control plan required by Sec. 225.33 
concerning harassment and intimidation. At a minimum, ``establishment'' 
posting is required and shall include locations where a railroad 
reasonably expects its employees to report during a 12-month period and 
to have the opportunity to observe the posted list containing any 
reportable injuries or illnesses they have suffered during the 
applicable period. This listing shall be posted and shall remain 
continuously displayed for the next twelve consecutive months. Incidents 
reported for employees at that establishment shall be displayed in date 
sequence. The listing shall contain, at a minimum, the information 
specified in paragraphs (h)(1) through (14) of this section.
    (1) Name and address of the establishment;
    (2) Calendar year of the cases being displayed;
    (3) Incident number used to report case;
    (4) Date of the injury or illness;
    (5) Location of incident;
    (6) Regular job title of employee injured or ill;
    (7) Description of the injury or condition;
    (8) Number of days employee absent from work at time of posting;
    (9) Number of days of work restriction for employee at time of 
posting;
    (10) If fatality--enter date of death;
    (11) Annual average number of railroad employees reporting to this 
establishment;
    (12) Preparer's name, title, telephone number with area code, and 
signature (or, in lieu of signing each establishment's list of 
reportable injuries and illnesses, the railroad's preparer of this 
monthly list may sign a cover sheet or memorandum which contains a list 
of each railroad establishment for which a monthly list of reportable 
injuries and illnesses has been prepared. This cover memorandum shall be 
signed by the preparer and shall have attached to it a duplicate copy of 
each establishment's list of monthly reportable injuries and illnesses. 
The preparer of the monthly lists of reportable injuries and illnesses 
shall mail or send by facsimile each establishment's list to the 
establishment in the time frame prescribed in paragraph (h) of this 
section.); and
    (13) Date the record was completed.
    (14) When there are no reportable injuries or occupational illnesses 
associated with an establishment for that month, the listing shall make 
reference to this fact.
    (15) The railroad is permitted not to post information on an 
occupational injury or illness that is a privacy concern case.
    (i) Claimed Occupational Illnesses. (1) Each railroad shall maintain 
either the Form FRA F 6180.107, to the extent that the information is 
reasonably available, or an alternate railroad-designed record 
containing the same information as called for on the Form FRA F 
6180.107, to the extent that the information is reasonably available, 
for each illness claimed to be work-related--
    (i) For which there is insufficient information to determine whether 
the illness is work-related;
    (ii) For which the railroad has made a preliminary determination 
that the illness is not work-related; or
    (iii) For which the railroad has made a final determination that the 
illness is not work-related.
    (2) For any case determined to be reportable, the designation 
``illness claimed to be work-related'' shall be removed, and the record 
shall be transferred to the reporting officer for retention and 
reporting in the normal manner.

[[Page 284]]

    (3) In the event the narrative block (similar to Form FRA F 6180.98, 
block 39) indicates that the case is not reportable, the explanation 
contained on that block shall record the reasons the railroad determined 
that the case is not reportable, making reference to the most 
authoritative information relied upon.
    (4) In the event the railroad must amend the record with new or 
additional information, the railroad shall have up until December 1 of 
the next calendar year for reporting accidents/incidents to make the 
update.
    (5) Although the Alternative Record for Illnesses Claimed to be 
Work-Related (or the alternate railroad-designed form) may not include 
all supporting documentation, such as medical records, the alternative 
record shall note the custodian of those documents and where the 
supporting documents are located so that they are readily accessible to 
FRA upon request.

[61 FR 30970, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67491, Dec. 23, 1996; 68 FR 10139, Mar. 3, 2003]



Sec. 225.27  Retention of records.

    (a) Each railroad shall retain the Railroad Employee Injury and/or 
Illness Record and the Monthly List of Injuries and Illnesses required 
by Sec. 225.25 for at least five years after the end of the calendar 
year to which they relate. Each railroad shall retain the Initial Rail 
Equipment Accident/Incident Record required by Sec. 225.25 for at least 
two years after the end of the calendar year to which it relates. Each 
railroad must retain the Employee Human Factor Attachments required by 
Sec. 225.12, the written notices to employees required by Sec. 225.12, 
and the Employee Statements Supplementing Railroad Accident Reports 
described in Sec. 225.12(g) that have been received by the railroad for 
at least 2 years after the end of the calendar year to which they 
relate.
    (b) Each railroad must retain a duplicate of each form it submits to 
FRA under Sec. 225.21, for at least 2 years after the calendar year to 
which it relates.

[39 FR 43224, Dec. 11, 1974, as amended at 55 FR 37828, Sept. 13, 1990; 
61 FR 30971, June 18, 1996; 61 FR 67491, Dec. 23, 1996]



Sec. 225.29  Penalties.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy. A person may also be subject 
to the criminal penalties provided for in 49 U.S.C. 21311.

[53 FR 28601, July 28, 1988, as amended at 53 FR 52931, Dec. 29, 1988; 
61 FR 30971, June 18, 1996; 63 FR 11622, Mar. 10, 1998]



Sec. 225.31  Investigations.

    (a) It is the policy of the FRA to investigate rail transportation 
accidents/incidents which result in the death of a railroad employee or 
the injury of five or more persons. Other accidents/incidents are 
investigated when it appears that an investigation would substantially 
serve to promote railroad safety.
    (b) FRA representatives are authorized to investigate accidents/
incidents and have been issued credentials authorizing them to inspect 
railroad records and properties. They are authorized to obtain all 
relevant information concerning accidents/incidents under investigation, 
to make inquiries of persons having knowledge of the facts, conduct 
interviews and inquiries, and attend as an observer, hearings conducted 
by railroads. When necessary to carry out an investigation,

[[Page 285]]

the FRA may authorize the issuance of subpoenas to require the 
production of records and the giving of testimony.
    (c) Whenever necessary, the FRA will schedule a public hearing 
before an authorized hearing officer, in which event testimony will be 
taken under oath, a record made, and opportunity provided to question 
witnesses.
    (d) When necessary in the conduct of an investigation, the Federal 
Railroad Administrator may require autopsies and other tests of the 
remains of railroad employees who die as a result of an accident/
incident.
    (e) Information obtained through FRA accident investigations may be 
published in public reports or used for other purposes FRA deems to be 
appropriate.
    (f) Section 20903 of title 49 of the United States Code provides 
that no part of a report of an accident investigation under section 
20902 of title 49 of the United States Code may be admitted as evidence 
or used for any purpose in any suit or action for damages growing out of 
any matter mentioned in the accident investigation report.

[39 FR 43224, Dec. 11, 1974, as amended at 61 FR 30971, June 18, 1996]



Sec. 225.33  Internal Control Plans.

    (a) Each railroad shall adopt and comply with a written Internal 
Control Plan that shall be maintained at the office where the railroad's 
reporting officer conducts his or her official business. Each railroad 
shall amend its Internal Control Plan, as necessary, to reflect any 
significant changes to the railroad's internal reporting procedures. The 
Internal Control Plan shall be designed to maintain absolute accuracy 
and shall include, at a minimum, each of the following components:
    (1) A policy statement declaring the railroad's commitment to 
complete and accurate reporting of all accidents, incidents, injuries, 
and occupational illnesses arising from the operation of the railroad, 
to full compliance with the letter and spirit of FRA's accident 
reporting regulations, and to the principle, in absolute terms, that 
harassment or intimidation of any person that is calculated to 
discourage or prevent such person from receiving proper medical 
treatment or from reporting such accident, incident, injury or illness 
will not be permitted or tolerated and will result in some stated 
disciplinary action against any employee, supervisor, manager, or 
officer of the railroad committing such harassment or intimidation.
    (2) The dissemination of the policy statement; complaint procedures. 
Each railroad shall provide to all employees, supervisory personnel, and 
management the policy statement described in paragraph (a)(1). Each 
railroad shall have procedures to process complaints from any person 
about the policy stated in paragraph (a)(1) being violated, and to 
impose the appropriate prescribed disciplinary actions on each employee, 
supervisor, manager, or officer of the railroad found to have violated 
the policy. These procedures shall be disclosed to railroad employees, 
supervisors, managers, and officers. The railroad shall provide 
``whistle blower'' protection to any person subject to this policy, and 
such policy shall be disclosed to all railroad employees, supervisors 
and management.
    (3) Copies of internal forms and/or a description of the internal 
computer reporting system used for the collection and internal recording 
of accident and incident information.
    (4) A description of the internal procedures used by the railroad 
for the processing of forms and/or computerized data regarding accident 
and incident information.
    (5) A description of the internal review procedures applicable to 
accident and incident information collected, and reports prepared by, 
the railroad's safety, claims, medical and/or other departments engaged 
in collecting and reporting accident and incident information.
    (6) A description of the internal procedures used for collecting 
cost data and compiling costs with respect to accident and incident 
information.
    (7) A description of applicable internal procedures for ensuring 
adequate communication between the railroad department responsible for 
submitting accident and incident reports to FRA and any other department 
within the railroad responsible for collecting, receiving, processing 
and reporting accidents and incidents.

[[Page 286]]

    (8) A statement of applicable procedures providing for the updating 
of accident and incident information prior to reporting to FRA and a 
statement of applicable procedures providing for the amendment of 
accident and incident information as specified in the ``FRA Guide for 
Preparing Accidents/Incidents Reports.''
    (9) A statement that specifies the name and title of the railroad 
officer responsible for auditing the performance of the reporting 
function; a statement of the frequency (not less than once per calendar 
year) with which audits are conducted; and identification of the site 
where the most recent audit report may be found for inspection and 
photocopying.
    (10)(i) A brief description of the railroad organization, including 
identification of:
    (A) All components that regularly come into possession of 
information pertinent to the preparation of reports under this part 
(e.g., medical, claims, and legal departments; operating, mechanical, 
and track and structures departments; payroll, accounting, and personnel 
departments);
    (B) The title of each railroad reporting officer;
    (C) The title of each manager of such components, by component; and
    (D) All officers to whom managers of such components are 
responsible, by component.
    (ii) A current organization chart satisfies paragraphs (a)(10)(i) 
(B), (C), and (D) of this section.
    (11) In the case of the Form FRA F 6180.107 or the alternate 
railroad-designed form, a statement that specifies the name, title, and 
address of the custodian of these records, all supporting documentation, 
such as medical records, and where the documents are located.
    (b) [Reserved]

[61 FR 30972, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67491, Dec. 23, 1996; 68 FR 10139, Mar. 3, 2003]



Sec. 225.35  Access to records and reports.

    (a) Each railroad subject to this part shall have at least one 
location, and shall identify each location, where any representative of 
the Federal Railroad Administration or of a State agency participating 
in investigative and surveillance activities under part 212 of this 
chapter or any other authorized representative, has centralized access 
to a copy of any record and report required under this part, for 
examination and photocopying in a reasonable manner during normal 
business hours.
    (b) Each railroad subject to this part shall also provide to any 
representative of the Federal Railroad Administration or of a State 
agency participating in investigative or and surveillance activities 
under part 212 of this chapter or any other authorized representative 
access to relevant medical and claims records for examination and 
photocopying in a reasonable manner during normal business hours. Such 
representatives shall display proper credentials when requested. Each 
railroad shall identify the locations where a copy of any record and 
report required under this part is accessible for inspection and 
photocopying by maintaining a list of such establishment locations at 
the office where the railroad's reporting officer conducts his or her 
official business. A copy of any record and report required under this 
part shall be accessible within four business hours after the request. 
The Form FRA F 6180.107 or the alternate railroad-designed form need not 
be provided at any railroad establishment within 4 hours of a request. 
Rather, the Form FRA F 6180.107 or the alternate railroad-designed form 
must be provided upon request, within five business days, and may be 
kept at a central location, in either paper or electronic format. FRA 
will not assess a monetary penalty against the railroad for its failure 
to provide the requested documentation when circumstances outside the 
railroad's control preclude it from fulfilling the four-business-hour 
time limit and the railroad has made a reasonable effort to correct the 
problem. Should a railroad assert a legal privilege with respect to 
certain claims and medical records, failure to provide FRA access to 
such records would not constitute a violation of this section. FRA 
retains the right to issue a subpoena to obtain such records under 49 
U.S.C. Secs. 20107 and 20902 and Secs. 209.7(a)

[[Page 287]]

and 225.31(b) of this title, and the railroad may contest that subpoena.

[61 FR 30972, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
68 FR 10139, Mar. 3, 2003]



Sec. 225.37  Magnetic media transfer and electronic submission.

    (a) A railroad has the option of submitting the following reports, 
updates, and amendments by way of magnetic media (computer diskette or 
magnetic tape), or by means of electronic submission over telephone 
lines or other means:
    (1) The Rail Equipment Accident/Incident Report (Form FRA F 
6180.54);
    (2) the Railroad Injury and Illness Summary (Form FRA F 6180.55);
    (3) the Railroad Injury and Illness Summary (Continuation Sheet) 
(Form FRA F 6180.55a);
    (4) the Highway-Rail Grade Crossing Accident/Incident Report (Form 
FRA F 6180.57); and
    (5) the Batch Control Form (Form FRA F 6180.99).
    (b) Each railroad utilizing the magnetic media option shall submit 
to FRA the following:
    (1) the computer diskette or magnetic tape;
    (2) the Batch Control Form (Form FRA F 6180.99); and
    (3) a notarized hard copy of the Railroad Injury and Illness Summary 
(Form FRA F 6180.55), signed by the railroad's reporting officer.
    (c) Each railroad utilizing the electronic submission option shall 
submit to FRA the following:
    (1) the Batch Control Form (Form FRA F 6180.99) which is submitted 
to an FRA-designated computer; and
    (2) a notarized hard copy of the Railroad Injury and Illness Summary 
(Form FRA F 6180.55), signed by the railroad's reporting officer.
    (d) Each railroad employing either the magnetic media or electronic 
submission option, shall submit its monthly reporting data for the 
reports identified in paragraph (a) of this section in a year-to-date 
file format as described in the ``FRA Guide for Preparing Accidents/
Incidents Reports.''
    (e) In addition to fulfilling the requirements stated in paragraph 
(b) through (d) of this section, each railroad initially utilizing 
either the magnetic media or electronic submission option, shall submit 
the hard copy report(s) for each accident/incident it reports by such 
means. FRA will continually review the railroad``s submitted hard copy 
reports against the data it has submitted electronically, or by means of 
magnetic media. Once the magnetic media or electronic submission is in 
total agreement with the submitted hard copies of the reports for three 
consecutive reporting months, FRA will notify the railroad, in writing, 
that submission of the hard copy reports, except for the notarized 
Railroad Injury and Illness Summary, is no longer required.

[61 FR 30972, June 18, 1996]



Sec. 225.39  FRA policy on covered data.

    FRA will not include covered data (as defined in Sec. 225.5) in its 
periodic summaries of data on the number of occupational injuries and 
illnesses.

[68 FR 10139, Mar. 3, 2003]

[[Page 288]]

         Appendix A to Part 225--Schedule of Civil Penalties \1\

     
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $22,000 for any violation where circumstances warrant. 
See 49 CFR part 209, appendix A. A failure to comply with Sec. 225.23 
constitutes a violation of Sec. 225.11. For purposes of Secs. 225.25 and 
225.27 of this part, each of the following constitutes a single act of 
noncompliance: (1) a missing or incomplete log entry for a particular 
employee's injury or illness; or (2) a missing or incomplete log record 
for a particular rail equipment accident or incident. Each day a 
violation continues is a separate offense.

------------------------------------------------------------------------
     Section (including computer code, if                      Willful
                  applicable)                    Violation    violation
------------------------------------------------------------------------
225.9 Telephonic reports of certain accidents/       $1,000       $2,000
 incidents....................................
225.11 Reports of accidents/ incidents........        2,500        5,000
225.12(a):
    Failure to file Railroad Employee Human
     Factor Attachment properly...............
        (1) Employee identified...............        2,500        5,000
        (2) No employee identified............        1,000        2,000
225.12(b):
    (1) Failure to notify employee properly...        2,500        5,000
    (2) Notification of employee not involved         2,500        5,000
     in accident..............................
225.12(c):
    Failure of employing railroad to provide          1,000        2,000
     requested information properly...........
225.12(d):
    (1) Failure to revise report when identity        2,500        5,000
     becomes known............................
    (2) Failure to notify after late                  2,500        5,000
     identification...........................
225.12(f)(1):
    Submission of notice if employee dies as          2,500        5,000
     result of the reported accident..........
225.12(g):
    Willfully false accident statement by       ...........        5,000
     employee.................................
    225.13 Late reports.......................        2,500        5,000
    225.17(d) Alcohol or drug involvement.....        2,500        5,000
    225.23 Joint operations...................        (\1\)        (\1\)
    225.25 Recordkeeping......................        2,500        5,000
    225.27 Retention of records...............        1,000        2,000
    225.33:
        (1) Failure to adopt the Internal             2,500        5,000
         Control Plan.........................
        (2) Inaccurate reporting due to               2,500        5,000
         failure to comply with the Internal
         Control Plan.........................
        (3) Failure to comply with the                2,500        5,000
         intimidation/harassment policy in the
         Internal Control Plan................
    225.35 Access to records and reports......        2,500        5,000
------------------------------------------------------------------------


[61 FR 30973, June 18, 1996, as amended at 63 FR 11622, Mar. 10, 1998]

  Appendix B to Part 225--Procedure for Determining Reporting Threshold

    1. Data from the U.S. Department of Labor, Bureau of Labor 
Statistics (BLS), LABSTAT Series Reports are used in the calculation. 
The equation used to adjust the reporting threshold uses the average 
hourly earnings reported for Class I railroads and Amtrak and an overall 
railroad equipment cost index determined by the BLS. The two factors are 
weighted equally.
    2. For the wage component, LABSTAT Series Report, Standard 
Industrial Classification (SIC) code 4011 for Class I Railroad Average 
Hourly Earnings is used.
    3. For the equipment component, LABSTAT Series Report, Producer 
Price Index (PPI) Series WPU 144 for Railroad Equipment is used.
    4. In the month of October, final data covering the 12-month period 
ending with the month of June are obtained from BLS. The 12 monthly 
figures are totaled and divided by 12 to produce monthly averages to be 
used in computing the projected annual (12-month) average for the next 
calendar year.
    5. The wage data are reported in terms of dollars earned per hour, 
while the equipment cost data are indexed to a base year of 1982.
    6. The procedure for adjusting the reporting threshold is shown in 
the formula below. The wage component appears as a fractional change 
relative to the prior year, while the equipment component is a 
difference of two percentages which must be divided by 100 to present it 
in a consistent fractional form. After performing the calculation, the 
result is rounded to the nearest $100.
    7. The current weightings represent the general assumption that 
damage repair costs, at levels at or near the threshold, are split 
approximately evenly between labor and materials.
    8. Formula:

[[Page 289]]

[GRAPHIC] [TIFF OMITTED] TR26DE01.152

Where:

Prior Threshold = $6,600 (for rail equipment accidents/incidents that 
occur during calendar year 2001);
Wn = New average hourly wage rate ($) = 18.188333;
Wp = Prior average hourly wage rate ($) = 17.763333;
En = New equipment average PPI value ($) =135.733333;
Ep = Prior equipment average PPI value ($) = 135.633333.

    9. The result of these calculations is $6,682.254777. Since the 
result is rounded to the nearest $100, the reporting threshold for rail 
equipment accidents/incidents that occur during calendar year 2002 is 
$6,700.
    10. In the absence of data necessary to compute the reporting 
threshold for calendar year 2003 according to the procedure described in 
paragraphs 1-9 of this appendix B, the calendar year 2002 threshold of 
$6,700 remains in effect for calendar year 2003 and, until further 
notice, for all subsequent years.

[62 FR 63676, Dec. 2, 1997, as amended at 63 FR 71791, Dec. 30, 1998; 64 
FR 69195, Dec. 10, 1999; 65 FR 69886, Nov. 21, 2000; 66 FR 66348, Dec. 
26, 2001; 67 FR 79536, Dec. 30, 2002]



PART 228--HOURS OF SERVICE OF RAILROAD EMPLOYEES--Table of Contents




                           Subpart A--General

Sec.
228.1 Scope.
228.3 Application.
228.5 Definitions.

                    Subpart B--Records and Reporting

228.7 Hours of duty.
228.9 Railroad records; general.
228.11 Hours of duty records.
228.17 Dispatcher's record of train movements.
228.19 Monthly reports of excess service.
228.21 Civil penalty.
228.23 Criminal penalty.

          Subpart C--Construction of Employee Sleeping Quarters

228.101 Distance requirement; definitions.
228.103 Approval procedure: construction within one-half mile (2,640 
          feet) (804 meters).
228.105 Additional requirements; construction within one-third mile 
          (1,760 feet) (536 meters) of certain switching.
228.107 Action on petition.

Appendix A to Part 228--Requirements of the Hours of Service Act: 
          Statement of Agency Policy and Interpretation
Appendix B to Part 228--Schedule of Civil Penalties
Appendix C to Part 228--Guidelines for Clean, Safe, and Sanitary 
          Railroad Provided Camp Cars

    Authority: 49 U.S.C. 20103, 20107, 21101-21108, and 49 CFR 1.49.

    Source: 37 FR 12234, June 21, 1972, unless otherwise noted.



                           Subpart A--General



Sec. 228.1  Scope.

    This part--
    (a) Prescribes reporting and record keeping requirements with 
respect to the hours of service of certain railroad employees; and
    (b) Establishes standards and procedures concerning the construction 
or reconstruction of employee sleeping quarters.

[43 FR 31012, July 19, 1978]



Sec. 228.3  Application.

    (a) Except as provided in paragraph (b), this part applies to all 
railroads.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.

[54 FR 33229, Aug. 14, 1989]



Sec. 228.5  Definitions.

    As used in this part:

[[Page 290]]

    (a) Administrator means the Administrator of the Federal Railroad 
Administrator or any person to whom he delegated authority in the matter 
concerned.
    (b) Carrier, common carrier, and common carrier engaged in 
interstate or foreign commerce by railroad mean railroad as that term is 
defined below.
    (c) Employee means an individual employed by the common carrier who 
(1) is actually engaged in or connected with the movement of any train, 
including a person who performs the duties of a hostler, (2) dispatches, 
reports, transmits, receives, or delivers orders pertaining to train 
movements by the use of telegraph, telephone, radio, or any other 
electrical or mechanical device, or (3) is engaged in installing, 
repairing or maintaining signal systems.
    (d) Railroad means all forms of non-highway ground transportation 
that run on rails or electromagnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.

[54 FR 33229, Aug. 14, 1989]



                    Subpart B--Records and Reporting



Sec. 228.7  Hours of duty.

    (a) For purposes of this part, time on duty of an employee actually 
engaged in or connected with the movement of any train, including a 
hostler, begins when he reports for duty and ends when he is finally 
released from duty, and includes--
    (1) Time engaged in or connected with the movement of any train;
    (2) Any interim period available for rest at a location that is not 
a designated terminal;
    (3) Any interim period of less than 4 hours available for rest at a 
designated terminal;
    (4) Time spent in deadhead transportation en route to a duty 
assignment; and
    (5) Time engaged in any other service for the carrier.

Time spent in deadhead transportation by an employee returning from duty 
to his point of final release may not be counted in computing time off 
duty or time on duty.
    (b) For purposes of this part, time on duty of an employee who 
dispatches, reports, transmits, receives, or delivers orders pertaining 
to train movements by use of telegraph, telephone, radio, or any other 
electrical or mechanical device includes all time on duty in other 
service performed for the common carrier during the 24-hour period 
involved.
    (c) For purposes of this part, time on duty of an employee who is 
engaged in installing, repairing or maintaining signal systems includes 
all time on duty in other service performed for a common carrier during 
the 24-hour period involved.

[37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978]



Sec. 228.9  Railroad records; general.

    (a) Records maintained under this part shall be--
    (1) Signed by the employee whose time on duty is being recorded or, 
in the case of train and engine crews, signed by the ranking crew 
member;
    (2) Retained for 2 years; and
    (3) Available for inspection and copying by the Administrator during 
regular business hours.
    (b) [Reserved]



Sec. 228.11  Hours of duty records.

    (a) Each carrier shall keep a record of the following information 
concerning the hours of duty of each employee:
    (1) Identification of employee.
    (2) Place, date, and beginning and ending times for hours of duty in 
each occupation.
    (3) Total time on duty in all occupations.
    (4) Number of consecutive hours off duty prior to going on duty.
    (5) Beginning and ending times of periods spent in transportation, 
other than personal commuting, to or from a

[[Page 291]]

duty assignment and mode of transportation (train, track car, carrier 
motor vehicle, personal automobile, etc.).
    (b) [Reserved]

[37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978]



Sec. 228.17  Dispatcher's record of train movements.

    (a) Each carrier shall keep, for each dispatching district, a record 
of train movements made under the direction and control of a dispatcher 
who uses telegraph, telephone, radio, or any other electrical or 
mechanical device to dispatch, report, transmit, receive, or deliver 
orders pertaining to train movements. The following information shall be 
included in the record:
    (1) Identification of timetable in effect.
    (2) Location and date.
    (3) Identification of dispatchers and their times on duty.
    (4) Weather conditions at 6-hour intervals.
    (5) Identification of enginemen and conductors and their times on 
duty.
    (6) Identification of trains and engines.
    (7) Station names and office designations.
    (8) Distances between stations.
    (9) Direction of movement and the time each train passes all 
reporting stations.
    (10) Arrival and departure times of trains at all reporting 
stations.
    (11) Unusual events affecting movement of trains and identification 
of trains affected.
    (b) [Reserved]



Sec. 228.19  Monthly reports of excess service.

    (a) Each carrier shall report to the Associate Administrator for 
Safety, (RRS-1), Federal Railroad Administration, Washington, DC 20590, 
each of the following instances within 30 days after the calendar month 
in which the instance occurs:
    (1) A member of a train or engine crew or other employee engaged in 
or connected with the movement of any train, including a hostler, is on 
duty for more than 12 consecutive hours.
    (2) A member of a train or engine crew or other employee engaged in 
or connected with the movement of any train, including a hostler, 
returns to duty after 12 hours of continuous service without at least 10 
consecutive hours off duty.
    (3) A member of a train or engine crew or other employee engaged in 
or connected with the movement of any train, including a hostler, 
continues on duty without at least 8 consecutive hours off duty during 
the preceding 24 hours. \1\
---------------------------------------------------------------------------

    \1\ Instances involving tours of duty that are broken by four or 
more consecutive hours off duty time at a designated terminal which do 
not constitute more than a total of 12 hours time on duty are not 
required to be reported, provided such tours of duty are immediately 
preceded by 8 or more consecutive hours off-duty time. Instances 
involving tours of duty that are broken by less than 8 consecutive hours 
off duty which constitute more than a total of 12 hours time on duty 
must be reported.
---------------------------------------------------------------------------

    (4) A member of a train or engine crew or other employee engaged in 
or connected with the movement of any train, including a hostler, 
returns to duty without at least 8 consecutive hours off duty during the 
preceding 24 hours. \1\
    (5) An employee who transmits, receives, or delivers orders 
affecting train movements is on duty for more than 9 hours in any 24-
hour period at an office where two or more shifts are employed.
    (6) An employee who transmits, receives, or delivers orders 
affecting train movements is on duty for more than 12 hours in any 24-
hour period at any office where one shift is employed.
    (7) An employee engaged in installing, repairing or maintaining 
signal systems is on duty for more than 12 hours in a twenty-four hour 
period.
    (8) An employee engaged in installing, repairing or maintaining 
signal systems returns to duty after 12 hours of continuous service 
without at least 10 consecutive hours off duty.
    (9) An employee engaged in installing, repairing or maintaining 
signal systems continues on duty without at least 8 consecutive hours 
off duty during the preceding 24 hours.
    (10) An employee engaged in installing, repairing or maintaining 
signal systems returns to duty without at

[[Page 292]]

least 8 consecutive hours off duty during the preceding 24 hours.
    (b) Reports required by paragraph (a) of this section shall be filed 
in writing on FRA Form F-6180-3 \2\ with the Office of Safety, Federal 
Railroad Administration, Washington, DC 20590. A separate form shall be 
used for each instance reported.
---------------------------------------------------------------------------

    \2\ Form may be obtained from the Office of Safety, Federal Railroad 
Administration, Washington, DC 20590. Reproduction is authorized.

[37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978]



Sec. 228.21  Civil penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix B to this part for a 
statement of agency civil penalty policy. Violations of the Hours of 
Service Act itself (e.g., requiring an employee to work excessive hours 
or beginning construction of a sleeping quarters subject to approval 
under subpart C of this part without prior approval) are subject to 
penalty under that Act's penalty provision, 45 U.S.C. 64a.

[53 FR 52931, Dec. 29, 1988, as amended at 63 FR 11622, Mar. 10, 1998]



Sec. 228.23  Criminal penalty.

    Any person who knowingly and willfully falsifies a report or record 
required to be kept under this part or otherwise knowingly and willfully 
violates any requirement of this part may be liable for criminal 
penalties of a fine up to $5,000, imprisonment for up to two years, or 
both, in accordance with 45 U.S.C. 438(e).

[53 FR 52931, Dec. 29, 1988]



          Subpart C--Construction of Employee Sleeping Quarters

    Source: 43 FR 31012, July 19, 1978, unless otherwise noted.



Sec. 228.101  Distance requirement; definitions.

    (a) The Hours of Service Act, as amended (45 U.S.C. 61-64b), makes 
it unlawful for any common carrier engaged in interstate or foreign 
commerce by railroad to begin, on or after July 8, 1976, the 
construction or reconstruction of sleeping quarters for employees who 
perform duties covered by the act ``within or in the immediate vicinity 
(as determined in accordance with rules prescribed by the Secretary of 
Transportation) of any area where railroad switching or humping 
operations are performed.'' 45 U.S.C. 62(a)(4). This subpart sets forth 
(1) a general definition of ``immediate vicinity'' (Sec. 228.101(b)), 
(2) procedures under which a carrier may request a determination by the 
Federal Railroad Administration that a particular proposed site is not 
within the ``immediate vicinity'' of railroad switching or humping 
operations (Secs. 228.103 and 228.105), and (3) the basic criteria 
utilized in evaluating proposed sites (Sec. 228.107).
    (b) Except as determined in accordance with the provisions of this 
subpart. ``The immediate vicinity'' shall mean the area within one-half 
mile (2,640 feet) (804 meters) of switching or humping operations as 
measured from the nearest rail of the nearest trackage where switching 
or humping operations are performed to the point on the site where the 
carrier proposes to construct or reconstruct the exterior wall of the 
structure, or portion of such wall, which is closest to such operations.

[[Page 293]]

    (c) As used in this subpart--
    (1) Construction shall refer to the--
    (i) Creation of a new facility;
    (ii) Expansion of an existing facility;
    (iii) Placement of a mobile or modular facility; or
    (iv) Acquisition and use of an existing building.
    (2) Reconstruction shall refer to the--
    (i) Replacement of an existing facility with a new facility on the 
same site; or
    (ii) Rehabilitation or improvement of an existing facility (normal 
periodic maintenance excepted) involving the expenditure of an amount 
representing more than 50 percent of the cost of replacing such facility 
on the same site at the time the work of rehabilitation or improvement 
began, the replacement cost to be estimated on the basis of contemporary 
construction methods and materials.
    (3) Switching or humping operations includes the classification of 
placarded railroad cars according to commodity or destination, 
assembling of placarded cars for train movements, changing the position 
of placarded cars for purposes of loading, unloading, or weighing, and 
the placing of placarded cars for repair. However, the term does not 
include the moving of rail equipment in connection with work service, 
the moving of a train or part of a train within yard limits by a road 
locomotive or placing locomotives or cars in a train or removing them 
from a train by a road locomotive while en route to the train's 
destination. The term does include operations within this definition 
which are conducted by any railroad; it is not limited to the operations 
of the carrier contemplating construction or reconstruction of railroad 
employee sleeping quarters.
    (4) Placarded car shall mean a railroad car required to be placarded 
by the Department of Transportation hazardous materials regulations (49 
CFR 172.504).
    (5) The term Leq (8) shall mean the equivalent steady 
state sound level which in 8 hours would contain the same acoustic 
energy as the time-varying sound level during the same time period.



Sec. 228.103  Approval procedure: construction within one-half mile (2,640 feet) (804 meters).

    (a) A common carrier that has developed plans for the construction 
or reconstruction of sleeping quarters subject to this subpart and which 
is considering a site less than one-half mile (2,640 feet) (804 meters) 
from any area where switching or humping operations are performed, 
measured from the nearest rail of the nearest trackage utilized on a 
regular or intermittent basis for switching or humping operations to the 
point on the site where the carrier proposes to construct or reconstruct 
the exterior wall of the structure, or portion of such wall, which is 
closest to such operations, must obtain the approval of the Federal 
Railroad Administration before commencing construction or reconstruction 
on that site. Approval may be requested by filing a petition conforming 
to the requirements of this subpart.
    (b) A carrier is deemed to have conducted switching or humping 
operations on particular trackage within the meaning of this subpart if 
placarded cars are subjected to the operations described in 
Sec. 228.101(c)(3) within the 365-day period immediately preceding the 
date construction or reconstruction is commenced or if such operations 
are to be permitted on such trackage after such date. If the carrier 
does not have reliable records concerning the traffic handled on the 
trackage within the specified period, it shall be presumed that 
switching of placarded cars is conducted at the location and 
construction or reconstruction of sleeping quarters within one-half mile 
shall be subject to the approval procedures of this subpart.
    (c) A petition shall be filed in triplicate with the Secretary, 
Railroad Safety Board, Federal Railroad Administration, Washington, DC 
20590 and shall contain the following:
    (1) A brief description of the type of construction planned, 
including materials to be employed, means of egress from the quarters, 
and actual and projected exterior noise levels and projected interior 
noise levels;

[[Page 294]]

    (2) The number of employees expected to utilize the quarters at full 
capacity;
    (3) A brief description of the site, including:
    (i) Distance from trackage where switching or humping operations are 
performed, specifying distances from particular functions such as 
classification, repair, assembling of trains from large groups of cars, 
etc. cetera;
    (ii) Topography within a general area consisting of the site and all 
of the rail facilities close to the site;
    (iii) Location of other physical improvements situated between the 
site and areas where railroad operations are conducted;
    (4) A blueprint or other drawing showing the relationship of the 
site to trackage and other planned and existing facilities;
    (5) The proposed or estimated date for commencement of construction;
    (6) A description of the average number and variety of rail 
operations in the areas within one-half mile (2,640 feet) (804 meters) 
of the site (e.g., number of cars classified in 24-hour period; number 
of train movements);
    (7) An estimate of the average daily number of placarded rail cars 
transporting hazardous materials through the railroad facility (where 
practicable, based on a 365-day period sample, that period not having 
ended more than 120 days prior to the date of filing the petition), 
specifying the--
    (i) Number of such cars transporting class A explosives and poison 
gases; and
    (ii) Number of DOT Specification 112A and 114A tank cars 
transporting flammable gas subject to FRA emergency order No. 5;
    (8) A statement certified by a corporate officer of the carrier 
possessing authority over the subject matter explaining any plans of 
that carrier for utilization of existing trackage, or for the 
construction of new trackage, which may impact on the location of 
switching or humping operations within one-half mile of the proposed 
site (if there are no plans, the carrier official must so certify); and
    (9) Any further information which is necessary for evaluation of the 
site.
    (d) A petition filed under this section must contain a statement 
that the petition has been served on the recognized representatives of 
the railroad employees who will be utilizing the proposed sleeping 
quarters, together with a list of the employee representatives served.



Sec. 228.105  Additional requirements; construction within one-third mile (1,760 feet) (536 meters) of certain switching.

    (a) In addition to providing the information specified by 
Sec. 228.103, a carrier seeking approval of a site located within one-
third mile (1,760 feet) (536 meters) of any area where railroad 
switching or humping operations are performed involving any cars 
required to be placarded ``EXPLOSIVES A'' or ``POISON GAS'' or any DOT 
Specification 112A or 114A tank cars transporting flammable gas subject 
to FRA emergency order No. 5 shall establish by a supplementary 
statement certified by a corporate officer possessing authority over the 
subject matter that--
    (1) No feasible alternate site located at or beyond one-third mile 
from switching or humping operations is either presently available to 
the railroad or is obtainable within 3 miles (15,840 feet) (4,827 
meters) of the reporting point for the employees who are to be housed in 
the sleeping quarters;
    (2) Natural or other barriers exist or will be created prior to 
occupancy of the proposed facility between the proposed site and any 
areas in which switching or humping operations are performed which will 
be adequate to shield the facility from the direct and severe effects of 
a hazardous materials accident/incident arising in an area of switching 
or humping operations;
    (3) The topography of the property is such as most likely to cause 
any hazardous materials unintentionally released during switching or 
humping to flow away from the proposed site; and
    (4) Precautions for ensuring employee safety from toxic gases or 
explosions such as employee training and evacuation plans, availability 
of appropriate respiratory protection, and measures for fire protection, 
have been considered.

[[Page 295]]

    (b) In the absence of reliable records concerning traffic handled on 
trackage within the one-third mile area, it shall be presumed that the 
types of cars enumerated in paragraph (a) of this section are switched 
on that trackage; and the additional requirements of this section shall 
be met by the petitioning carrier, unless the carrier establishes that 
the switching of the enumerated cars will be effectively barred from the 
trackage if the petition is approved.



Sec. 228.107  Action on petition.

    (a) Each petition for approval filed under Sec. 228.103 is referred 
to the Railroad Safety Board for action in accordance with the 
provisions of part 211, title 49, CFR, concerning the processing of 
requests for special approvals.
    (b) In considering a petition for approval filed under this subpart, 
the Railroad Safety Board evaluates the material factors bearing on--
    (1) The safety of employees utilizing the proposed facility in the 
event of a hazardous materials accident/incident and in light of other 
relevant safety factors; and
    (2) Interior noise levels in the facility.
    (c) The Railroad Safety Board will not approve an application 
submitted under this subpart if it appears from the available 
information that the proposed sleeping quarters will be so situated and 
constructed as to permit interior noise levels due to noise under the 
control of the railroad to exceed an Leq(8) value of 55dB(A). 
If individual air conditioning and heating systems are to be utilized, 
projections may relate to noise levels with such units turned off.
    (d) Approval of a petition filed under this subpart may be withdrawn 
or modified at any time if it is ascertained, after opportunity for a 
hearing, that any representation of fact or intent made by a carrier in 
materials submitted in support of a petition was not accurate or 
truthful at the time such representation was made.

   Appendix A to Part 228--Requirements of the Hours of Service Act: 
              Statement of Agency Policy and Interpretation

    First enacted in 1907, the Hours of Service Act was substantially 
revised in 1969 by Public Law 91-169. Further amendments were enacted as 
part of the Federal Railroad Safety Authorization Act of 1976, Public 
Law 94-348 and by the Rail Safety Improvement Act of 1988, Public Law 
100-342. The purpose of the law is ``to promote the safety of employees 
and travelers upon railroads by limiting the hours of service of 
employees * * *.'' This appendix is designed to explain the effect of 
the law in commonly-encountered situations.
    The Act governs the maximum work hours of employees engaged in one 
or more of the basic categories of covered service treated below. If an 
individual performs more than one kind of covered service during a tour 
of duty, then the most restrictive of the applicable limitations 
control.
    The act applies to any railroad, as that term is defined in 45 
U.S.C. 431(e). It governs the carrier's operations over its own railroad 
and all lines of road which it uses.

                        train and engine service

    Covered Service. Train or engine service refers to the actual 
assembling or operation of trains. Employees who perform this type of 
service commonly include locomotive engineers, firemen, conductors, 
trainmen, switchmen, switchtenders (unless their duties come under the 
provisions of section 3) and hostlers. With the passage of the 1976 
amendments, both inside and outside hostlers are considered to be 
connected with the movement of trains. Previously, only outside hostlers 
were covered. Any other employee who is actually engaged in or connected 
with the movement of any train is also covered, regardless of his job 
title.
    Limitations on Hours. The Act establishes two limitations on hours 
of service. First, no employee engaged in train or engine service may be 
required or permitted to work in excess of twelve consecutive hours. 
After working a full twelve consecutive hours, an employee must be given 
at least ten consecutive hours off duty before being permitted to return 
to work.
    Second, no employee engaged in train or engine service may be 
required or permitted to continue on duty or go on duty unless he has 
had at least eight consecutive hours off duty within the preceding 
twenty-four hours. This latter limitation, when read in conjunction with 
the requirements with respect to computation of duty time (discussed 
below) results in several conclusions:

[[Page 296]]

    (1) When an employee's work tour is broken or interrupted by a valid 
period of interim release (4 hours or more at a designated terminal), he 
may return to duty for the balance of the total 12-hour work tour during 
a 24-hour period.
    (2) After completing the 12 hours of broken duty, or at the end of 
the 24-hour period, whichever occurs first, the employee may not be 
required or permitted to continue on duty or to go on duty until he has 
had at least 8 consecutive hours off duty.
    (3) The 24-hour period referred to in paragraphs 1 and 2 above shall 
begin upon the commencement of a work tour by the employee immediately 
after his having received a statutory off-duty period of 8 or 10 hours 
as appropriate.
    Duty time and effective periods of release. On-duty time commences 
when an employee reports at the time and place specified by the railroad 
and terminates when the employee is finally released of all 
responsibilities. (Time spent in deadhead transportation to a duty 
assignment is also counted as time on duty. See discussion below.) Any 
period available for rest that is of four or more hours and is at a 
designated terminal is off-duty time. All other periods available for 
rest must be counted as time on duty under the law, regardless of their 
duration.
    The term ``designated terminal'' means a terminal (1) which is 
designated in or under a collective bargaining agreement as the ``home'' 
or ``away-from-home'' terminal for a particular crew assignment and (2) 
which has suitable facilities for food and lodging. Carrier and union 
representatives may agree to establish additional designated terminals 
having such facilities as points of effective release under the Act. 
Agreements to designate additional terminals for purposes of release 
under the Act should be reduced to writing and should make reference to 
the particular assignments affected and to the Hours of Service Act. The 
following are common situations illustrating the designated terminal 
concept:
    (1) A freight or passenger road crew operates a train from home 
terminal ``A'' to away-from-home terminal ``B'' (or the reverse). 
Terminals ``A'' and ``B'' would normally be the designated terminals for 
this specific crew assignment. However, carrier and employee 
representatives may agree to designate additional terminals having 
suitable facilities for food and lodging as appropriate points of 
release under the Hours of Service Act.
    (2) A road crew operates a train in turn-around service from home 
terminal ``A'' to turn-around point ``B'' and back to ``A''. Terminal 
``A'' is the only designated terminal for this specific crew assignment, 
unless carrier and employee representatives have agreed to designate 
additional terminals having suitable facilities for food and lodging.
    (3) A crew is assigned to operate a maintenance-of-way work train 
from home terminal ``A'', work on line of road and tie up for rest along 
the line of road at point ``B''. Home terminal ``A'' and tie-up point 
``B'' both qualify as designated terminals for this specific work train 
crew assignment. Of course, suitable facilities for food and lodging 
must be available at tie-up point ``B''.
    Deadheading. Under the Act time spent in deadhead transportation 
receives special treatment. Time spent in deadhead transportation to a 
duty assignment by a train or engine service employee is considered on-
duty time. Time spent in deadhead transportation from the final duty 
assignment of the work tour to the point of final release is not 
computed as either time on duty or time off duty. Thus, the period of 
deadhead transportation to point of final release may not be included in 
the required 8- or 10-hour off-duty period. Time spent in deadhead 
transportation to a duty assignment is calculated from the time the 
employee reports for deadhead until he reaches his duty assignment.
    All time spent awaiting the arrival of a deadhead vehicle for 
transportation from the final duty assignment of the work tour to the 
point of final release is considered limbo time, i.e., neither time on 
duty nor time off duty, provided that the employee is given no specific 
responsibilities to perform during this time. However, if an employee is 
required to perform service of any kind during that period (e.g., 
protecting the train against vandalism, observing passing trains for any 
defects or unsafe conditions, flagging, shutting down locomotives, 
checking fluid levels, or communicating train consist information via 
radio), he or she will be considered as on duty until all such service 
is completed. Of course, where a railroad carrier's operating rules 
clearly relieve the employee of all duties during the waiting period and 
no duties are specifically assigned, the waiting time is not computed as 
either time on duty or time off duty.
    Transit time from the employee's residence to his regular reporting 
point is not considered deadhead time.
    If an employee utilizes personal automobile transportation to a 
point of duty assignment other than the regular reporting point in lieu 
of deadhead transportation provided by the carrier, such actual travel 
time is considered as deadheading time. However, if the actual travel 
time from his home to the point of duty assignment exceeds a reasonable 
travel time from the regular reporting point to the point of duty 
assignment, then only the latter period is counted. Of course, actual 
travel time must be reasonable and must not include diversions for 
personal reasons.

[[Page 297]]

    Example: Employee A receives an assignment from an ``extra board'' 
located at his home terminal to protect a job one hour's drive from the 
home terminal. In lieu of transporting the employee by carrier 
conveyance, the railroad pays the employee a fixed amount to provide his 
own transportation to and from the outlying point. The employee is 
permitted to go directly from his home to the outlying point, a drive 
which takes 40 minutes. The normal driving time between his regular 
reporting point at his home terminal and the outlying point is 60 
minutes. The actual driving time, 40 minutes is considered deadhead time 
and is counted as time on duty under the Act.
    Employee A performs local switching service at the outlying point. 
When the employee returns from the outlying point that evening, and 
receives an ``arbitrary'' payment for his making the return trip by 
private automobile, 40 minutes of his time in transportation home is 
considered deadheading to point of final release and is not counted as 
either time on duty or time off duty.
    Wreck and relief trains. Prior to the 1976 amendments, crews of 
wreck and relief trains were exempted entirely from the limitations on 
hours of service. Under present law that is no longer the case. The crew 
of a wreck or relief train may be permitted to be on duty for not to 
exceed 4 additional hours in any period of 24 consecutive hours whenever 
an actual emergency exists and the work of the crew is related to that 
emergency. Thus, a crew could work up to 16 hours, rather than 12. The 
Act specifies that an emergency ceases to exist for purposes of this 
provision when the track is cleared and the line is open for traffic. An 
``emergency'' for purposes of wreck or relief service may be a less 
extraordinary or catastrophic event than an ``unavoidable accident or 
Act of God'' under section 5(d) of the Act.
    Example: The crew of a wreck train is dispatched to clear the site 
of a derailment which has just occurred on a main line. The wreck crew 
re-rails or clears the last car and the maintenance of way department 
releases the track to the operating department 14 hours and 30 minutes 
into the duty tour. Since the line is not clear until the wreck train is 
itself out of the way, the crew may operate the wreck train to its 
terminal, provided this can be accomplished within the total of 16 hours 
on duty.
    Emergencies. The Act contains no general exception using the term 
``emergency'' with respect to train or engine service or related work. 
See ``casualties,'' etc., under ``General Provisions''.

                      communication of train orders

    Covered Service. The handling of orders governing the movement of 
trains is the second type of covered service. This provision of the Act 
applies to any operator, train dispatcher or other employee who by the 
use of the telegraph, telephone, radio, or any other electical or 
mechanical device dispatches, reports, transmits, receives, or delivers 
orders pertaining to or affecting train movements.
    The approach of the law is functional. Thus, though a yardmaster 
normally is not covered by this provision, a yardmaster or other 
employee who performs any of the specified service during a duty tour is 
subject to the limitations on service for that entire tour.
    Limitations on hours. No employee who performs covered service 
involving communication of train orders may be required or permitted to 
remain on duty for more than nine hours, whether consecutive or in the 
aggregate, in any 24-hour period in any office, tower, station or place 
where two or more shifts are employed. Where only one shift is employed, 
the employee is restricted to 12 hours consecutively or in the aggregate 
during any 24-hour period.
    The provision on emergencies, discussed below, may extend the 
permissible hours of employees performing this type of service.
    Shifts. The term ``shift'' is not defined by the Act, but the 
legislative history of the 1969 amendments indicates that it means a 
tour of duty constituting a day's work for one or more employee 
performing the same class of work at the same station who are scheduled 
to begin and end work at the same time. The following are examples of 
this principle:

------------------------------------------------------------------------
              Scheduled Hours                      Classification
------------------------------------------------------------------------
7 a.m. to 3 p.m...........................  1 shift.
7 a.m. to 12:30 p.m. 1:30 p.m. to 8 p.m.     Do.
 (Schedule for one employee including one
 hour lunch period).
7 a.m. to 3 p.m. 7 a.m. to 3 p.m. (Two       Do.
 employees scheduled).
7 a.m. to 3 p.m. 8 a.m. to 4 p.m. (Two      2 shifts.
 employees scheduled).
------------------------------------------------------------------------

    Duty time and effective periods of release. If, after reporting to 
his place of duty, an employee is required to perform duties at other 
places during this same tour of duty, the time spent traveling between 
such places is considered as time on duty. Under the traditional 
administrative interpretation of section 3, other periods of 
transportation are viewed as personal commuting and, thus, off-duty 
time.
    A release period is considered off-duty time if it provides a 
meaningful period of relaxation and if the employee is free of all 
responsibilities to the carrier. One hour is the minimum acceptable 
release period for this type of covered service.
    Emergencies. The section of the Act dealing with dispatchers, 
operators, and others who transmit or receive train orders contains its

[[Page 298]]

own emergency provision. In case of emergency, an employee subject to 
the 9 or 12-hour limitation is permitted to work an additional four 
hours in any 24-hour period, but only for a maximum of three days in any 
period of seven consecutive days. However, even in an emergency 
situation the carrier must make reasonable efforts to relieve the 
employee.

                           General Provisions

                   (applicable to all covered service)

    Commingled Service. All duty time for a railroad even though not 
otherwise subject to the Act must be included when computing total on-
duty time of an individual who performs one or more of the type of 
service covered by the Act. This is known as the principle of 
``commingled service''.
    For example, if an employee performs duty for 8 hours as a trainman 
and then is used as a trackman (not covered by the law) in the same 24-
hour period, total on-duty time is determined by adding the duty time as 
trackman to that as trainman. The law does not distinguish treatment of 
situations in which non-covered service follows, rather than precedes, 
covered service. The limitations on total hours apply on both cases. It 
should be remembered that attendance at required rules classes is duty 
time subject to the provisions on ``commingling''. Similarly, where a 
carrier compels attendance at a disciplinary proceeding, time spent in 
attendance is subject to the provisions on commingling.
    When an employee performs service covered by more than one 
restrictive provision, the most restrictive provision determines the 
total lawful on-duty time. Thus, when an employee performs duty in train 
or engine service and also as an operator, the provisions of the law 
applicable to operators apply to all on-duty and off-duty periods during 
such aggregate time. However, an employee subject to the 12 hour 
provision of section 2 of the law does not become subject to the 9 or 
12-hour provisions of section 3 merely because he receives, transmits or 
delivers orders pertaining to or affecting the movement of his train in 
the course of his duties as a trainman.
    Casualties, Unavoidable Accidents, Acts of God. Section 5(d) of the 
Act states the following: ``The provisions of this Act shall not apply 
in any case of casualty or unavoidable accident or the Act of God; nor 
where the delay was the result of a cause not known to the carrier or 
its officer or agent in charge of the employee at the time said employee 
left a terminal, and which could not have been foreseen.'' This passage 
is commonly referred to as the ``emergency provision''. Judicial 
construction of this sentence has limited the relief which it grants to 
situations which are truly unusual and exceptional. The courts have 
recognized that delays and operational difficulties are common in the 
industry and must be regarded as entirely foreseeable; otherwise, the 
Act will provide no protection whatsoever. Common operational 
difficulties which do not provide relief from the Act include, but are 
not limited to, broken draw bars, locomotive malfunctions, equipment 
failures, brake system failures, hot boxes, unexpected switching, 
doubling hills and meeting trains. Nor does the need to clear a main 
line or cut a crossing justify disregard of the limitations of the Act. 
Such contingencies must normally be anticipated and met within the 12 
hours. Even where an extraordinary event or combination of events occurs 
which, by itself, would be sufficient to permit excess service, the 
carrier must still employ due diligence to avoid or limit such excess 
service. The burden of proof rests with the carrier to establish that 
excess service could not have been avoided.
    Sleeping Quarters. Under the 1976 amendments to the Act it is 
unlawful for any common carrier to provide sleeping quarters for persons 
covered by the Hours of Service Act which do not afford such persons an 
opportunity for rest, free from interruptions caused by noise under the 
control of the railroad, in clean, safe, and sanitary quarters. Such 
sleeping quarters include crew quarters, camp or bunk cars, and 
trailers.
    Sleeping quarters are not considered to be ``free from interruptions 
caused by noise under the control of the railroad'' if noise levels 
attributable to noise sources under the control of the railroad exceed 
an Leq(8) value of 55dB(A).
    FRA recognizes that camp cars, either because of express limitations 
of local codes or by virtue of their physical mobility, cannot, for 
practical purposes, be subject to state or local housing, sanitation, 
health, electrical, or fire codes. Therefore, FRA is unable to rely upon 
state or local authorities to ensure that persons covered by the Act who 
reside in railroad-provided camp cars are afforded an opportunity for 
rest in ``clean, safe, and sanitary'' conditions. Accordingly, the 
guidelines in appendix C to this part 228 will be considered by FRA as 
factors to be used in applying the concepts of ``clean,'' ``safe,'' and 
``sanitary'' to camp cars provided by railroads for the use of employees 
covered by section 2(a)(3) of the Act. Failure to adhere to these 
guidelines might interfere with the ordinary person's ability to rest.
    Collective Bargaining. The Hours of Service Act prescribes the 
maximum permissible hours of service consistent with safety. However, 
the Act does not prohibit collective bargaining for shorter hours of 
service and time on duty.
    Penalty. As amended by the Rail Safety Improvement Act of 1988 and 
the Rail Safety Enforcement and Review Act of 1992, the

[[Page 299]]

penalty provisions of the law apply to any person (an entity of any type 
covered under 1 U.S.C. 1, including but not limited to the following: a 
railroad; a manager, supervisor, official, or other employee or agent of 
a railroad; any owner, manufacturer, lessor, or lessee of railroad 
equipment, track, or facilities; any independent contractor providing 
goods or services to a railroad; and any employee of such owner, 
manufacturer, lessor, lessee, or independent contractor), except that a 
penalty may be assessed against an individual only for a willful 
violation. See appendix A to 49 CFR part 209. For violations that 
occurred on September 3, 1992, a person who violates the Act is liable 
for a civil penalty, as the Secretary of Transportation deems 
reasonable, in an amount not less than $500 nor more than $11,000, 
except that where a grossly negligent violation or a pattern of repeated 
violations has created an imminent hazard of death or injury to persons, 
or has caused death or injury, a penalty not to exceed $22,000 may be 
assessed. The Federal Civil Penalties Inflation Adjustment Act of 1990 
as amended by the Debt Collection Improvement Act of 1996 required 
agencies to increase the maximum civil monetary penalty for inflation. 
The amounts increased from $10,000 to $11,000 and from $20,000 to 
$22,000 respectively.
    Each employee who is required or permitted to be on duty for a 
longer period than prescribed by law or who does not receive a required 
period of rest represents a separate and distinct violation and subjects 
the railroad to a separate civil penalty. In the case of a violation of 
section 2(a)(3) or (a)(4) of the Act, each day a facility is in 
noncompliance constitutes a separate offense and subjects the railroad 
to a separate civil penalty.
    In compromising a civil penalty assessed under the Act, FRA takes 
into account the nature, circumstances, extent, and gravity of the 
violation committed, and, with respect to the person found to have 
committed such violation, the degree of culpability, any history of 
prior or subsequent offenses, ability to pay, effect on ability to 
continue to do business and such other matters as justice may require.
    Statute of limitations. No suit may be brought after the expiration 
of two years from the date of violation unless administrative 
notification of the violation has been provided to the person to be 
charged within that two year period. In no event may a suit be brought 
after expiration of the period specified in 28 U.S.C. 2462.
    Exemptions. A railroad which employs not more than 15 persons 
covered by the Hours of Service Act (including signalmen and hostlers) 
may be exempted from the law's requirements by the FRA after hearing and 
for good cause shown. The exemption must be supported by a finding that 
it is in the public interest and will not adversely affect safety. The 
exemption need not relate to all carrier employees. In no event may any 
employee of an exempt railroad be required or permitted to work beyond 
16 hours continuously or in the aggregate within any 24-hour period. Any 
exemption is subject to review at least annually.

[42 FR 27596, May 31, 1977, as amended at 43 FR 30804, July 18, 1978; 53 
FR 28601, July 28, 1988; 55 FR 30893, July 27, 1990; 58 FR 18165, Apr. 
8, 1993; 61 FR 20495, May 7, 1996; 63 FR 11622, Mar. 10, 1998]

         Appendix B to Part 228--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
Subpart B--Records and Reporting:
    228.9 Railroad records....................         $500       $1,000
    228.11 Hours of duty records..............          500        1,000
    228.17 Dispatcher's record................          500        1,000
    228.19 Monthly reports of excess service..        1,000        2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $20,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[53 FR 52931, Dec. 29, 1988]

    Appendix C to Part 228--Guidelines for Clean, Safe, and Sanitary 
                       Railroad Provided Camp Cars

    1. Definitions applicable to these Guidelines.
    (a) Camp Cars mean trailers and on-track vehicles, including outfit, 
camp, or bunk cars or modular homes mounted on flat cars, used to house 
or accommodate railroad employees. Wreck trains are not included.
    (b) Employee means any worker whose service is covered by the Hours 
of Service Act or who is defined as an employee for purposes of section 
2(a)(3) of that Act.
    (c) Lavatory means a basin or similar vessel used primarily for 
washing of the hands, arms, face, and head.
    (d) Nonwater carriage toilet facility means a toilet facility not 
connected to a sewer.
    (e) Number of employees means the number of employees assigned to 
occupy the camp cars.
    (f) Personal service room means a room used for activities not 
directly connected with the production or service function performed by 
the carrier establishment. Such activities include, but are not limited 
to, first-aid, medical services, dressing, showering, toilet use, 
washing, and eating.
    (g) Potable water means water that meets the quality standards 
prescribed in the U.S. Public Health Service Drinking Water Standards, 
published at 42 CFR part 72, or is

[[Page 300]]

approved for drinking purposes by the State or local authority having 
jurisdiction.
    (h) Toilet facility means a fixture maintained within a toilet room 
for the purpose of defecation or urination, or both.
    (i) Toilet room means a room maintained within or on the premises 
containing toilet facilities for use by employees.
    (j) Toxic material means a material in concentration or amount of 
such toxicity as to constitute a recognized hazard that is causing or is 
likely to cause death or serious physical harm.
    (k) Urinal means a toilet facility maintained within a toilet room 
for the sole purpose of urination.
    (l) Water closet means a toilet facility maintained within a toilet 
room for the purpose of both defecation and urination and which is 
flushed with water.
    (m) Leq (8) means the equivalent steady sound level which in 8 hours 
would contain the same acoustic energy as the time-varying sound level 
during the same time period.
    2. Housekeeping.
    (a) All camp cars should be kept clean to the extent that the nature 
of the work allows.
    (b) To facilitate cleaning, every floor, working place, and 
passageway should be kept free from protruding nails, splinters, loose 
boards, and unnecessary holes and openings.
    3. Waste Disposal.
    (a) Any exterior receptacle used for putrescible solid or liquid 
waste or refuse should be so constructed that it does not leak and may 
be thoroughly cleaned and maintained in a sanitary condition. Such a 
receptacle should be equipped with a solid tight-fitting cover, unless 
it can be maintained in a sanitary condition without a cover. This 
requirement does not prohibit the use of receptacles designed to permit 
the maintenance of a sanitary condition without regard to the 
aforementioned requirements.
    (b) All sweepings, solid or liquid wastes, refuse, and garbage 
should be removed in such a manner as to avoid creating a menace to 
health and as often as necessary or appropriate to maintain a sanitary 
condition.
    4. Vermin Control.
    (a) Camp cars should be so constructed, equipped, and maintained, so 
far as reasonably practicable, as to prevent the entrance or harborage 
of rodents, insects, or other vermin. A continuing and effective 
extermination program should be instituted where their presence is 
detected.
    5. Water Supply.
    (a) Potable water. (1) Potable water should be adequately and 
conveniently provided to all employees in camp cars for drinking, 
washing of the person, cooking, washing of foods, washing of cooking or 
eating utensils, washing of food preparation or processing premises, and 
personal service rooms where such facilities are provided.
    (2) Potable drinking water dispensers should be designed, 
constructed, and serviced so that sanitary conditions are maintained, 
should be capable of being closed, and should be equipped with a tap.
    (3) Open containers such as barrels, pails, or tanks for drinking 
water from which the water must be dipped or poured, whether or not they 
are fitted with a cover, should not be used.
    (4) A common drinking cup and other common utensils should not be 
used.
    (b) The distribution lines should be capable of supplying water at 
sufficient operating pressures to all taps for normal simultaneous 
operation.
    6. Toilet facilities.
    (a) Toilet facilities. (1) Toilet facilities adequate for the number 
of employees housed in the camp car should be provided in convenient and 
safe location(s), and separate toilet rooms for each sex should be 
provided in accordance with table l of this paragraph. The number of 
facilities to be provided for each sex should be based on the number of 
employees of that sex for whom the facilities are furnished. Where 
toilet rooms will be occupied by no more than one person at a time, can 
be locked from the inside, and contain at least one water closet or 
nonwater carriage toilet facility, separate toilet rooms for each sex 
need not be provided. Where such single-occupancy rooms have more than 
one toilet facility, only one such facility in each toilet room should 
be counted for the purpose of table 1.

                                 Table 1
------------------------------------------------------------------------
                                                          Minimum No. of
                    No. of employees                          toilet
                                                          facilities \1\
------------------------------------------------------------------------
1 to 10.................................................             1
11 to 25................................................             2
26 to 49................................................             3
50 to 100...............................................             5
Over 100................................................           \2\
------------------------------------------------------------------------
\1\ Where toilet facilities will not be used by women, urinals may be
  provided instead of water closets or nonwater carriage toilet
  facilities, except that the number of water closets or facilities in
  such cases should not be reduced to less than \2/3\ of the minimum
  specified.
\2\ One additional fixture for each additional 25 employees.

    (2) When toilet facilities are provided in separate cars, toilet 
rooms should have a window space of not less than 6 square feet in area 
opening directly to the outside area or otherwise be satisfactorily 
ventilated. All outside openings should be screened with material that 
is equivalent to or better than 16-mesh. No fixture, water closet, 
nonwater carriage toilet facility or urinal should be located in a 
compartment used for other than toilet purposes.

[[Page 301]]

    (3) The sewage disposal method should not endanger the health of 
employees.
    (b) Construction of toilet rooms. (1) Each water closet should 
occupy a separate compartment with a door and walls or partitions 
between fixtures sufficiently high to assure privacy.
    (2) Nonwater carriage toilet facilities should be located within 50 
feet, but as far as practical on the same side of the track on which 
camp cars are sited.
    (3) Each toilet facility should be lighted naturally, or 
artificially by a safe type of lighting available at all hours of the 
day and night. Flashlights can be substituted by the railroad when 
nonwater carriage toilet facilities are used.
    (4) An adequate supply of toilet paper should be provided in each 
water closet, or nonwater carriage toilet facility, unless provided to 
the employees individually.
    (5) Toilet facilities should be kept in a clean and sanitary 
condition. They should be cleaned regularly when occupied. In the case 
of nonwater carriage toilet facilities, they should be cleaned and 
changed regularly.
    7. Lavatories.
    (a) Lavatories should be made available to all rail employees housed 
in camp cars.
    (b) Each lavatory should be provided with either hot and cold 
running water or tepid running water.
    (c) Unless otherwise provided by agreement, hand soap or similar 
cleansing agents should be provided.
    (d) Unless otherwise provided by agreement, individual hand towels 
or sections thereof, of cloth or paper, warm air blowers or clean 
individual sections of continuous cloth toweling, convenient to the 
lavatories, should be provided.
    (e) One lavatory basin per six employees should be provided in 
shared facilities.
    8. Showering facilities.
    (a) Showering facilities should be provided in the following ratio: 
one shower should be provided for each 10 employees of each sex, or 
numerical fraction thereof, who are required to shower during the same 
shift.
    (b) Shower floors should be constructed of non-slippery materials. 
Floor drains should be provided in all shower baths and shower rooms to 
remove waste water and facilitate cleaning. All junctions of the curbing 
and the floor should be sealed. The walls and partitions of shower rooms 
should be smooth and impervious to the height of splash.
    (c) An adequate supply of hot and cold running water should be 
provided for showering purposes. Facilities for heating water should be 
provided.
    (d) Showers. 1. Unless otherwise provided by agreement, body soap or 
other appropriate cleansing agent convenient to the showers should be 
provided.
    2. Showers should be provided with hot and cold water feeding a 
common discharge line.
    3. Unless otherwise provided by agreement, employees who use showers 
should be provided with individual clean towels.
    9. Kitchens, dining hall and feeding facilities.
    (a) In all camp cars where central dining operations are provided, 
the food handling facilities should be clean and sanitary.
    (b) When separate kitchen and dining hall cars are provided, there 
should be a closable door between the living or sleeping quarters into a 
kitchen or dining hall car.
    10. Consumption of food and beverages on the premises.
    (a) Application. This paragraph should apply only where employees 
are permitted to consume food or beverages, or both, on the premises.
    (b) Eating and drinking areas. No employee should be allowed to 
consume food or beverages in a toilet room or in any area exposed to a 
toxic material.
    (c) Sewage disposal facilities. All sewer lines and floor drains 
from camp cars should be connected to public sewers where available and 
practical, unless the cars are equipped with holding tanks that are 
emptied in a sanitary manner.
    (d) Waste disposal containers provided for the interior of camp 
cars. An adequate number of receptacles constructed of smooth, corrosion 
resistant, easily cleanable, or disposable materials, should be provided 
and used for the disposal of waste food. Receptacles should be provided 
with a solid tightfitting cover unless sanitary conditions can be 
maintained without use of a cover. The number, size and location of such 
receptacles should encourage their use and not result in overfilling. 
They should be emptied regularly and maintained in a clean and sanitary 
condition.
    (e) Sanitary storage. No food or beverages should be stored in 
toilet rooms or in an area exposed to a toxic material.
    (f) Food handling. (1) All employee food service facilities and 
operations should be carried out in accordance with sound hygienic 
principles. In all places of employment where all or part of the food 
service is provided, the food dispensed should be wholesome, free from 
spoilage, and should be processed, prepared, handled, and stored in such 
a manner as to be protected against contamination.
    (2) No person with any disease communicable through contact with 
food or food preparation items should be employed or permitted to work 
in the preparation, cooking, serving, or other handling of food, 
foodstuffs, or materials used therein, in a kitchen or dining facility 
operated in or in connection with camp cars.
    11. Lighting. Each habitable room in a camp car should be provided 
with adequate lighting.

[[Page 302]]

    12. First Aid. Adequate first aid kits should be maintained and made 
available for railway employees housed in camp cars for the emergency 
treatment of injured persons.
    13. Shelter.
    (a) Every camp car should be constructed in a manner that will 
provide protection against the elements.
    (b) All steps, entry ways, passageways and corridors providing 
normal entry to or between camp cars should be constructed of durable 
weather resistant material and properly maintained. Any broken or unsafe 
fixtures or components in need of repair should be repaired or replaced 
promptly.
    (c) Each camp car used for sleeping purposes should contain at least 
48 square feet of floor space for each occupant. At least a 7-foot 
ceiling measured at the entrance to the car should be provided.
    (d) Beds, cots, or bunks and suitable storage facilities such as 
wall lockers or space for foot lockers for clothing and personal 
articles should be provided in every room used for sleeping purposes. 
Except where partitions are provided, such beds or similar facilities 
should be spaced not closer than 36 inches laterally (except in modular 
units which cannot be spaced closer than 30 inches) and 30 inches end to 
end, and should be elevated at least 12 inches from the floor. If 
double-deck bunks are used, they should be spaced not less than 48 
inches both laterally and end to end. The minimum clear space between 
the lower and upper bunk should be not less than 27 inches. Triple-deck 
bunks should not be used.
    (e) Floors should be of smooth and tight construction and should be 
kept in good repair.
    (f) All living quarters should be provided with windows the total of 
which should be not less than 10 percent of the floor area. At least 
one-half of each window designed to be opened should be so constructed 
that it can be opened for purposes of ventilation. Durable opaque window 
coverings should be provided to reduce the entrance of light during 
sleeping hours.
    (g) All exterior openings should be effectively screened with 16-
mesh material. All screen doors should be equipped with self-closing 
devices.
    (h) In a facility where workers cook, live, and sleep, a minimum of 
90 square feet per person should be provided. Sanitary facilities should 
be provided for storing and preparing food.
    (i) In camp cars where meals are provided, adequate facilities to 
feed employees within a 60-minute period should be provided.
    (j) All heating, cooking, ventilation, air conditioning and water 
heating equipment should be installed in accordance with applicable 
local regulations governing such installations.
    (k) Every camp car should be provided with equipment capable of 
maintaining a temperature of at least 68 degrees F. during normal cold 
weather and no greater than 78 degrees F., or 20 degrees below ambient, 
whichever is warmer, during normal hot weather.
    (l) Existing camp cars may be grandfathered so as to only be subject 
to subparagraphs (c), (d), (f), (h), and (k), in accordance with the 
following as recommended maximums:

13 (c), (d), and (h)--by January 1, 1994.
13(f)--Indefinitely insofar as the ten percent (10%) requirement for 
window spacing is concerned.
13(k)--by January 1, 1992.

    14. Location. Camp cars occupied exclusively by individuals employed 
for the purpose of maintaining the right-of-way of a railroad should be 
located as far as practical from where ``switching or humping 
operations'' of ``placarded cars'' occur, as defined in 49 CFR 228.101 
(c)(3) and (c)(4), respectively. Every reasonable effort should be made 
to locate these camp cars at least one-half mile (2,640 feet) from where 
such switching or humping occurs. In the event employees housed in camp 
cars located closer than one-half mile (2,640 feet) from where such 
switching or humping of cars takes place are exposed to an unusual 
hazard at such location, the employees involved should be housed in 
other suitable accommodations. An unusual hazard means an unsafe 
condition created by an occurrence other than normal switching or 
humping.
    15. General provisions. (a) Sleeping quarters are not considered to 
be ``free of interruptions caused by noise under the control of the 
railroad'' if noise levels attributable to noise sources under the 
control of the railroad exceed an Leq (8) value of 55 dB(A), with 
windows closed and exclusive of cooling, heating, and ventilating 
equipment.
    (b) A railroad should, within 48 hours after notice of noncompliance 
with these recommendations, fix the deficient condition(s). Where 
holidays or weekends intervene, the railroad should fix the condition 
within 8 hours after the employees return to work. In the event such 
condition(s) affects the safety or health of the employees, such as 
water, cooling, heating or eating facilities, the railroad should 
provide alternative arrangements for housing and eating until the 
noncomplying condition is fixed.

[55 FR 30893, July 27, 1990]



PART 229--RAILROAD LOCOMOTIVE SAFETY STANDARDS--Table of Contents




                           Subpart A--General

Sec.
229.1 Scope.

[[Page 303]]

229.3 Applicability.
229.4 Information collection.
229.5 Definitions.
229.7 Prohibited acts.
229.9 Movement of non-complying locomotives.
229.11 Locomotive identification.
229.13 Control of locomotives.
229.14 Non-MU control cab locomotives.
229.17 Accident reports.
229.19 Prior waivers.

                    Subpart B--Inspections and Tests

229.21 Daily inspection.
229.23 Periodic inspection: General.
229.25 Tests: Every periodic inspection.
229.27 Annual tests.
229.29 Biennial tests.
229.31 Main reservoir tests.
229.33 Out-of-use credit.

                     Subpart C--Safety Requirements

                          General Requirements

229.41 Protection against personal injury.
229.43 Exhaust and battery gases.
229.45 General condition.

                              Brake System

229.46 Brakes: General.
229.47 Emergency brake valve.
229.49 Main reservoir system.
229.51 Aluminum main reservoirs.
229.53 Brake gauges.
229.55 Piston travel.
229.57 Foundation brake gear.
229.59 Leakage.

                              Draft System

229.61 Draft system.

                            Suspension System

229.63 Lateral motion.
229.64 Plain bearings.
229.65 Spring rigging.
229.67 Trucks.
229.69 Side bearings.
229.71 Clearance above top of rail.
229.73 Wheel sets.
229.75 Wheel and tire defects.

                            Electrical System

229.77 Current collectors.
229.79 Third rail shoes.
229.81 Emergency pole; shoe insulation.
229.83 Insulation or grounding of metal parts.
229.85 Doors and cover plates marked ``Danger''.
229.87 Hand-operated switches.
229.89 Jumpers; cable connections.
229.91 Motors and generators.

                      Internal Combustion Equipment

229.93 Safety cut-off device.
229.95 Venting.
229.97 Grounding fuel tanks.
229.99 Safety hangers.
229.101 Engines.

                            Steam Generators

229.103 Safe working pressure; factor of safety.
229.105 Steam generator number.
229.107 Pressure gauge.
229.109 Safety valves.
229.111 Water-flow indicator.
229.113 Warning notice.

                         Cabs and Cab Equipment

229.115 Slip/slide alarms.
229.117 Speed indicators.
229.119 Cabs, floors, and passageways.
229.121 Locomotive cab noise.
229.123 Pilots, snowplows, end plates.
229.125 Headlights and auxiliary lights.
229.127 Cab lights.
229.129 Audible warning device.
229.131 Sanders.
229.133 Interim locomotive conspicuity measures--auxiliary external 
          lights.
229.135 Event recorders.
229.137 Sanitation, general requirements.
229.139 Sanitation, servicing requirements.

                     Subpart D--Design Requirements

229.141 Body structure, MU locomotives.

Appendix A to Part 229--Form FRA 6180-49A [Note]
Appendix B to Part 229--Schedule of Civil Penalties
Appendix C to Part 229--FRA Locomotive Standards--Code of Defects [Note]

    Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20137-20138, 20143, 
20701-20703, 21301-21302, 21304; 49 CFR 1.49(c), (m).

    Source: 45 FR 21109, Mar. 31, 1980, unless otherwise noted.



                           Subpart A--General



Sec. 229.1  Scope.

    This part prescribes minimum Federal safety standards for all 
locomotives except those propelled by steam power.



Sec. 229.3  Applicability.

    (a) Except as provided in paragraphs (b) through (e) of this 
section, this part applies to all standard gage railroads.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or

[[Page 304]]

    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (c) Paragraphs (a) and (b) of Sec. 229.125 do not apply to Tier II 
passenger equipment as defined in Sec. 238.5 of this chapter (i.e., 
passenger equipment operating at speeds exceeding 125 mph but not 
exceeding 150 mph).
    (d) On or after November 8, 1999, paragraphs (a)(1) and (b)(1) of 
Sec. 229.141 do not apply to ``passenger equipment'' as defined in 
Sec. 238.5 of this chapter, unless such equipment is excluded from the 
requirements of Secs. 238.203 through 238.219, and Sec. 238.223 of this 
chapter by operation of Sec. 238.201(a)(2) of this chapter.
    (e) Paragraphs (a)(2) through (a)(4), and (b)(2) through (b)(4) of 
Sec. 229.141 do not apply to ``passenger equipment'' as defined in 
Sec. 238.5 of this chapter that is placed in service for the first time 
on or after September 8, 2000, unless such equipment is excluded from 
the requirements of Secs. 238.203 through 238.219, and Sec. 238.223 of 
this chapter by operation of Sec. 238.201(a)(2) of this chapter.

[54 FR 33229, Aug. 14, 1989, as amended at 64 FR 25659, May 12, 1999]



Sec. 229.4  Information collection.

    (a) The information collection requirements in this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1980, Public Law 96-511, and have been 
assigned OMB control number 2130-0004.
    (b) The information collection requirements are found in the 
following sections:
    (1) Section 229.9.
    (2) Section 229.17.
    (3) Section 229.21.
    (4) Section 229.23.
    (5) Section 229.25.
    (6) Section 229.27.
    (7) Section 229.29.
    (8) Section 229.31.
    (9) Section 229.33.
    (10) Section 229.55.
    (11) Section 229.103.
    (12) Section 229.105.
    (13) Section 229.113.
    (14) Section 229.135.

[50 FR 6953, Feb. 19, 1985, as amended at 58 FR 36613, July 8, 1993]



Sec. 229.5  Definitions.

    As used in this part--
    (a) Break means a fracture resulting in complete separation into 
parts.
    (b) Cab means that portion of the superstructure designed to be 
occupied by the crew operating the locomotive.
    (c) Carrier means railroad, as that term is defined below.
    Commuter service means the type of railroad service described under 
the heading ``Commuter Operations'' in 49 CFR part 209, Appendix A.
    Commuter work train is a non-revenue service train used in the 
administration and upkeep service of the commuter railroad.
    (d) Control cab locomotive means a locomotive without propelling 
motors but with one or more control stands.
    (e) Crack means a fracture without complete separation into parts, 
except that castings with shrinkage cracks or hot tears that do not 
significantly diminish the strength of the member are not considered to 
be cracked.
    (f) Dead locomotive means--
    (1) A locomotive other than a control cab locomotive that does not 
have any traction device supplying tractive power; or
    (2) A control cab locomotive that has a locked and unoccupied cab.
    (g) Event recorder means a device, designed to resist tampering, 
that monitors and records data on train speed, direction of motion, 
time, distance, throttle position, brake applications and operations 
(including train brake, independent brake, and, if so equipped, dynamic 
brake applications and operations) and, where the locomotive is so 
equipped, cab signal aspect(s), over the most recent 48 hours of 
operation of the electrical system of the locomotive on which it is 
installed. A device, designed to resist tampering, that monitors and 
records the specified data only when the locomotive is in motion shall 
be deemed to meet this definition provided the device was installed 
prior to [insert the effective date of the rule] and records the 
specified data for the last eight hours the locomotive was in motion.
    (h) High voltage means an electrical potential of more than 150 
volts.
    (i) In-service event recorder means an event recorder that was 
successfully

[[Page 305]]

tested as prescribed in Sec. 229.25(e) and whose subsequent failure to 
operate as intended, if any, is not actually known by the railroad 
operating the locomotive on which it is installed.
    (j) Lite locomotive means a locomotive or a consist of locomotives 
not attached to any piece of equipment or attached only to a caboose.
    (k) Locomotive means a piece of on-track equipment other than hi-
rail, specialized maintenance, or other similar equipment--
    (1) With one or more propelling motors designed for moving other 
equipment;
    (2) With one or more propelling motors designed to carry freight or 
passenger traffic or both; or
    (3) Without propelling motors but with one or more control stands.
    Modesty lock means a latch that can be operated in the normal manner 
only from within the sanitary compartment, that is designed to prevent 
entry of another person when the sanitary compartment is in use. A 
modesty lock may be designed to allow deliberate forced entry in the 
event of an emergency.
    (l) MU locomotive means a multiple operated electric locomotive 
described in paragraph (i)(2) or (3) of this section.
    Other short-haul passenger service means the type of railroad 
service described under the heading ``Other short-haul passenger 
service'' in 49 CFR part 209, Appendix A.
    Potable water means water that meets the requirements of 40 CFR part 
141, the Environmental Protection Agency's Primary Drinking Water 
Regulations, or water that has been approved for drinking and washing 
purposes by the pertinent state or local authority having jurisdiction. 
For purposes of this section, commercially available, bottled drinking 
water is deemed potable water.
    (m) Powered axle is an axle equipped with a traction device.
    (n) Railroad means all forms of non-highway ground transportation 
that run on rails or electromagnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    Sanitary means lacking any condition in which any significant amount 
of filth, trash, or human waste is present in such a manner that a 
reasonable person would believe that the condition might constitute a 
health hazard; or of strong, persistent, chemical or human waste odors 
sufficient to deter use of the facility, or give rise to a reasonable 
concern with respect to exposure to hazardous fumes. Such conditions 
include, but are not limited to, a toilet bowl filled with human waste, 
soiled toilet paper, or other products used in the toilet compartment, 
that are present due to a defective toilet facility that will not flush 
or otherwise remove the waste; visible human waste residue on the floor 
or toilet seat that is present due to a toilet facility that overflowed; 
an accumulation of soiled paper towels or soiled toilet paper on the 
floor, toilet facility or sink; an accumulation of visible dirt or human 
waste on the floor, toilet facility, or sink; and strong, persistent 
chemical or human waste odors in the compartment.
    Sanitation compartment means an enclosed compartment on a railroad 
locomotive that contains a toilet facility for employee use.
    (o) Serious injury means an injury that results in the amputation of 
any appendage, the loss of sight in an eye, the fracture of a bone, or 
the confinement in a hospital for a period of more than 24 consecutive 
hours.
    Switching service means the classification of railroad freight and 
passenger cars according to commodity or destination; assembling cars 
for train movements; changing the position of cars for purposes of 
loading, unloading, or weighing; placing locomotives and cars for repair 
or storage; or moving rail equipment in connection with work service 
that does not constitute a train movement.
    Toilet facility means a system that automatically or on command of 
the user removes human waste to a place

[[Page 306]]

where it is treated, eliminated, or retained such that no solid or non-
treated liquid waste is thereafter permitted to be released into the 
bowl, urinal, or room and that prevents harmful discharges of gases or 
persistent offensive odors.
    Transfer service means a freight train that travels between a point 
of origin and a point of final destination not exceeding 20 miles and 
that is not performing switching service.
    Unsanitary means having any condition in which any significant 
amount of filth, trash, or human waste is present in such a manner that 
a reasonable person would believe that the condition might constitute a 
health hazard; or strong, persistent, chemical or human waste odors 
sufficient to deter use of the facility or to give rise to a reasonable 
concern with respect to exposure to hazardous fumes. Such conditions 
include, but are not limited to, a toilet bowl filled with human waste, 
soiled toilet paper, or other products used in the toilet compartment, 
that are present due to a defective toilet facility that will not flush 
or otherwise remove the waste; visible human waste residue on the floor 
or toilet seat that is present due to a toilet facility that overflowed; 
an accumulation of soiled paper towels or soiled toilet paper on the 
floor, toilet facility, or sink; an accumulation of visible dirt or 
human waste on the floor, toilet facility, or sink; and strong 
persistent chemical or human waste odors in the compartment.
    Washing system means a system for use by railroad employees to 
maintain personal cleanliness that includes a secured sink or basin, 
water, antibacterial soap, and paper towels; or antibacterial waterless 
soap and paper towels; or antibacterial moist towelettes and paper 
towels; or any other combination of suitable antibacterial cleansing 
agents.
    (p) Electronic air brake means a brake system controlled by a 
computer which provides the means for control of the locomotive brakes 
or train brakes or both.

[45 FR 21109, Mar. 31, 1980, as amended at 54 FR 33229, Aug. 14, 1989; 
58 FR 36613, July 8, 1993; 60 FR 27905, May 26, 1995; 66 FR 4192, Jan. 
17, 2001; 67 FR 16049, Apr. 4, 2002]



Sec. 229.7  Prohibited acts.

    (a) The Locomotive Inspection Act (45 U.S.C. 22-34) makes it 
unlawful for any carrier to use or permit to be used on its line any 
locomotive unless the entire locomotive and its appurtenances--
    (1) Are in proper condition and safe to operate in the service to 
which they are put, without unnecessary peril to life or limb; and
    (2) Have been inspected and tested as required by this part.
    (b) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
of the Locomotive Inspection Act or causes the violation of any such 
requirement is subject to a civil penalty of at least $500 and not more 
than $11,000 per violation, except that: Penalties may be assessed 
against individuals only for willful violations, and, where a grossly 
negligent violation or a pattern of repeated violations has created an 
imminent hazard of death or injury to persons, or has caused death or 
injury, a penalty not to exceed $22,000 per violation may be assessed. 
Each day a violation continues shall constitute a separate offense. See 
appendix B to this part for a statement of agency civil penalty policy.

[45 FR 21109, Mar. 31, 1980, as amended at 53 FR 28601, July 28, 1988; 
53 FR 52931, Dec. 29, 1988; 63 FR 11622, Mar. 10, 1998]



Sec. 229.9  Movement of non-complying locomotives.

    (a) Except as provided in paragraphs (b), (c) and Sec. 229.125(h), a 
locomotive with one or more conditions not in compliance with this part 
may be moved only as a lite locomotive or a dead locomotive after the 
carrier has complied with the following:
    (1) A qualified person shall determine--

[[Page 307]]

    (i) That it is safe to move the locomotive; and
    (ii) The maximum speed and other restrictions necessary for safely 
conducting the movement;
    (2)(i) The engineer in charge of the movement of the locomotive 
shall be notified in writing and inform all other crew members in the 
cab of the presence of the non-complying locomotive and the maximum 
speed and other restrictions determined under paragraph (a)(1)(ii) of 
this section.
    (ii) A copy of the tag described in paragraph (a)(3) of this section 
may be used to provide the notification required by paragraph (a)(2)(i) 
of this section.
    (3) A tag bearing the words ``non-complying locomotive'' and 
containing the following information, shall be securely attached to the 
control stand on each MU or control cab locomotive and to the isolation 
switch or near the engine start switch on every other type of 
locomotive--
    (i) The locomotive number;
    (ii) The name of the inspecting carrier;
    (iii) The inspection location and date;
    (iv) The nature of each defect;
    (v) Movement restrictions, if any;
    (vi) The destination; and
    (vii) The signature of the person making the determinations required 
by this paragraph.
    (b) A locomotive that develops a non-complying condition enroute may 
continue to utilize its propelling motors, if the requirements of 
paragraph (a) are otherwise fully met, until the earlier of--
    (1) The next calendar day inspection, or
    (2) The nearest forward point where the repairs necessary to bring 
it into compliance can be made.
    (c) A non-complying locomotive may be moved lite or dead within a 
yard, at speeds not in excess of 10 miles per hour, without meeting the 
requirements of paragraph (a) of this section if the movement is solely 
for the purpose of repair. The carrier is responsible to insure that the 
movement may be safely made.
    (d) A dead locomotive may not continue in use following a calendar 
day inspection as a controlling locomotive or at the head of a train or 
locomotive consist.
    (e) A locomotive does not cease to be a locomotive because its 
propelling motor or motors are inoperative or because its control jumper 
cables are not connected.
    (f) Nothing in this section authorizes the movement of a locomotive 
subject to a Special Notice for Repair unless the movement is made in 
accordance with the restrictions contained in the Special Notice.
    (g) Paragraphs (a), (b), and (c) of this section shall not apply to 
sanitation conditions covered by Secs. 229.137 and 229.139. Sections 
229.137 and 229.139 set forth specific requirements for the movement and 
repair of locomotives with defective sanitation compartments.

[45 FR 21109, Mar. 31, 1980, as amended at 61 FR 8887, Mar. 6, 1996; 67 
FR 16050, Apr. 4, 2002]



Sec. 229.11  Locomotive identification.

    (a) The letter ``F'' shall be legibly shown on each side of every 
locomotive near the end which for identification purposes will be known 
as the front end.
    (b) The locomotive number shall be displayed in clearly legible 
numbers on each side of each locomotive.



Sec. 229.13  Control of locomotives.

    Except when a locomotive is moved in accordance with Sec. 229.9, 
whenever two or more locomotives are coupled in remote or multiple 
control, the propulsion system, the sanders, and the power brake system 
of each locomotive shall respond to control from the cab of the 
controlling locomotive. If a dynamic brake or regenerative brake system 
is in use, that portion of the system in use shall respond to control 
from the cab of the controlling locomotive.



Sec. 229.14  Non-MU control cab locomotives.

    On each non-MU control cab locomotive, only those components added 
to the passenger car that enable it to serve as a lead locomotive, 
control the locomotive actually providing tractive

[[Page 308]]

power, and otherwise control the movement of the train, are subject to 
this part.



Sec. 229.17  Accident reports.

    (a) In the case of an accident due to a failure from any cause of a 
locomotive or any part or appurtenance of a locomotive, or a person 
coming in contact with an electrically energized part or appurtenance, 
that results in serious injury or death of one or more persons, the 
carrier operating the locomotive shall immediately report the accident 
by toll free telephone, Area Code 800-424-0201. The report shall state 
the nature of the accident, number of persons killed or seriously 
injured, the place at which it occurred, the location at which the 
locomotive or the affected parts may be inspected by the FRA, and the 
name, title and phone number of the person making the call. The 
locomotive or the part or parts affected by the accident shall be 
preserved intact by the carrier until after the FRA inspection.
    (b) Written confirmation of the oral report required by paragraph 
(a) of this section shall be immediately mailed to the Federal Railroad 
Administration, RRS-25, Washington, DC 20590, and contain a detailed 
description of the accident, including to the extent known, the causes 
and the number of persons killed and injured. The written report 
required by this paragraph is in addition to the reporting requirements 
of 49 CFR part 225.



Sec. 229.19  Prior waivers.

    All waivers of every form and type from any requirement of any order 
or regulation implementing the Locomotive Inspection Act, applicable to 
one or more locomotives except those propelled by steam power, shall 
lapse on August 31, 1980, unless a copy of the grant of waiver is filed 
prior to that date with the Office of Safety (RRS-23), Federal Railroad 
Administration, Washington, DC 20590.



                    Subpart B--Inspections and Tests



Sec. 229.21  Daily inspection.

    (a) Except for MU locomotives, each locomotive in use shall be 
inspected at least once during each calendar day. A written report of 
the inspection shall be made. This report shall contain the name of the 
carrier; the initials and number of the locomotive; the place, date and 
time of the inspection; a description of the non-complying conditions 
disclosed by the inspection; and the signature of the employee making 
the inspection. Except as provided in Secs. 229.9, 229.137, and 229.139, 
any conditions that constitute non-compliance with any requirement of 
this part shall be repaired before the locomotive is used. Except with 
respect to conditions that do not comply with Sec. 229.137 or 
Sec. 229.139, a notation shall be made on the report indicating the 
nature of the repairs that have been made. Repairs made for conditions 
that do not comply with Sec. 229.137 or Sec. 229.139 may be noted on the 
report, or in electronic form. The person making the repairs shall sign 
the report. The report shall be filed and retained for at least 92 days 
in the office of the carrier at the terminal at which the locomotive is 
cared for. A record shall be maintained on each locomotive showing the 
place, date and time of the previous inspection.
    (b) Each MU locomotive in use shall be inspected at least once 
during each calendar day and a written report of the inspection shall be 
made. This report may be part of a single master report covering an 
entire group of MU's. If any non-complying conditions are found, a 
separate, individual report shall be made containing the name of the 
carrier; the initials and number of the locomotive; the place, date, and 
time of the inspection; the non-complying conditions found; and the 
signature of the inspector. Except as provided in Secs. 229.9, 229.137, 
and 229.139, any conditions that constitute non-compliance with any 
requirement of this part shall be repaired before the locomotive is 
used. Except with respect to conditions that do not comply with 
Sec. 229.137 or Sec. 229.139, a notation shall be made on the report 
indicating the nature of the repairs that have been made. Repairs made 
for conditions that do not comply with Sec. 229.137 or Sec. 229.139 may 
be noted on the report, or in electronic form. A notation shall be made 
on the report indicating the nature of the repairs that have been made. 
The person making the repairs shall sign the report.

[[Page 309]]

The report shall be filed in the office of the carrier at the place 
where the inspection is made or at one central location and retained for 
at least 92 days.
    (c) Each carrier shall designate qualified persons to make the 
inspections required by this section.

[45 FR 21109, Mar. 31, 1980, as amended at 50 FR 6953, Feb. 19, 1985; 67 
FR 16050, Apr. 4, 2002]



Sec. 229.23  Periodic inspection: General.

    (a) Each locomotive and steam generator shall be inspected at each 
periodic inspection to determine whether it complies with this part. 
Except as provided in Sec. 229.9, all non-complying conditions shall be 
repaired before the locomotive or the steam generator is used. Except as 
provided in Sec. 229.33, the interval between any two periodic 
inspections may not exceed 92 days. Periodic inspections shall only be 
made where adequate facilities are available. At each periodic 
inspection, a locomotive shall be positioned so that a person may safely 
inspect the entire underneath portion of the locomotive.
    (b) The periodic inspection of the steam generator may be postponed 
indefinitely if the water suction pipe to the water pump and the leads 
to the main switch (steam generator switch) are disconnected, and the 
train line shut-off-valve is wired closed or a blind gasket applied. 
However, the steam generator shall be so inspected before it is returned 
to use.
    (c) After April 30, 1980, each new locomotive shall receive an 
initial periodic inspection before it is used. Except as provided in 
Sec. 229.33, each locomotive in use on or before April 30, 1980, shall 
receive an initial periodic inspection within 92 days of the last 30-day 
inspection performed under the prior rules (49 CFR 230.331 and 230.451). 
At the initial periodic inspection, the date and place of the last tests 
performed that are the equivalent of the tests required by Secs. 229.27, 
229.29, and 229.31 shall be entered on Form FRA F 6180-49A. These dates 
shall determine when the tests first become due under Secs. 229.27, 
229.29, and 229.31. Out of use credit may be carried over from Form FRA 
F 6180-49 and entered on Form FRA F 6180-49A.
    (d) Each periodic inspection shall be recorded on Form FRA F 6180-
49A. The form shall be signed by the person conducting the inspection 
and certified by that person's supervisor that the work was done. The 
form shall be displayed under a transparent cover in a conspicuous place 
in the cab of each locomotive.
    (e) At the first periodic inspection in each calendar year the 
carrier shall remove from each locomotive Form FRA F 6180-49A covering 
the previous calendar year. If a locomotive does not receive its first 
periodic inspection in a calendar year before April 2 because it is out 
of use, the form shall be promptly replaced. The Form FRA F 6180-49A 
covering the preceding year for each locomotive, in or out of use, shall 
be signed by the railroad official responsible for the locomotive and 
filed as required in Sec. 229.23(f). The date and place of the last 
periodic inspection and the date and place of the last test performed 
under Secs. 229.27, 229.29, and 229.31 shall be transferred to the 
replacement Form FRA F 6180-49A.
    (f) The mechanical officer of each railroad who is in charge of a 
locomotive shall maintain in his office a secondary record of the 
information reported on Form FRA F 6180-49A under this part. The 
secondary record shall be retained until Form FRA F 6180-49A has been 
removed from the locomotive and filed in the railroad office of the 
mechanical officer in charge of the locomotive. If the Form FRA F 6180-
49A removed from the locomotive is not clearly legible, the secondary 
record shall be retained until the Form FRA F 6180-49A for the 
succeeding year is filed. The Form F 6180-49A removed from a locomotive 
shall be retained until the Form FRA F 6180-49A for the succeeding year 
is filed.

[45 FR 21109, Mar. 31, 1980, as amended at 45 FR 39852, June 12, 1980; 
50 FR 6953, Feb. 19, 1985]



Sec. 229.25  Tests: Every periodic inspection.

    Each periodic inspection shall include the following:
    (a) All mechanical gauges used by the engineer to aid in the control 
or braking of the train or locomotive, except load meters used in 
conjunction with an auxiliary brake system, shall be tested by 
comparison with a dead-

[[Page 310]]

weight tester or a test gauge designed for this purpose.
    (b) All electrical devices and visible insulation shall be 
inspected.
    (c) All cable connections between locomotives and jumpers that are 
designed to carry 600 volts or more shall be thoroughly cleaned, 
inspected, and tested for continuity.
    (d) Each steam generator that is not isolated as prescribed in 
Sec. 229.23(b) shall be inspected and tested as follows:
    (1) All automatic controls, alarms and protective devices shall be 
inspected and tested.
    (2) Steam pressure gauges shall be tested by comparison with a dead-
weight tester or a test gauge designed for this purpose. The siphons to 
the steam gauges shall be removed and their connections examined to 
determine that they are open.
    (3) Safety valves shall be set and tested under steam after the 
steam pressure gauge is tested.
    (e) The event recorder, if installed, shall be inspected, 
maintained, and tested in accordance with the instructions of the 
manufacturer, supplier, or owner thereof and in accordance with the 
following criteria:
    (1) A written copy of the instructions in use shall be kept at the 
point where the work is performed.
    (2) The event recorder shall be tested prior to performing any 
maintenance work on it. At a minimum, the event recorder test shall 
include cycling all required recording parameters and determining the 
full range of each parameter by reading out recorded data. A micro-
processor based event recorder, equipped to perform self-tests, has 
passed the pre-maintenance inspection requirement if it has not 
indicated a failure.
    (3) If this test does not reveal that the device is recording all 
the specified data and that all recordings are within the designed 
recording parameters, this fact shall be noted on the data verification 
result required to be maintained by this section and maintenance and 
testing shall be performed as necessary until a subsequent test is 
successful.
    (4) When a successful test is accomplished, a copy of those data 
verification results shall be maintained with the locomotive's 
maintenance records until the next one is filed.
    (5) A railroad's event recorder periodic maintenance shall be 
considered effective if ninety percent (90%) of the recorders inbound in 
any given month for periodic inspection are still fully functional; 
maintenance practices and test intervals shall be adjusted as necessary 
to yield effective periodic maintenance.

[45 FR 21109, Mar. 31, 1980, as amended at 58 FR 36614, July 8, 1993; 60 
FR 27905, May 26, 1995; 66 FR 4192, Jan. 17, 2001]



Sec. 229.27  Annual tests.

    Each locomotive shall be subjected to the tests and inspections 
included in paragraphs (b) and (c) of this section, and each non-MU 
locomotive shall also be subjected to the tests and inspections included 
in paragraph (a) of this section, at intervals that do not exceed 368 
calendar days:
    (a)(1) The filtering devices or dirt collectors located in the main 
reservoir supply line to the air brake system shall be cleaned, 
repaired, or replaced.
    (2) Brake cylinder relay valve portions, main reservoir safety 
valves, brake pipe vent valve portions, feed and reducing valve portions 
in the air brake system (including related dirt collectors and filters) 
shall be cleaned, repaired, and tested.
    (3) The date and place of the cleaning, repairing, and testing shall 
be recorded on Form FRA F 6180-49A and the person performing the work 
and that person's supervisor shall sign the form. A record of the parts 
of the air brake system that are cleaned, repaired, and tested shall be 
kept in the carrier's files or in the cab of the locomotive.
    (4) At its option, a carrier may fragment the work required by this 
paragraph. In that event, a separate air record shall be maintained 
under a transparent cover in the cab. The air record shall include the 
locomotive number, a list of the air brake components, and the date and 
place of the last inspection and test of each component. The signature 
of the person performing the work and the signature of that person's 
supervisor shall be included for each component. A duplicate

[[Page 311]]

record shall be maintained in the carrier's files.
    (b) The load meter shall be tested. Each device used by the engineer 
to aid in the control or braking of the train or locomotive that 
provides an indication of air pressure electronically shall be tested by 
comparison with a test gauge or self-test designed for this purpose. An 
error of greater than five percent or three pounds per square inch shall 
be corrected. The date and place of the test shall be recorded on Form 
FRA F 6180-49A, and the person conducting the test and that person's 
supervisor shall sign the form.
    (c) Each steam generator that is not isolated as prescribed in 
Sec. 229.23(b), shall be subjected to a hydrostatic pressure at least 25 
percent above the working pressure and the visual return water-flow 
indicator shall be removed and inspected.

[45 FR 21109, Mar. 31, 1980, as amended at 66 FR 4192, Jan. 17, 2001]



Sec. 229.29  Biennial tests.

    (a) Except for the valves and valve portions on non-MU locomotives 
that are cleaned, repaired, and tested as prescribed in Sec. 229.27(a), 
all valves, valve portions, MU locomotive brake cylinders and electric-
pneumatic master controllers in the air brake system (including related 
dirt collectors and filters) shall be cleaned, repaired, and tested at 
intervals that do not exceed 736 calendar days. The date and place of 
the cleaning, repairing, and testing shall be recorded on Form FRA F 
6180-49A, and the person performing the work and that person's 
supervisor shall sign the form. A record of the parts of the air brake 
system that are cleaned, repaired, and tested shall be kept in the 
carrier's files or in the cab of the locomotive.
    (b) At its option, a carrier may fragment the work required by this 
section. In that event, a separate air record shall be maintained under 
a transparent cover in the cab. The air record shall include the 
locomotive number, a list of the air brake components, and the date and 
place of the inspection and test of each component. The signature of the 
person performing the work and the signature of that person's supervisor 
shall be included for each component. A duplicate record shall be 
maintained in the carrier's files.



Sec. 229.31  Main reservoir tests.

    (a) Except as provided in paragraph (c) of this section, before it 
is put in service and at intervals that do not exceed 736 calendar days, 
each main reservoir other than an aluminum reservoir shall be subjected 
to a hydrostatic pressure of at least 25 percent more than the maximum 
working pressure fixed by the chief mechanical officer. The test date, 
place, and pressure shall be recorded on Form FRA F 6180-49A, and the 
person performing the test and that person's supervisor shall sign the 
form.
    (b) Except as provided in paragraph (c) of this section, each main 
reservoir other than an aluminum reservoir shall be hammer tested over 
its entire surface while the reservoir is empty at intervals that do not 
exceed 736 calendar days. The test date and place shall be recorded on 
Form FRA F 6180-49A, and the person performing the test and that 
person's supervisor shall sign the form.
    (c) Each welded main reservoir originally constructed to withstand 
at least five times the maximum working pressure fixed by the chief 
mechanical officer may be drilled over its entire surface with telltale 
holes that are three-sixteenths of an inch in diameter. The holes shall 
be spaced not more than 12 inches apart, measured both longitudinally 
and circumferentially, and drilled from the outer surface to an extreme 
depth determined by the formula--

D=(.6PR/(S-0.6P))

where:
D=extreme depth of telltale holes in inches but in no case less than 
one-sixteenth inch;
P=certified working pressure in pounds per square inch;
S=one-fifth of the minimum specified tensile strength of the material in 
pounds per square inch; and
R=inside radius of the reservoir in inches.


One row of holes shall be drilled lengthwise of the reservoir on a line 
intersecting the drain opening. A reservoir so drilled does not have to 
meet the requirements of paragraphs (a) and

[[Page 312]]

(b) of this section, except the requirement for a hydrostatic test 
before it is placed in use. Whenever any such telltale hole shall have 
penetrated the interior of any reservoir, the reservoir shall be 
permanently withdrawn from service. A reservoir now in use may be 
drilled in lieu of the tests provided for by paragraphs (a) and (b) of 
this section, but it shall receive a hydrostatic test before it is 
returned to use.
    (d) Each aluminum main reservoir before being placed in use and at 
intervals that do not exceed 736 calendar days thereafter, shall be--
    (1) Cleaned and given a thorough visual inspection of all internal 
and external surfaces for evidence of defects or deterioration; and
    (2) Subjected to a hydrostatic pressure at least twice the maximum 
working pressure fixed by the chief mechanical officer, but not less 
than 250 p.s.i. The test date, place, and pressure shall be recorded on 
Form FRA F 6180-49A, and the person conducting the test and that 
person's supervisor shall sign the form.



Sec. 229.33  Out-of-use credit.

    When a locomotive is out of use for 30 or more consecutive days or 
is out of use when it is due for any test or inspection required by 
Sec. 229.23, 229.25, 229.27, 229.29, or 229.31, an out-of-use notation 
showing the number of out-of-use days shall be made on an inspection 
line on Form FRA F 6180-49A. A supervisory employee of the carrier who 
is responsible for the locomotive shall attest to the notation. If the 
locomotive is out of use for one or more periods of at least 30 
consecutive days each, the interval prescribed for any test or 
inspection under this part may be extended by the number of days in each 
period the locomotive is out of use since the last test or inspection in 
question. A movement made in accordance with Sec. 229.9 is not a use for 
purposes of determining the period of the out-of-use credit.



                     Subpart C--Safety Requirements

                          General Requirements



Sec. 229.41  Protection against personal injury.

    Fan openings, exposed gears and pinions, exposed moving parts of 
mechanisms, pipes carrying hot gases and high-voltage equipment, 
switches, circuit breakers, contactors, relays, grid resistors, and 
fuses shall be in non-hazardous locations or equipped with guards to 
prevent personal injury.



Sec. 229.43  Exhaust and battery gases.

    (a) Products of combustion shall be released entirely outside the 
cab and other compartments. Exhaust stacks shall be of sufficient height 
or other means provided to prevent entry of products of combustion into 
the cab or other compartments under usual operating conditions.
    (b) Battery containers shall be vented and batteries kept from 
gassing excessively.



Sec. 229.45  General condition.

    All systems and components on a locomotive shall be free of 
conditions that endanger the safety of the crew, locomotive or train. 
These conditions include: insecure attachment of components, including 
third rail shoes or beams, traction motors and motor gear cases, and 
fuel tanks; fuel, oil, water, steam, and other leaks and accumulations 
of oil on electrical equipment that create a personal injury hazard; 
improper functioning of components, including slack adjusters, 
pantograph operating cylinders, circuit breakers, contactors, relays, 
switches, and fuses; and cracks, breaks, excessive wear and other 
structural infirmities of components, including quill drives, axles, 
gears, pinions, pantograph shoes and horns, third rail beams, traction 
motor gear cases, and fuel tanks.

[[Page 313]]

                              Brake System



Sec. 229.46  Brakes: General.

    The carrier shall know before each trip that the locomotive brakes 
and devices for regulating all pressures, including but not limited to 
the automatic and independent brake valves, operate as intended and that 
the water and oil have been drained from the air brake system.



Sec. 229.47  Emergency brake valve.

    (a) Except for locomotives with cabs designed for occupancy by only 
one person, each road locomotive shall be equipped with a brake pipe 
valve that is accessible to a member of the crew, other than the 
engineer, from that crew member's position in the cab. On car body type 
locomotives, a brake pipe valve shall be attached to the wall adjacent 
to each end exit door. The words ``Emergency Brake Valve'' shall be 
legibly stenciled or marked near each brake pipe valve or shall be shown 
on an adjacent badge plate.
    (b) MU and control cab locomotives operated in road service shall be 
equipped with an emergency brake valve that is accessible to another 
crew member in the passenger compartment or vestibule. The words 
``Emergency Brake Valve'' shall be legibly stenciled or marked near each 
valve or shall be shown on an adjacent badge plate.



Sec. 229.49  Main reservoir system.

    (a)(1) The main reservoir system of each locomotive shall be 
equipped with at least one safety valve that shall prevent an 
accumulation of pressure of more than 15 pounds per square inch above 
the maximum working air pressure fixed by the chief mechanical officer 
of the carrier operating the locomotive.
    (2) Except for non-equipped MU locomotives built prior to January 1, 
1981, each locomotive that has a pneumatically actuated system of power 
controls shall be equipped with a separate reservoir of air under 
pressure to be used for operating those power controls. The reservoir 
shall be provided with means to automatically prevent the loss of 
pressure in the event of a failure of main air pressure, have storage 
capacity for not less than three complete operating cycles of control 
equipment and be located where it is not exposed to damage.
    (b) A governor shall be provided that stops and starts or unloads 
and loads the air compressor within 5 pounds per square inch above or 
below the maximum working air pressure fixed by the carrier.
    (c) Each compressor governor used in connection with the automatic 
air brake system shall be adjusted so that the compressor will start 
when the main reservoir pressure is not less than 15 pounds per square 
inch above the maximum brake pipe pressure fixed by the carrier and will 
not stop the compressor until the reservoir pressure has increased at 
least 10 pounds.



Sec. 229.51  Aluminum main reservoirs.

    (a) Aluminum main reservoirs used on locomotives shall be designed 
and fabricated as follows:
    (1) The heads and shell shall be made of Aluminum Association Alloy 
No. 5083-0, produced in accordance with American Society of Mechnical 
Engineers (ASME) Specification SB-209, as defined in the ``ASME Boiler 
and Pressure Vessel Code'' (1971 edition), section II, Part B, page 123, 
with a minimum tensile strength of 40,000 p.s.i. (40 k.s.i.).
    (2) Each aluminum main reservoir shall be designed and fabricated in 
accordance with the ``ASME Boiler and Pressure Vessel Code,'' section 
VIII, Division I (1971 edition), except as otherwise provided in this 
part.
    (3) An aluminum main reservoir shall be constructed to withstand at 
least five times its maximum working pressure or 800 p.s.i., whichever 
is greater.
    (4) Each aluminum main reservoir shall have at least two inspection 
openings to permit complete circumferential visual observation of the 
interior surface. On reservoirs less than 18 inches in diameter, the 
size of each inspection opening shall be at least that of 1\1/2\-inch 
threaded iron pipe, and on reservoirs 18 or more inches in diameter, the 
size of each opening shall be at least that of 2-inch threaded iron 
pipe.
    (b) The following publications, which contain the industry standards 
incorporated by reference in paragraph (a) of this section, may be 
obtained from the

[[Page 314]]

publishers and are also on file in the Office of Safety of the Federal 
Railroad Administration, Washington, DC 20590. Sections II and VIII of 
the ``ASME Boiler and Pressure Vessel Code'' (1971 edition) are 
published by the American Society of Mechanical Engineers, United 
Engineering Center, 345 East 47th Street, New York, New York 10017.



Sec. 229.53  Brake gauges.

    All mechanical gauges and all devices providing indication of air 
pressure electronically that are used by the engineer to aid in the 
control or braking of the train or locomotive shall be located so that 
they may be conveniently read from the engineer's usual position during 
operation of the locomotive. A gauge or device shall not be more than 
five percent or three pounds per square inch in error, whichever is 
less.

[66 FR 4192, Jan. 17, 2001]



Sec. 229.55  Piston travel.

    (a) Brake cylinder piston travel shall be sufficient to provide 
brake shoe clearance when the brakes are released.
    (b) When the brakes are applied on a standing locomotive, the brake 
cylinder piston travel may not exceed 1\1/2\ inches less than the total 
possible piston travel. The total possible piston travel for each 
locomotive shall be entered on Form FRA F 6180-49A.
    (c) The minimum brake cylinder pressure shall be 30 pounds per 
square inch.



Sec. 229.57  Foundation brake gear.

    A lever, rod, brake beam, hanger, or pin may not be worn through 
more than 30 percent of its cross-sectional area, cracked, broken, or 
missing. All pins shall be secured in place with cotters, split keys, or 
nuts. Brake shoes shall be fastened with a brake shoe key and aligned in 
relation to the wheel to prevent localized thermal stress in the edge of 
the rim or the flange.



Sec. 229.59  Leakage.

    (a) Leakage from the main air reservoir and related piping may not 
exceed an average of 3 pounds per square inch per minute for 3 minutes 
after the pressure has been reduced to 60 percent of the maximum 
pressure.
    (b) Brake pipe leakage may not exceed 5 pounds per square inch per 
minute.
    (c) With a full service application at maximum brake pipe pressure 
and with communication to the brake cylinders closed, the brakes shall 
remain applied at least 5 minutes.
    (d) Leakage from control air reservoir, related piping, and 
pneumatically operated controls may not exceed an average of 3 pounds 
per square inch per minute for 3 minutes.

                              Draft System



Sec. 229.61  Draft system.

    (a) A coupler may not have any of the following conditions:
    (1) A distance between the guard arm and the knuckle nose of more 
than 5\1/8\ inches on standard type couplers (MCB contour 1904) or more 
than 5\5/16\ inches on D&E couplers.
    (2) A crack or break in the side wall or pin bearing bosses outside 
of the shaded areas shown in Figure 1 or in the pulling face of the 
knuckle.

[[Page 315]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.004

    (3) A coupler assembly without anti-creep protection.
    (4) Free slack in the coupler or drawbar not absorbed by friction 
devices or draft gears that exceeds one-half inches.
    (5) A broken or cracked coupler carrier.
    (6) A broken or cracked yoke.
    (7) A broken draft gear.
    (b) A device shall be provided under the lower end of all drawbar 
pins and articulated connection pins to prevent the pin from falling out 
of place in case of breakage.

                            Suspension System



Sec. 229.63  Lateral motion.

    (a) Except as provided in paragraph (b), the total uncontrolled 
lateral motion between the hubs of the wheels and boxes, between boxes 
and pedestals or both, on any pair of wheels may not exceed 1 inch on 
non-powered axles and friction bearing powered axles, or \3/4\ inch on 
all other powered axles.
    (b) The total uncontrolled lateral motion may not exceed 1\1/4\ 
inches on the center axle of three-axle trucks.



Sec. 229.64  Plain bearings.

    A plain bearing box shall contain visible free oil and may not be 
cracked to the extent that it will leak oil.



Sec. 229.65  Spring rigging.

    (a) Protective construction or safety hangers shall be provided to 
prevent spring planks, spring seats or bolsters from dropping to track 
structure in event of a hanger or spring failure.
    (b) An elliptical spring may not have its top (long) leaf broken or 
any other three leaves broken, except when that spring is part of a nest 
of three or more springs and none of the other springs in the nest has 
its top leaf or any other three leaves broken. An outer coil spring or 
saddle may not be broken. An equalizer, hanger, bolt, gib, or pin may 
not be cracked or broken. A coil spring may not be fully compressed when 
the locomotive is at rest.
    (c) A shock absorber may not be broken or leaking clearly formed 
droplets of oil or other fluid.



Sec. 229.67  Trucks.

    (a) The male center plate shall extend into the female center plate 
at least \3/4\ inch. On trucks constructed to transmit tractive effort 
through the center plate or center pin, the male center plate shall 
extend into the female center plate at least 1\1/2\ inches. Maximum lost 
motion in a center plate assemblage may not exceed \1/2\ inch.
    (b) Each locomotive shall have a device or securing arrangement to 
prevent the truck and locomotive body from separating in case of 
derailment.
    (c) A truck may not have a loose tie bar or a cracked or broken 
center casting, motor suspension lug, equalizer, hanger, gib or pin. A 
truck frame may not be broken or have a crack in a stress area that may 
affect its structural integrity.

[[Page 316]]



Sec. 229.69  Side bearings.

    (a) Friction side bearings with springs designed to carry weight may 
not have more than 25 percent of the springs in any one nest broken.
    (b) Friction side bearings may not be run in contact unless designed 
to carry weight. Maximum clearance of side bearings may not exceed one-
fourth inch on each side or a total of one-half inch on both sides, 
except where more than two side bearings are used under the same rigid 
superstructure. The clearance on one pair of side bearings under the 
same rigid superstructure shall not exceed one-fourth inch on each side 
or a total of one-half inch on both sides; the other side bearings under 
the same rigid superstructure may have one-half inch clearance on each 
side or a total of 1 inch on both sides. These clearances apply where 
the spread of the side bearings is 50 inches or less; where the spread 
is greater, the side bearing clearance may only be increased 
proportionately.



Sec. 229.71  Clearance above top of rail.

    No part or appliance of a locomotive except the wheels, flexible 
nonmetallic sand pipe extension tips, and trip cock arms may be less 
than 2\1/2\ inches above the top of rail.



Sec. 229.73  Wheel sets.

    (a) The variation in the circumference of wheels on the same axle 
may not exceed \1/4\ inch (two tape sizes) when applied or turned.
    (b) The maximum variation in the diameter between any two wheel sets 
in a three-powered-axle truck may not exceed \3/4\ inch, except that 
when shims are used at the journal box springs to compensate for wheel 
diameter variation, the maximum variation may not exceed 1\1/4\ inch. 
The maximum variation in the diameter between any two wheel sets on 
different trucks on a locomotive that has three-powered-axle trucks may 
not exceed 1\1/4\ inch. The diameter of a wheel set is the average 
diameter of the two wheels on an axle.
    (c) On standard gauge locomotives, the distance between the inside 
gauge of the flanges on non-wide flange wheels may not be less than 53 
inches or more than 53\1/2\ inches. The distance between the inside 
gauge of the flanges on wide flange wheels may not be less than 53 
inches or more than 53\1/4\ inches.
    (d) The distance back to back of flanges of wheels mounted on the 
same axle shall not vary more than \1/4\ inch.



Sec. 229.75  Wheels and tire defects.

    Wheels and tires may not have any of the following conditions:
    (a) A single flat spot that is 2\1/2\ inches or more in length, or 
two adjoining spots that are each two or more inches in length.
    (b) A gouge or chip in the flange that is more than 1\1/2\ inches in 
length and \1/2\ inch in width.
    (c) A broken rim, if the tread, measured from the flange at a point 
five-eighths inch above the tread, is less than 3\3/4\ inches in width.
    (d) A shelled-out spot 2\1/2\ inches or more in length, or two 
adjoining spots that are each two or more inches in length.
    (e) A seam running lengthwise that is within 3\3/4\ inches of the 
flange.
    (f) A flange worn to a \7/8\ inch thickness or less, gauged at a 
point \3/8\ inch above the tread.
    (g) A tread worn hollow \5/16\ inch or more on a locomotive in road 
service or \3/8\ inch or more on a locomotive in switching service.
    (h) A flange height of 1\1/2\ inches or more measured from tread to 
the top of the flange.
    (i) Tires less than 1\1/2\ inches thick.
    (j) Rims less than 1 inch thick on a locomotive in road service or 
less than \3/4\ inch on a locomotive in yard service.
    (k) A crack or break in the flange, tread, rim, plate, or hub.
    (l) A loose wheel or tire.
    (m) Fusion welding may not be used on tires or steel wheels of 
locomotives, except for the repair of flat spots and worn flanges on 
locomotives used exclusively in yard service. A wheel that has been 
welded is a welded wheel for the life of the wheel.

                            Electrical System



Sec. 229.77  Current collectors.

    (a) Pantographs shall be so arranged that they can be operated from 
the engineer's normal position in the cab. Pantographs that 
automatically rise when released shall have an automatic

[[Page 317]]

locking device to secure them in the down position.
    (b) Each pantograph operating on an overhead trolley wire shall have 
a device for locking and grounding it in the lowest position, that can 
be applied and released only from a position where the operator has a 
clear view of the pantograph and roof without mounting the roof.



Sec. 229.79  Third rail shoes.

    When locomotives are equipped with both third rail and overhead 
collectors, third-rail shoes shall be deenergized while in yards and at 
stations when current collection is exclusively from the overhead 
conductor.



Sec. 229.81  Emergency pole; shoe insulation.

    (a) Each locomotive equipped with a pantograph operating on an 
overhead trolley wire shall have an emergency pole suitable for 
operating the pantograph. Unless the entire pole can be safely handled, 
the part of the pole which can be safely handled shall be marked to so 
indicate. This pole shall be protected from moisture when not in use.
    (b) Each locomotive equipped with third-rail shoes shall have a 
device for insulating the current collecting apparatus from the third 
rail.



Sec. 229.83  Insulation or grounding of metal parts.

    All unguarded noncurrent-carrying metal parts subject to becoming 
charged shall be grounded or thoroughly insulated.



Sec. 229.85  Doors and cover plates marked ``Danger''.

    All doors and cover plates guarding high voltage equipment shall be 
marked ``Danger--High Voltage'' or with the word ``Danger'' and the 
normal voltage carried by the parts so protected.



Sec. 229.87  Hand-operated switches.

    All hand-operated switches carrying currents with a potential of 
more than 150 volts that may be operated while under load shall be 
covered and shall be operative from the outside of the cover. Means 
shall be provided to show whether the switches are open or closed. 
Switches that should not be operated while under load shall be legibly 
marked with the words ``must not be operated under load'' and the 
voltage carried.



Sec. 229.89  Jumpers; cable connections.

    (a) Jumpers and cable connections between locomotives shall be so 
located and guarded to provide sufficient vertical clearance. They may 
not hang with one end free.
    (b) Cable and jumper connections between locomotive may not have any 
of the following conditions:
    (1) Broken or badly chafed insulation.
    (2) Broken plugs, receptacles or terminals.
    (3) Broken or protruding strands of wire.



Sec. 229.91  Motors and generators.

    A motor or a generator may not have any of the following conditions:
    (a) Be shorted or grounded.
    (b) Throw solder excessively.
    (c) Show evidence of coming apart.
    (d) Have an overheated support bearing.
    (e) Have an excessive accumulation of oil.

                      Internal Combustion Equipment



Sec. 229.93  Safety cut-off device.

    The fuel line shall have a safety cut-off device that--
    (a) Is located adjacent to the fuel supply tank or in another safe 
location;
    (b) Closes automatically when tripped and can be reset without 
hazard; and
    (c) Can be hand operated from clearly marked locations, one inside 
the cab and one on each exterior side of the locomotive.



Sec. 229.95  Venting.

    Fuel tank vent pipes may not discharge on the roof nor on or between 
the rails.



Sec. 229.97  Grounding fuel tanks.

    Fuel tanks and related piping shall be electrically grounded.

[[Page 318]]



Sec. 229.99  Safety hangers.

    Drive shafts shall have safety hangers.



Sec. 229.101  Engines.

    (a) The temperature and pressure alarms, controls and related 
switches of internal combustion engines shall function properly.
    (b) Whenever an engine has been shut down due to mechanical or other 
problems, a distinctive warning notice giving reason for the shut-down 
shall be conspicuously attached near the engine starting control until 
repairs have been made.
    (c) Wheel slip/slide protection shall be provided on a locomotive 
with an engine displaying a warning notice whenever required by 
Sec. 229.115(b).

                            Steam Generators



Sec. 229.103  Safe working pressure; factor of safety.

    The safe working pressure for each steam generator shall be fixed by 
the chief mechanical officer of the carrier. The minimum factor of 
safety shall be four. The fixed safe working pressure shall be indicated 
on FRA Form F 6180-49A.



Sec. 229.105  Steam generator number.

    An identification number shall be marked on the steam generator's 
separator and that number entered on FRA Form F 6180-49A.



Sec. 229.107  Pressure gauge.

    (a) Each steam generator shall have an illuminated steam gauge that 
correctly indicates the pressure. The steam pressure gauge shall be 
graduated to not less than one and one-half times the allowed working 
pressure of the steam generator.
    (b) Each steam pressure gauge on a steam generator shall have a 
siphon that prevents steam from entering the gauge. The pipe connection 
shall directly enter the separator and shall be steam tight between the 
separator and the gauge.



Sec. 229.109  Safety valves.

    Every steam generator shall be equipped with at least two safety 
valves that have a combined capacity to prevent an accumulation of 
pressure of more than five pounds per square inch above the allowed 
working pressure. The safety valves shall be independently connected to 
the separator and located as closely to the separator as possible 
without discharging inside of the generator compartment. The ends of the 
safety valve discharge lines shall be located or protected so that 
discharged steam does not create a hazard.



Sec. 229.111  Water-flow indicator.

    (a) Steam generators shall be equipped with an illuminated visual 
return water-flow indicator.
    (b) Steam generators shall be equipped with an operable test valve 
or other means of determining whether the steam generator is filled with 
water. The fill test valve may not discharge steam or hot water into the 
steam generator compartment.



Sec. 229.113  Warning notice.

    Whenever any steam generator has been shut down because of defects, 
a distinctive warning notice giving reasons for the shut-down shall be 
conspicuously attached near the steam generator starting controls until 
the necessary repairs have been made. The locomotive in which the steam 
generator displaying a warning notice is located may continue in service 
until the next periodic inspection.

                         Cabs and Cab Equipment



Sec. 229.115  Slip/slide alarms.

    (a) Except for MU locomotives, each locomotive used in road service 
shall be equipped with a device that provides an audible or visual alarm 
in the cab of either slipping or sliding wheels on powered axles under 
power. When two or more locomotives are coupled in multiple or remote 
control, the wheel slip/slide alarm of each locomotive shall be shown in 
the cab of the controlling locomotive.
    (b) Except as provided in Sec. 229.9, an equipped locomotive may not 
be dispatched in road service, or continue in road service following a 
daily inspection, unless the wheel slip/slide protective device of 
whatever type--

[[Page 319]]

    (1) Is functioning for each powered axle under power; and
    (2) Would function on each powered axle if it were under power.
    (c) Effective January 1, 1981, all new locomotives capable of being 
used in road service shall be equipped with a device that detects wheel 
slip/slide for each powered axle when it is under power. The device 
shall produce an audible or visual alarm in the cab.



Sec. 229.117  Speed indicators.

    (a) After December 31, 1980, each locomotive used as a controlling 
locomotive at speeds in excess of 20 miles per hour shall be equipped 
with a speed indicator which is--
    (1) Accurate within [plusmn]3 miles per hour of actual speed at 
speeds of 10 to 30 miles per hour and accurate within [plusmn]5 miles 
per hour at speeds above 30 miles per hour; and
    (2) Clearly readable from the engineer's normal position under all 
light conditions.
    (b) Each speed indicator required shall be tested as soon as 
possible after departure by means of speed test sections or equivalent 
procedures.



Sec. 229.119  Cabs, floors, and passageways.

    (a) Cab seats shall be securely mounted and braced. Cab doors shall 
be equipped with a secure and operable latching device.
    (b) Cab windows of the lead locomotive shall provide an undistorted 
view of the right-of-way for the crew from their normal position in the 
cab. (See also, Safety Glazing Standards, 49 CFR part 223, 44 FR 77348, 
Dec. 31, 1979.)
    (c) Floors of cabs, passageways, and compartments shall be kept free 
from oil, water, waste or any obstruction that creates a slipping, 
tripping or fire hazard. Floors shall be properly treated to provide 
secure footing.
    (d) The cab shall be provided with proper ventilation and with a 
heating arrangement that maintains a temperature of at least 50 degrees 
Fahrenheit 6 inches above the center of each seat in the cab.
    (e) Similar locomotives with open end platforms coupled in multiple 
control and used in road service shall have a means of safe passage 
between them; no passageway is required through the nose of car body 
locomotives. There shall be a continuous barrier across the full width 
of the end of a locomotive or a continuous barrier between locomotives.
    (f) Containers shall be provided for carrying fusees and torpedoes. 
A single container may be used if it has a partition to separate fusees 
from torpedoes. Torpedoes shall be kept in a closed metal container.



Sec. 229.121  Locomotive cab noise.

    (a) After August 31, 1980, the permissible exposure to a continuous 
noise in a locomotive cab shall not exceed an eight-hour time-weighted 
average of 90dB(A), with a doubling rate of 5dB(A) as indicated in the 
table. Continuous noise is any sound with a rise time of more than 35 
milliseconds to peak intensity and a duration of more than 500 
milliseconds to the time when the level is 20dB below the peak.

------------------------------------------------------------------------
                                                                 Sound
                 Duration permitted (hours)                      level
                                                                (dB(A))
------------------------------------------------------------------------
12..........................................................          87
8...........................................................          90
6...........................................................          92
4...........................................................          95
2...........................................................         100
1\1/2\......................................................         102
1...........................................................         105
\1/2\.......................................................         110
\1/4\ or less...............................................         115
------------------------------------------------------------------------

    (b) When the continuous noise exposure is composed of two or more 
periods of noise exposure of different levels, their combined effect 
shall be considered. Exposure to different levels for various periods of 
time shall be computed according to the following formula:

D=T1/L1+ T2/L2+. . . . 
    Tn/Ln

where:

D = noise dose.
T = the duration of exposure (in hours) at a given continuous noise 
level.
L = the limit (in hours) for the level present during the time T (from 
the table).
If the value of D exceeds 1, the exposure exceeds permissible levels.

    (c) Exposure to continuous noise shall not exceed 115dB(A).

[[Page 320]]

    (d) Noise measurements shall be made under typical operating 
conditions using a sound level meter conforming, at a minimum, to the 
requirements of ANSI S1.4-1971, Type 2, and set to an A-weighted slow 
response or with an audiodosimeter of equivalent accuracy and precision.
    (e) In conducting sound level measurements with a sound level meter, 
the microphone shall be oriented vertically and positioned approximately 
15 centimeters from and on axis with the crew member's ear. Measurements 
with an audiodosimeter shall be conducted in accordance with 
manufacturer's procedures as to microphone placement and orientation.



Sec. 229.123  Pilots, snowplows, end plates.

    After January 1, 1981, each lead locomotive shall be equipped with 
an end plate that extends across both rails, a pilot, or a snowplow. The 
minimum clearance above the rail of the pilot, snowplow or end plate 
shall be 3 inches, and the maximum clearance 6 inches.



Sec. 229.125  Headlights and auxiliary lights.

    (a) Each lead locomotive used in road service shall have a headlight 
that produces a peak intensity of at least 200,000 candela. If a 
locomotive or locomotive consist in road service is regularly required 
to run backward for any portion of its trip other than to pick up a 
detached portion of its train or to make terminal movements, it shall 
also have on its rear a headlight that produces at least 200,000 
candela. Each headlight shall be arranged to illuminate a person at 
least 800 feet ahead and in front of the headlight. For purposes of this 
section, a headlight shall be comprised of either one or two lamps.
    (1) If a locomotive is equipped with a single lamp headlight, the 
single lamp shall produce a peak intensity of at least 200,000 candela. 
The following meet the standard set forth in this paragraph (a)(1): a 
single PAR-56, 200-watt, 30-volt lamp; or a lamp of equivalent design 
and intensity.
    (2) If a locomotive is equipped with a dual-lamp headlight, a peak 
intensity of 200,000 candela shall be produced by the headlight based 
either on a single lamp capable of individually producing the required 
peak intensity or on the candela produced by the headlight with both 
lamps illuminated. If both lamps are needed to produce the required peak 
intensity, then both lamps in the headlight shall be operational. The 
following meet the standard set forth in this paragraph (a)(2): a single 
PAR-56, 200-watt, 30-volt lamp; two operative PAR-56, 350-watt, 75-volt 
lamps; or a lamp(s) of equivalent design and intensity.
    (b) Each locomotive or locomotive consist used in yard service shall 
have two headlights, one located on the front of the locomotive or 
locomotive consist and one on its rear. Each headlight shall produce at 
least 60,000 candela and shall be arranged to illuminate a person at 
least 300 feet ahead and in front of the headlight.
    (c) Headlights shall be provided with a device to dim the light.
    (d) Effective December 31, 1997, each lead locomotive operated at a 
speed greater than 20 miles per hour over one or more public highway-
rail crossings shall be equipped with operative auxiliary lights, in 
addition to the headlight required by paragraph (a) or (b) of this 
section. A locomotive equipped on March 6, 1996 with auxiliary lights in 
conformance with Sec. 229.133 shall be deemed to conform to this section 
until March 6, 2000. All locomotives in compliance with Sec. 229.133(c) 
shall be deemed to conform to this section. Auxiliary lights shall be 
composed as follows:
    (1) Two white auxiliary lights shall be placed at the front of the 
locomotive to form a triangle with the headlight.
    (i) The auxiliary lights shall be at least 36 inches above the top 
of the rail, except on MU locomotives and control cab locomotives where 
such placement would compromise the integrity of the car body or be 
otherwise impractical. Auxiliary lights on such MU locomotives and 
control cab locomotives shall be at least 24 inches above the top of the 
rail.
    (ii) The auxiliary lights shall be spaced at least 36 inches apart 
if the vertical distance from the headlight to the horizontal axis of 
the auxiliary lights is 60 inches or more.

[[Page 321]]

    (iii) The auxiliary lights shall be spaced at least 60 inches apart 
if the vertical distance from the headlight to the horizontal axis of 
the auxiliary lights is less than 60 inches.
    (2) Each auxiliary light shall produce a peak intensity of at least 
200,000 candela or shall produce at least 3,000 candela at an angle of 
7.5 degrees and 400 candela at an angle of 20 degrees from the 
centerline of the locomotive when the light is aimed parallel to the 
tracks. Any of the following meet the standard set forth in this 
paragraph (d)(2): a PAR-56, 200-watt, 30-volt lamp; a PAR-56, 350-watt, 
75-volt lamp; or a lamp of equivalent design and intensity.
    (3) The auxiliary lights shall be focused horizontally within 15 
degrees of the longitudinal centerline of the locomotive.
    (e) Auxiliary lights required by paragraph (d) of this section may 
be arranged
    (1) to burn steadily or
    (2) flash on approach to a crossing.
    If the auxiliary lights are arranged to flash;
    (i) they shall flash alternately at a rate of at least 40 flashes 
per minute and at most 180 flashes per minute,
    (ii) the railroad's operating rules shall set a standard procedure 
for use of flashing lights at public highway-rail grade crossings, and
    (iii) the flashing feature may be activated automatically, but shall 
be capable of manual activation and deactivation by the locomotive 
engineer.
    (f) Auxiliary lights required by paragraph (d) of this section shall 
be continuously illuminated immediately prior to and during movement of 
the locomotive, except as provided by railroad operating rules, 
timetable or special instructions, unless such exception is disapproved 
by FRA. A railroad may except use of auxiliary lights at a specific 
public highway-rail grade crossing by designating that exception in the 
railroad's operating rules, timetable, or a special order. Any exception 
from use of auxiliary lights at a specific public grade crossing can be 
disapproved for a stated cause by FRA's Associate Administrator for 
Safety or any one of FRA's Regional Administrators, after investigation 
by FRA and opportunity for response from the railroad.
    (g) Movement of locomotives with defective auxiliary lights.
    (1) A lead locomotive with only one failed auxiliary light must be 
repaired or switched to a trailing position before departure from the 
place where an initial terminal inspection is required for that train.
    (2) A locomotive with only one auxiliary light that has failed after 
departure from an initial terminal, must be repaired not later than the 
next calendar inspection required by Sec. 229.21.
    (3) A lead locomotive with two failed auxiliary lights may only 
proceed to the next place where repairs can be made. This movement must 
be consistent with Sec. 229.9.
    (h) Any locomotive subject to Part 229, that was built before 
December 31, 1948, and that is not used regularly in commuter or 
intercity passenger service, shall be considered historic equipment and 
excepted from the requirements of paragraphs (d) through (h) of this 
section.

[45 FR 21109, Mar. 31, 1980, as amended at 61 FR 8887, Mar. 6, 1996; 68 
FR 49717, Aug. 19, 2003]



Sec. 229.127  Cab lights.

    (a) Each locomotive shall have cab lights which will provide 
sufficient illumination for the control instruments, meters, and gauges 
to enable the engine crew to make accurate readings from their normal 
positions in the cab. These lights shall be located, constructed, and 
maintained so that light shines only on those parts requiring 
illumination and does not interfere with the crew's vision of the track 
and signals. Each controlling locomotive shall also have a conveniently 
located light that can be readily turned on and off by the persons 
operating the locomotive and that provides sufficient illumination for 
them to read train orders and timetables.
    (b) Cab passageways and compartments shall have adequate 
illumination.



Sec. 229.129  Audible warning device.

    (a) After August 31, 1980, each lead locomotive shall be provided 
with an audible warning device that produces a

[[Page 322]]

minimum sound level of 96db(A) at 100 feet forward of the locomotive in 
its direction of travel. The device shall be arranged so that it can be 
conveniently operated from the engineer's normal position in the cab.
    (b) Measurement of the sound level shall be made using a sound level 
meter conforming, at a minimum, to the requirements of ANSI S1.4-1971, 
Type 2, and set to an A-weighted slow response. While the locomotive is 
on level tangent track, the microphone shall be positioned 4 feet above 
the ground at the center line of the track, and shall be oriented with 
respect to the sound source in accordance with the manufacturer's 
recommendations.
    (c) A 4dB(A) measurement tolerance is allowable for a given 
measurement.



Sec. 229.131  Sanders.

    Except for MU locomotives, each locomotive shall be equipped with 
operable sanders that deposit sand on each rail in front of the first 
power operated wheel set in the direction of movement.



Sec. 229.133  Interim locomotive conspicuity measures--auxiliary external lights.

    (a) A locomotive at the head of a train or other movement is 
authorized to be equipped with auxiliary external lights, additional to 
the headlight required by Sec. 229.125, for the purpose of improved 
conspicuity. A locomotive that is equipped with auxiliary external 
lights in conformance with the specifications or performance standards 
set forth in paragraph (b) of this section on the date of issuance of a 
final rule that requires additional or other external lights on 
locomotives for improved conspicuity, as required by section 202(u) of 
the Federal Railroad Safety Act of 1970, shall be deemed to conform to 
the requirements of the final rule for four years following the date of 
issuance of that final rule.
    (b) Each qualifying arrangement of auxiliary external lights shall 
conform to one of the following descriptions:
    (1) Ditch lights. (i) Ditch lights shall consist of two white 
lights, each producing a steady beam of at least 200,000 candela, placed 
at the front of the locomotive, at least 36 inches above the top of the 
rail.
    (ii) Ditch lights shall be spaced at least 36 inches apart if the 
vertical distance from the headlight to the horizontal axis of the ditch 
lights is 60 inches or more.
    (iii) Ditch lights shall be spaced at least 60 inches apart if the 
vertical distance from the headlight to the horizontal axis of the ditch 
lights is less than 60 inches.
    (iv) Ditch lights shall be focused horizontally within 45 degrees of 
the longitudinal centerline of the locomotive.
    (2) Strobe lights. (i) Strobe lights shall consist of two white 
stroboscopic lights, each with ``effective intensity,'' as defined by 
the Illuminating Engineering Society's Guide for Calculating the 
Effective Intensity of Flashing Signal Lights (November 1964), of at 
least 500 candela.
    (ii) The flash rate of strobe lights shall be at least 40 flashes 
per minute and at most 180 flashes per minute.
    (iii) Strobe lights shall be placed at the front of the locomotive, 
at least 48 inches apart, and at least 36 inches above the top of the 
rail.
    (3) Crossing lights. (i) Crossing lights shall consist of two white 
lights, placed at the front of the locomotive, at least 36 inches above 
the top of the rail.
    (ii) Crossing lights shall be spaced at least 36 inches apart if the 
vertical distance from the headlight to the horizontal axis of the ditch 
lights is 60 inches or more.
    (iii) Crossing lights shall be spaced at least 60 inches apart if 
the vertical distance from the headlight to the horizontal axis of the 
ditch lights is less than 60 inches.
    (iv) Each crossing light shall produce at least 200,000 candela, 
either steadily burning or alternately flashing.
    (v) The flash rate of crossing lights shall be at least 40 flashes 
per minute and at most 180 flashes per minute.
    (vi) Crossing lights shall be focused horizontally within 15 degrees 
of the longitudinal centerline of the locomotive.
    (4) Oscillating light. (i) An oscillating light shall consist of:
    (A) One steadily burning white light producing at least 200,000 
candela in a

[[Page 323]]

moving beam that depicts a circle or a horizontal figure ``8'' to the 
front, about the longitudinal centerline of the locomotive; or
    (B) Two or more white lights producing at least 200,000 candela 
each, at one location on the front of the locomotive, that flash 
alternately with beams within five degrees horizontally to either side 
of the longitudinal centerline of the locomotive.
    (ii) An oscillating light may incorporate a device that 
automatically extinguishes the white light if display of a light of 
another color is required to protect the safety of railroad operations.
    (c)(1) Any lead locomotive equipped with oscillating lights as 
described in paragraph (b)(4) that were ordered for installation on that 
locomotive prior to January 1, 1996, is considered in compliance with 
Sec. 229.125(d) (1) through (3).
    (2) Any lead locomotive equipped with strobe lights as described in 
paragraph (b)(2) and operated at speeds no greater than 40 miles per 
hour, is considered in compliance with Sec. 229.125(d) (1) through (3) 
until the locomotive is retired or rebuilt, whichever comes first.
    (3) Any lead locomotive equipped with two white auxiliary lights 
spaced at least 44 inches apart on at least one axis which was equipped 
with these auxiliary lights before May 30, 1994, will be considered in 
compliance with Sec. 229.125(d) (1) through (3) until the locomotive is 
retired or rebuilt, whichever comes first.

[58 FR 6902, Feb. 3, 1993, as amended at 59 FR 24963, May 13, 1994; 59 
FR 39705, Aug. 4, 1994; 61 FR 8887, Mar. 6, 1996]



Sec. 229.135  Event recorders.

    (a) Duty to equip. Effective May 5, 1995, and except as provided in 
paragraph (b) of this section, any train operated faster than 30 miles 
per hour shall have an in-service event recorder in the lead locomotive. 
The presence of the event recorder shall be noted on Form FRA F6180-49A, 
under the REMARKS section, except that an event recorder designed to 
allow the locomotive to assume the lead position only if the recorder is 
properly functioning is not required to have its presence noted on Form 
FRA F6180-49A. For the purpose of this section, ``train'' includes a 
locomotive or group of locomotives with or without cars, and ``lead 
locomotive'' means the locomotive from whose cab the crew is operating 
the train and, when cab control locomotives and/or MU locomotives are 
coupled together, is the first locomotive proceeding in the direction of 
movement. The duty to equip the lead locomotive may be met with an event 
recorder located elsewhere than the lead locomotive provided that such 
event recorder monitors and records the required data as though it were 
located in the lead locomotive.
    (b) Response to defective equipment. A locomotive on which the event 
recorder has been taken out of service as provided in paragraph (c) of 
this section may remain as the lead locomotive only until the next 
calendar-day inspection. A locomotive with an inoperative event recorder 
is not deemed to be in improper condition, unsafe to operate, or a non-
complying locomotive under Secs. 229.7 and 229.9, and notwithstanding 
any other requirements in this chapter, inspection, maintenance, and 
testing of event recorders is limited to the requirements set forth in 
Sec. 229.25(e).
    (c) Removal from service. A railroad may remove an event recorder 
from service and, if a railroad knows that an event recorder is not 
monitoring or recording the data specified in Sec. 229.5(g), shall 
remove the event recorder from service. When a railroad removes an event 
recorder from service, a qualified person shall cause to be recorded the 
date the device was removed from service on Form FRA F6180-49A, under 
the REMARKS section. An event recorder designed to allow the locomotive 
to assume the lead position only if the recorder is properly functioning 
is not required to have its removal from service noted on Form FRA 
F6180-49A.
    (d) Preserving accident data. For the purposes of this section, the 
term ``event recorder'' includes all locomotive-mounted recording 
devices designed to record information concerning the functioning of a 
locomotive or train regardless of whether the device meets the 
definition of ``event recorder'' in Sec. 229.5.

[[Page 324]]

    (1) Accidents required to be reported to the Federal Railroad 
Administration. If any locomotive equipped with an event recorder is 
involved in an accident that is required to be reported to FRA, the 
railroad using the locomotive shall, to the extent possible, and to the 
extent consistent with the safety of life and property, preserve the 
data recorded by the device for analysis by FRA. This preservation 
requirement permits the railroad to extract and analyze such data; 
provided the original or a first-order accurate copy of the data shall 
be retained in secure custody and shall not be utilized for analysis or 
any other purpose except by direction of FRA or the National 
Transportation Safety Board. This preservation requirement shall expire 
30 days after the date of the accident unless FRA or the Board notifies 
the railroad in writing that the data are desired for analysis.
    (2) Relationship to other laws. Nothing in this section is intended 
to alter the legal authority of law enforcement officials investigating 
potential violation(s) of State criminal law(s) and nothing in this 
chapter is intended to alter in any way the priority of National 
Transportation Safety Board investigations under 49 U.S.C. 1131 and 
1134, nor the authority of the Secretary of Transportation to 
investigate railroad accidents under 49 U.S.C. 5121, 5122, 20107, 20111, 
20112, 20505, 20702, 20703, and 20902.
    (e) Disabling event recorders. Except as provided in paragraph (c) 
of this section, any individual who willfully disables an event recorder 
is subject to civil penalty and to disqualification from performing 
safety-sensitive functions on a railroad as provided in Sec. 218.55 of 
this chapter and any individual who tampers with or alters the data 
recorded by such a device is subject to a civil penalty as provided in 
appendix B of this part and to disqualification from performing safety-
sensitive functions on a railroad if found unfit for such duties under 
the procedures in 49 CFR part 209.

[58 FR 36614, July 8, 1993, as amended at 60 FR 27905, May 26, 1995]



Sec. 229.137  Sanitation, general requirements.

    (a) Sanitation compartment. Except as provided in paragraph (b) of 
this section, all lead locomotives in use shall be equipped with a 
sanitation compartment. Each sanitation compartment shall be:
    (1) Adequately ventilated;
    (2) Equipped with a door that:
    (i) Closes, and
    (ii) Possesses a modesty lock by [18 months after publication of the 
final rule];
    (3) Equipped with a toilet facility, as defined in this part;
    (4) Equipped with a washing system, as defined in this part, unless 
the railroad otherwise provides the washing system to employees upon 
reporting for duty or occupying the cab for duty, or where the 
locomotive is equipped with a stationary sink that is located outside of 
the sanitation compartment;
    (5) Equipped with toilet paper in sufficient quantity to meet 
employee needs, unless the railroad otherwise provides toilet paper to 
employees upon reporting for duty or occupying the cab for duty; and
    (6) Equipped with a trash receptacle, unless the railroad otherwise 
provides portable trash receptacles to employees upon reporting for duty 
or occupying the cab for duty.
    (b) Exceptions. (1) Paragraph (a) of this section shall not apply 
to:
    (i) Locomotives engaged in commuter service or other short-haul 
passenger service and commuter work trains on which employees have ready 
access to railroad-provided sanitation facilities outside of the 
locomotive or elsewhere on the train, that meet otherwise applicable 
sanitation standards, at frequent intervals during the course of their 
work shift;
    (ii) Locomotives engaged in switching service on which employees 
have ready access to railroad-provided sanitation facilities outside of 
the locomotive, that meet otherwise applicable sanitation standards, at 
frequent intervals during the course of their work shift;
    (iii) Locomotives engaged in transfer service on which employees 
have ready access to railroad-provided sanitation

[[Page 325]]

facilities outside of the locomotive, that meet otherwise applicable 
sanitation standards, at frequent intervals during the course of their 
work shift;
    (iv) Locomotives of Class III railroads engaged in operations other 
than switching service or transfer service, that are not equipped with a 
sanitation compartment as of June 3, 2002. Where an unequipped 
locomotive of a Class III railroad is engaged in operations other than 
switching or transfer service, employees shall have ready access to 
railroad-provided sanitation facilities outside of the locomotive that 
meet otherwise applicable sanitation standards, at frequent intervals 
during the course of their work shift, or the railroad shall arrange for 
enroute access to such facilities;
    (v) Locomotives of tourist, scenic, historic, or excursion railroad 
operations, which are otherwise covered by this part because they are 
not propelled by steam power and operate on the general railroad system 
of transportation, but on which employees have ready access to railroad-
provided sanitation facilities outside of the locomotive, that meet 
otherwise applicable sanitation standards, at frequent intervals during 
the course of their work shift; and
    (vi) Except as provided in Sec. 229.14 of this part, control cab 
locomotives designed for passenger occupancy and used in intercity push-
pull service that are not equipped with sanitation facilities, where 
employees have ready access to railroad-provided sanitation in other 
passenger cars on the train at frequent intervals during the course of 
their work shift.
    (2) Paragraph (a)(3) of this section shall not apply to:
    (i) Locomotives of a Class I railroad which, prior to [the effective 
date of this section], were equipped with a toilet facility in which 
human waste falls via gravity to a holding tank where it is stored and 
periodically emptied, which does not conform to the definition of toilet 
facility set forth in this section. For these locomotives, the 
requirements of this section pertaining to the type of toilet facilities 
required shall be effective as these toilets become defective or are 
replaced with conforming units, whichever occurs first. All other 
requirements set forth in this section shall apply to these locomotives 
as of June 3, 2002; and
    (ii) With respect to the locomotives of a Class I railroad which, 
prior to June 3, 2002, were equipped with a sanitation system other than 
the units addressed by paragraph (b)(2)(i) of this section, that 
contains and removes human waste by a method that does not conform with 
the definition of toilet facility as set forth in this section, the 
requirements of this section pertaining to the type of toilet facilities 
shall apply on locomotives in use on July 1, 2003. However, the Class I 
railroad subject to this exception shall not deliver locomotives with 
such sanitation systems to other railroads for use, in the lead 
position, during the time between June 3, 2002, and July 1, 2003. All 
other requirements set forth in this section shall apply to the 
locomotives of this Class I railroad as of June 3, 2002.
    (c) Defective, unsanitary toilet facility; prohibition in lead 
position. Except as provided in paragraphs (c)(1) through (5) of this 
section, if the railroad determines during the daily inspection required 
by Sec. 229.21 that a locomotive toilet facility is defective or is 
unsanitary, or both, the railroad shall not use the locomotive in the 
lead position. The railroad may continue to use a lead locomotive with a 
toilet facility that is defective or unsanitary as of the daily 
inspection only where all of the following conditions are met:
    (1) The unsanitary or defective condition is discovered at a 
location where there are no other suitable locomotives available for 
use, ie., where it is not possible to switch another locomotive into the 
lead position, or the location is not equipped to clean the sanitation 
compartment if unsanitary or repair the toilet facility if defective;
    (2) The locomotive, while noncompliant, did not pass through a 
location where it could have been cleaned if unsanitary, repaired if 
defective, or switched with another compliant locomotive, since its last 
daily inspection required by this part;
    (3) Upon reasonable request of a locomotive crewmember operating a 
locomotive with a defective or unsanitary toilet facility, the railroad 
arranges for

[[Page 326]]

access to a toilet facility outside the locomotive that meets otherwise 
applicable sanitation standards;
    (4) If the sanitation compartment is unsanitary, the sanitation 
compartment door shall be closed and adequate ventilation shall be 
provided in the cab so that it is habitable; and
    (5) The locomotive shall not continue in service in the lead 
position beyond a location where the defective or unsanitary condition 
can be corrected or replaced with another compliant locomotive, or the 
next daily inspection required by this part, whichever occurs first.
    (d) Defective, unsanitary toilet facility; use in trailing position. 
If the railroad determines during the daily inspection required by 
Sec. 229.21 that a locomotive toilet facility is defective or is 
unsanitary, or both, the railroad may use the locomotive in trailing 
position. If the railroad places the locomotive in trailing position, 
they shall not haul employees in the unit unless the sanitation 
compartment is made sanitary prior to occupancy. If the toilet facility 
is defective and the unit becomes occupied, the railroad shall clearly 
mark the defective toilet facility as unavailable for use.
    (e) Defective, sanitary toilet facility; use in switching, transfer 
service. If the railroad determines during the daily inspection required 
by Sec. 229.21 that a locomotive toilet facility is defective, but 
sanitary, the railroad may use the locomotive in switching service, as 
set forth in paragraph (b)(1)(ii) of this section, or in transfer 
service, as set forth in paragraph (b)(1)(iii) of this section for a 
period not to exceed 10 days. In this instance, the railroad shall 
clearly mark the defective toilet facility as unavailable for use. After 
expiration of the 10-day period, the locomotive shall be repaired or 
used in the trailing position.
    (f) Lack of toilet paper, washing system, trash receptacle. If the 
railroad determines during the daily inspection required by Sec. 229.21 
that the lead locomotive is not equipped with toilet paper in sufficient 
quantity to meet employee needs, or a washing system as required by 
paragraph (a)(4) of this section, or a trash receptacle as required by 
paragraph (a)(6) of this section, the locomotive shall be equipped with 
these items prior to departure.
    (g) Inadequate ventilation. If the railroad determines during the 
daily inspection required by Sec. 229.21 that the sanitation compartment 
of the lead locomotive in use is not adequately ventilated as required 
by paragraph (a)(1) of this section, the railroad shall repair the 
ventilation prior to departure, or place the locomotive in trailing 
position, in switching service as set forth in paragraph (b)(1)(ii) of 
this section, or in transfer service as set forth in paragraph 
(b)(1)(iii) of this section.
    (h) Door closure and modesty lock. If the railroad determines during 
the daily inspection required by Sec. 229.21 that the sanitation 
compartment on the lead locomotive is not equipped with a door that 
closes, as required by paragraph (a)(2)(i) of this section, the railroad 
shall repair the door prior to departure, or place the locomotive in 
trailing position, in switching service as set forth in paragraph 
(b)(1)(ii) of this section, or in transfer service as set forth in 
paragraph (b)(1)(iii) of this section. If the railroad determines during 
the daily inspection required by Sec. 229.21 that the modesty lock 
required by paragraph (a)(2)(ii) of this section is defective, the 
modesty lock shall be repaired pursuant to the requirements of 
Sec. 229.139(e).
    (i) Equipped units; retention and maintenance. Except where a 
railroad downgrades a locomotive to service in which it will never be 
occupied, where a locomotive is equipped with a toilet facility as of 
[the effective date of the final rule], the railroad shall retain and 
maintain the toilet facility in the locomotive consistent with the 
requirements of this part, including locomotives used in switching 
service pursuant to paragraph (b)(1)(ii) of this section, and in 
transfer service pursuant to paragraph (b)(1)(iii) of this section.
    (j) Newly manufactured units; in-cab facilities. All locomotives 
manufactured after June 3, 2002, except switching units built 
exclusively for switching service and locomotives built exclusively for 
commuter service, shall be equipped with a sanitation compartment 
accessible to cab employees without exiting to the out-of-doors for use. 
No railroad may use a locomotive built

[[Page 327]]

after June 3, 2002, that does not comply with this subsection.
    (k) Potable water. The railroad shall utilize potable water where 
the washing system includes the use of water.

[67 16050, Apr. 4, 2002]



Sec. 229.139  Sanitation, servicing requirements.

    (a) The sanitation compartment of each lead locomotive in use shall 
be sanitary.
    (b) All components required by Sec. 229.137(a) for the lead 
locomotive in use shall be present consistent with the requirements of 
this part, and shall operate as intended such that:
    (1) All mechanical systems shall function;
    (2) Water shall be present in sufficient quantity to permit 
flushing;
    (3) For those systems that utilize chemicals for treatment, the 
chemical (chlorine or other comparable oxidizing agent) used to treat 
waste must be present; and
    (4) No blockage is present that prevents waste from evacuating the 
bowl.
    (c) The sanitation compartment of each occupied locomotive used in 
switching service pursuant to Sec. 229.137(b)(1)(ii), in transfer 
service pursuant to Sec. 229.137(b)(1)(iii), or in a trailing position 
when the locomotive is occupied, shall be sanitary.
    (d) Where the railroad uses a locomotive pursuant to Sec. 229.137(e) 
in switching or transfer service with a defective toilet facility, such 
use shall not exceed 10 calendar days from the date on which the 
defective toilet facility became defective. The date on which the toilet 
facility becomes defective shall be entered on the daily inspection 
report.
    (e) Where it is determined that the modesty lock required by 
Sec. 229.137(a)(2) is defective, the railroad shall repair the modesty 
lock on or before the next 92-day inspection required by this part.

[67 16050, Apr. 4, 2002]



                     Subpart D--Design Requirements



Sec. 229.141  Body structure, MU locomotives.

    (a) MU locomotives built new after April 1, 1956 that are operated 
in trains having a total empty weight of 600,000 pounds or more shall 
have a body structure designed to meet or exceed the following minimum 
specifications:
    (1) The body structure shall resist a minimum static end load of 
800,000 pounds at the rear draft stops ahead of the bolster on the 
center line of draft, without developing any permanent deformation in 
any member of the body structure.
    (2) An anti-climbing arrangement shall be applied at each end that 
is designed so that coupled MU locomotives under full compression shall 
mate in a manner that will resist one locomotive from climbing the 
other. This arrangement shall resist a vertical load of 100,000 pounds 
without exceeding the yield point of its various parts or its 
attachments to the body structure.
    (3) The coupler carrier and its connections to the body structure 
shall be designed to resist a vertical downward thrust from the coupler 
shank of 100,000 pounds for any horizontal position of the coupler, 
without exceeding the yield points of the materials used. When yielding 
type of coupler carrier is used, an auxiliary arrangement shall be 
provided that complies with these requirements.
    (4) The outside end of each locomotive shall be provided with two 
main vertical members, one at each side of the diaphragm opening; each 
main member shall have an ultimate shear value of not less than 300,000 
pounds at a point even with the top of the underframe member to which it 
is attached. The attachment of these members at bottom shall be 
sufficient to develop their full shear value. If reinforcement is used 
to provide the shear value, the reinforcement shall have full value for 
a distance of 18 inches up from the underframe connection and then taper 
to a point approximately 30 inches above the underframe connection.
    (5) The strength of the means of locking the truck to the body shall 
be at least the equivalent of an ultimate shear value of 250,000 pounds.
    (b) MU locomotives built new after April 1, 1956 that are operated 
in trains having a total empty weight of less than 600,000 pounds shall 
have a body

[[Page 328]]

structure designed to meet or exceed the following minimum 
specifications:
    (1) The body structure shall resist a minimum static end load of 
400,000 pounds at the rear draft stops ahead of the bolster on the 
center line of draft, without developing any permanent deformation in 
any member of the body structure.
    (2) An anti-climbing arrangement shall be applied at each end that 
is designed so that coupled locomotives under full compression shall 
mate in a manner that will resist one locomotive from climbing the 
other. This arrangement shall resist a vertical load of 75,000 pounds 
without exceeding the yield point of its various parts or its 
attachments to the body structure.
    (3) The coupler carrier and its connections to the body structure 
shall be designed to resist a vertical downward thrust from the coupled 
shank of 75,000 pounds for any horizontal position of the coupler, 
without exceeding the yield points of the materials used. When a 
yielding type of coupler carrier is used, an auxiliary arrangement shall 
be provided that complies with these requirements.
    (4) The outside end of each MU locomotive shall be provided with two 
main vertical members, one at each side of the diaphragm opening; each 
main member shall have an ultimate shear value of not less than 200,000 
pounds at a point even with the top of the underframe member to which it 
is attached. The attachment of these members at bottom shall be 
sufficient to develop their full shear value, the reinforcement shall 
have full value for a distance of 18 inches up from the underframe 
connection and then taper to a point approximately 30 inches above the 
underframe connection.
    (5) The strength of the means of locking the truck to the body shall 
be at least the equivalent of an ultimate shear value of 250,000 pounds.

                Appendix A to Part 229--Form FRA 6180-49A

    Editorial Note: Appendix A, published at 45 FR 21118, Mar. 31, 1980, 
as part of the original document, is not carried in the CFR. Copies of 
Form FRA F6180-49A are available by contacting the Federal Railroad 
Administration, Office of Standards and Procedures, 400 7th St., SW., 
Washington, DC 20590.

         Appendix B To Part 229--Schedule of Civil Penalties\1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
229.7 Prohibited acts: Safety deficiencies not      $1,000-      $2,000-
 governed by specific regulations: To be              5,000        7,500
 assessed on relevant facts...................
229.9 Movement of noncomplying locomotives....        (\1\)        (\1\)
229.11 Locomotive identification..............        1,000        2,000
229.13 Control of locomotives.................        2,500        5,000
229.17 Accident reports.......................        2,500        5,000
229.19 Prior Waivers..........................        (\1\)        (\1\)
-----------------------------------------------
                     Subpart B--Inspection and tests
 
------------------------------------------------------------------------
229.21 Daily inspection:
    (a)(b):
        (1) Inspection overdue................        2,000        4,000
        (2) Inspection report not made,               1,000        2,000
         improperly executed, or not retained.
    (c) Inspection not performed by a                 1,000        2,000
     qualified person.........................
229.23 Periodic inspection General
    (a)(b):
        (1) Inspection overdue................        2,500        5,000
        (2) Inspection performed improperly or        2,500        5,000
         at a location where the underneath
         portion cannot be safely inspected...
    (c)(d):
        (1) Form missing......................        1,000        2,000
        (2) Form not properly displayed.......        1,000        2,000
        (3) Form improperly executed..........        1,000        2,000
    (e) Replace Form FRA F 6180-49A by April 2        1,000        2,000
    (f) Secondary record of the information           1,000        2,000
     reported on Form FRA F 6180.49A..........

[[Page 329]]

 
229.25
  (a) through (e)(4) Tests: Every periodic            2,500        5,000
   inspection.................................
  (e)(5) Ineffective maintenance..............        8,000       16,000
229.27 Annual tests...........................        2,500        5,000
229.29 Biennial tests.........................        2,500        5,000
229.31:
    (a) Biennial hydrostatic tests of main            2,500        5,000
     reservoirs...............................
    (b) Biennial hammer tests of main                 2,500        5,000
     reservoirs...............................
    (c) Drilled telltale holes in welded main         2,500        5,000
     reservoirs...............................
    (d) Biennial tests of aluminum main               2,500        5,000
     reservoirs...............................
229.33 Out-of-use credit......................        1,000        2,000
-----------------------------------------------
                     Subpart C--Safety Requirements
 
------------------------------------------------------------------------
229.41 Protection against personal injury.....        2,500        5,000
229.43 Exhaust and battery gases..............        2,500        5,000
229.45 General condition: To be assessed based  1,000-5,000  2,000-7,500
 on relevant facts............................
229.46 Brakes: General........................        2,500        5,000
229.47 Emergency brake valve..................        2,500        5,000
229.49 Main reservoir system:
    (a)(1) Main reservoir safety valve........        2,500        5,000
    (2) Pneumatically actuated control                2,500        5,000
     reservoir................................
    (b)(c) Main reservoir governors...........        2,500        5,000
229.51 Aluminum main reservoirs...............        2,500        5,000
229.53 Brake gauges...........................        2,500        5,000
229.55 Piston travel..........................        2,500        5,000
229.57 Foundation brake gear..................        2,500        5,000
229.59 Leakage................................        2,500        5,000
229.61 Draft system...........................        2,500        5,000
229.63 Lateral motion.........................        2,500        5,000
229.64 Plain bearing..........................        2,500        5,000
229.65 Spring rigging.........................        2,500        5,000
229.67 Trucks.................................        2,500        5,000
229.69 Side bearings..........................        2,500        5,000
229.71 Clearance above top of rail............        2,500        5,000
229.73 Wheel sets.............................        2,500        5,000
229.75 Wheel and tire defects:
    (a),(d) Slid flat or shelled spot(s):
        (1) One spot 2\1/2\ or more        2,500        5,000
         but less than 3 in length.
        (2) One spot 3 or more in          5,000        7,500
         length...............................
        (3) Two adjoining spots each of which         2,500        5,000
         is 2 or more in length but
         less than 2\1/2\ in length
        (4) Two adjoining spots each of which         5,000        7,500
         are at least 2 in length,
         if either spot is 2\1/2\
         or more in length....................
    (b) Gouge or chip in flange of:
        (1) more than 1\1/2\ but           2,500        5,000
         less than 1\5/8\ in
         length; and more than \1/2\ but less than \5/8\ in
         width................................
        (2) 1\5/8\ or more in              5,000        7,500
         length and \5/8\ or more
         in width.............................
    (c) Broken rim............................        5,000        7,500
    (e) Seam in tread.........................        2,500        5,000
    (f) Flange thickness of:
        (1) \7/8\ or less but more         2,500        5,000
         than \13/16\..............
        (2) \13/16\ or less........        5,000        7,500
    (g) Tread worn hollow.....................        2,500        5,000
    (h) Flange height of:
        (1) 1\1/2\ or greater but          2,500        5,000
         less than 1\5/8\..........
        (2) 1\5/8\ or more.........        5,000        7,000
    (i) Tire thickness........................        2,500        5,000
    (j) Rim thickness:
        (1) Less than 1 in road            2,500        5,000
         service and \3/4\ in yard
         service..............................
        (2) \15/16\ or less in road        5,000        7,500
         service and \11/16\ in
         yard service.........................
    (k) Crack of less than 1.......        5,000        7,500
        (1) Crack of less than 1...        2,500        5,000
        (2) Crack of 1 or more.....        5,000        7,500
        (3) Break.............................        5,000        7,500
    (l) Loose wheel or tire...................        5,000        7,500
    (m) Welded wheel or tire..................        5,000        7,500
229.77 Current collectors.....................        2,500        5,000
229.79 Third rail shoes and beams.............        2,000        4,000
229.81 Emergency pole; shoe insulation........        2,500        5,000
229.83 Insulation or grounding................        5,000        7,500
229.85 Door and cover plates marked ``Danger''        2,500        5,000
229.87 Hand operated switches.................        2,500        5,000
229.89 Jumpers; cable connections:
    (a) Jumpers and cable connections; located        2,500        5,000
     and guarded..............................

[[Page 330]]

 
    (b) Condition of jumpers and cable                2,500        5,000
     connections..............................
229.91 Motors and generators..................        2,500        5,000
229.93 Safety cut-off device..................        2,500        5,000
229.95 Venting................................        2,500        5,000
229.97 Grounding fuel tanks...................        2,500        5,000
229.99 Safety hangers.........................        2,500        5,000
229.101 Engines:
    (a) Temperature and pressure alarms,              2,500        5,000
     controls, and switches...................
    (b) Warning notice........................        2,500        5,000
    (c) Wheel slip/slide protection...........        2,500        5,000
229.103 Safe working pressure; factor of              2,500        5,000
 safety.......................................
229.105 Steam generator number................          500        1,000
229.107 Pressure gauge........................        2,500        5,000
229.109 Safety valves.........................        2,500        5,000
229.111 Water-flow indicator..................        2,500        5,000
229.113 Warning notice........................        2,500        5,000
229.115 Slip/slide alarms.....................        2,500        5,000
229.117 Speed indicators......................        2,500        5,000
229.119 Cabs, floors, and passageways:
    (a)(1) Cab set not securely mounted or            2,500        5,000
     braced...................................
        (2) Insecure or improper latching             2,500        5,000
         device...............................
    (b) Cab windows of lead locomotive........        2,500        5,000
    (c) Floors, passageways, and compartments.        2,500        5,000
    (d) Ventilation and heating arrangement...        2,500        5,000
    (e) Continuous barrier....................        2,500        5,000
    (f) Containers for fuses and torpedoes....        2,500        5,000
229.121 Locomotive cab noise..................        2,500        5,000
229.123 Pilots, snowplows, end plates.........        2,500        5,000
229.125
  (a) Headlights..............................        2,500        5,000
  (d) Auxiliary lights........................        2,500        5,000
229.127 Cab lights............................        2,500        5,000
229.129 Audible warning device................        2,500        5,000
229.131 Sanders...............................        1,000        2,000
229.135
  (a) Lead locomotive without in-service event        2,500        5,000
   recorder...................................
  (b) Improper response to out of service             2,500        5,000
   event recorder.............................
  (c) Unauthorized removal from service.......        2,500        5,000
  Failure to remove from service a recorder           2,500        5,000
   known to have failed.......................
  (d) Failure to preserve data or unauthorized        2,500        5,000
   extraction of data.........................
  (e) Tampering with device or data...........        2,500        7,500
-----------------------------------------------
                     Subpart D--Design Requirements
 
------------------------------------------------------------------------
229.141 Body structure, MU locomotives........        2,500        5,000
229.137 Sanitation, general:
    (a) Sanitation compartment in lead unit,         $5,000      $10,000
     complete failure to provide required
     items....................................
        (1) Ventilation.......................        2,500        5,000
        (2) Door missing......................        2,000        4,000
        (2)(i) Door doesn't close.............        1,000        2,000
        (2)(ii) No modesty lock...............        1,000        2,000
        (3) Not equipped with toilet in lead..        5,000       10,000
        (4) Not equipped with washing system..        1,000        2,000
        (5) Lack of paper.....................        1,000        2,000
        (6) Lack of trash receptacle..........        1,000        2,000
    (b) Exceptions:
        (1)(i) Commuter service, failure to           2,500        5,000
         meet conditions of exception.........
        (1)(ii) Switching service, failure to         2,500        5,000
         meet conditions of exception.........
        (1)(iii) Transfer service, failure to         2,500        5,000
         meet conditions of exception.........
        (1)(iv) Class III, failure to meet            2,500        5,000
         conditions of exception..............
        (1)(v) Tourist, failure to meet               2,500        5,000
         conditions of exception..............
        (1)(vi) Control cab locomotive,               2,500        5,000
         failure to meet conditions of
         exception............................
        (2) Noncompliant toilet...............        5,000       10,000
    (c) Defective/unsanitary toilet in lead           2,500        5,000
     unit.....................................
        (1-5) Failure to meet conditions of           2,500        5,000
         exception............................
    (d) Defective/unsanitary unit; failure to         2,500        5,000
     meet conditions for trailing position....
    (e) Defective/sanitary unit; failure to           2,500        5,000
     meet conditions for switching/transfer
     service..................................
    (f) Paper, washing, trash holder; failure         2,500        5,000
     to equip prior to departure..............
    (g) Inadequate ventilation; failure to            2,500        5,000
     repair or move prior to departure........
    (h) Door closure/modesty lock; failure to         1,000        2,000
     repair or move...........................
    (i) Failure to retain/maintain of equipped        2,500        5,000
     units....................................
    (j) Failure to equip new units/in-cab             2,500        5,000
     facility.................................
    (k) Failure to provide potable water......        2,500        5,000

[[Page 331]]

 
229.139 Servicing requirements:
    (a) Lead occupied unit not sanitary.......        2,500        5,000
    (b) Components not present/operating......        2,500        5,000
    (c) Occupied unit in switching, transfer          2,500        5,000
     service, in trailing position not
     sanitary.................................
    (d) Defective unit used more than 10 days.        2,500        5,000
    (e) Failure to repair defective modesty           1,000        2,000
     lock.....................................
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. Generally, when two or more violations of these regulations
  are discovered with respect to a single locomotive that is used by a
  railroad, the appropriate penalties set forth above are aggregated up
  to a maximum of $10,000 per day. However, a failure to perform, with
  respect to a particular locomotive, any of the inspections and tests
  required under subpart B of this part will be treated as a violation
  separate and distinct from, and in addition to, any substantive
  violative conditions found on that locomotive. Moreover, the
  Administrator reserves the right to assess a penalty of up to $22,000
  for any violation where circumstances warrant. See 49 CFR part 209,
  appendix A.
Failure to observe any condition for movement set forth in Sec.  229.9
  will deprive the railroad of the benefit of the movement-for-repair
  provision and make the railroad and any responsible individuals liable
  for penalty under the particular regulatory section(s) concerning the
  substantive defect(s) present on the locomotive at the time of
  movement. Failure to comply with Sec.  229.19 will result in the lapse
  of any affected waiver.


[53 FR 52931, Dec. 29, 1988, as amended at 58 FR 36615, July 8, 1993; 61 
FR 8888, Mar. 6, 1996; 63 FR 11622, Mar. 10, 199867 FR 16052, Apr. 4, 
2002]

    Appendix C to Part 229--FRA Locomotive Standards--Code of Defects

    Editorial Note: Appendix C, published at 45 FR 21121, Mar. 31, 1980, 
as part of the original document, is not carried in the CFR.



PART 230--STEAM LOCOMOTIVE INSPECTION AND MAINTENANCE STANDARDS--Table of Contents




                           Subpart A--General

Sec.
230.1 Purpose and scope.
230.2 Applicability.
230.3 Implementation.
230.4 Penalties.
230.5 Preemptive effect.
230.6 Waivers.
230.7 Responsibility for compliance.
230.8 Definitions.
230.9 Information collection.
230.10 [Reserved]

                     General Inspection Requirements

230.11 Repair of non-complying conditions.
230.12 Movement of non-complying steam locomotives.
230.13 Daily inspection.
230.14 Thirty-one (31) service day inspection.
230.15 Ninety-two (92) service day inspection.
230.16 Annual inspection.
230.17 One thousand four hundred seventy-two (1472) service day 
          inspection.

                       Recordkeeping Requirements

230.18 Service days.
230.19 Posting of FRA Form No. 1 and FRA Form No. 3.
230.20 Alteration and repair report for steam locomotive boilers.
230.21 Steam locomotive number change.
230.22 Accident reports.

                  Subpart B--Boilers and Appurtenances

230.23 Responsibility for general construction and safe working 
          pressure.

                            Allowable Stress

230.24 Maximum allowable stress.
230.25 Maximum allowable stress on stays and braces.

                          Strength of Materials

230.26 Tensile strength of shell plates.
230.27 Maximum shearing strength of rivets.
230.28 Higher shearing strength of rivets.

                          Inspection and Repair

230.29 Inspection and repair.
230.30 Lap-joint seam boilers.
230.31 Flues to be removed.
230.32 Time and method of inspection.
230.33 Welded repairs and alterations.
230.34 Riveted repairs and alterations.

                       Pressure Testing of Boilers

230.35 Pressure testing.
230.36 Hydrostatic testing of boilers.
230.37 Steam test following repairs or alterations.

                                Staybolts

230.38 Telltale holes.
230.39 Broken staybolts.
230.40 Time and method of staybolt testing.
230.41 Flexible staybolts with caps.

                              Steam Gauges

230.42 Location of gauges.
230.43 Gauge siphon.
230.44 Time of testing.

[[Page 332]]

230.45 Method of testing.
230.46 Badge plates.
230.47 Boiler number.

                          Safety Relief Valves

230.48 Number and capacity.
230.49 Setting of safety relief valves.
230.50 Time of testing.

                      Water Glasses and Gauge Cocks

230.51 Number and location.
230.52 Water glass valves.
230.53 Time of cleaning.
230.54 Testing and maintenance.
230.55 Tubular type water and lubricator glasses and shields.
230.56 Water glass lamps.

               Injectors, Feedwater Pumps, and Flue Plugs

230.57 Injectors and feedwater pumps.
230.58 Flue plugs.

                              Fusible Plugs

230.59 Fusible plugs.

                             Washing Boilers

230.60 Time of washing.
230.61 Arch tubes, water bar tubes, circulators and thermic siphons.

                               Steam Pipes

 230.62 Dry pipe.
230.63 Smoke box, steam pipes and pressure parts.

                               Steam Leaks

230.64 Leaks under lagging.
230.65 Steam blocking view of engine crew.

                Subpart C--Steam Locomotives and Tenders

230.66 Design, construction, and maintenance.
230.67 Responsibility for inspection and repairs.

                            Speed Indicators

230.68 Speed indicators.

                                Ash Pans

230.69 Ash pans.

                       Brake and Signal Equipment

230.70 Safe condition.
230.71 Orifice testing of compressors.
230.72 Testing main reservoirs.
230.73 Air gauges.
230.74 Time of cleaning.
230.75 Stenciling dates of tests and cleaning.
230.76 Piston travel.
230.77 Foundation brake gear.
230.78 Leakage.
230.79 Train signal system.

                Cabs, Warning Signals, Sanders and Lights

230.80 Cabs.
230.81 Cab aprons.
230.82 Fire doors.
230.83 Cylinder cocks.
230.84 Sanders.
230.85 Audible warning device.
230.86 Required illumination.
230.87 Cab lights.

                      Throttles and Reversing Gear

230.88 Throttles.
230.89 Reverse gear.

                       Draw Gear and Draft Systems

230.90 Draw gear between locomotive and tender.
230.91 Chafing irons.
230.92 Draw gear and draft systems.

                              Driving Gear

230.93 Pistons and piston rods.
230.94 Crossheads.
230.95 Guides.
230.96 Main, side, and valve motion rods.
230.97 Crank pins.

                              Running Gear

230.98 Driving, trailing, and engine truck axles.
230.99 Tender truck axles.
230.100 Defects in tender truck axles and journals.
230.101 Steam locomotive driving journal boxes.
230.102 Tender plain bearing journal boxes.
230.103 Tender roller bearing journal boxes.
230.104 Driving box shoes and wedges.
230.105 Lateral motion.

                  Trucks, Frames and Equalizing System

230.106 Steam locomotive frame.
230.107 Tender frame and body.
230.108 Steam locomotive leading and trailing trucks.
230.109 Tender trucks.
230.110 Pilots.
230.111 Spring rigging.

                            Wheels and Tires

230.112 Wheels and tires.
230.113 Wheels and tire defects.
230.114 Wheel centers.

                         Steam Locomotive Tanks

230.115 Feed water tanks.
230.116 Oil tanks.

Appendix A to Part 230--Inspection Requirements
Appendix B to Part 230--Diagrams and Drawings

[[Page 333]]

Appendix C to Part 230--FRA Inspection Forms
Appendix D to Part 230--Civil Penalty Schedule

    Authority: 49 U.S.C. 20103, 20701, 20702; 49 CFR 1.49.

    Source: 64 FR 62865, Nov. 17, 1999, unless otherwise noted.



                           Subpart A--General



Sec. 230.1  Purpose and scope.

    This part prescribes minimum Federal safety standards for all steam-
propelled locomotives operated on railroads to which this part applies. 
This part does not restrict a railroad from adopting and enforcing 
additional or more stringent requirements not inconsistent with this 
part.



Sec. 230.2  Applicability.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all railroads that operate steam locomotives.
    (b) This part does not apply to:
    (1) A railroad with track gage of less than 24 inches;
    (2) A railroad that operates exclusively freight trains and does so 
only on track inside an installation that is not part of the general 
system of transportation;
    (3) Rapid transit operations in an urban area that are not connected 
to the general system of transportation; or
    (4) A railroad that operates passenger trains and does so only on 
track inside an installation that is insular, i.e., its operations are 
limited to a separate enclave in such a way that there is no reasonable 
expectation that the safety of the public--except a business guest, a 
licensee of the railroad or an affiliated entity, or a trespasser--would 
be affected by the operation. An operation will not be considered 
insular if one or more of the following exists on its line:
    (i) A public highway-rail crossing that is in use;
    (ii) An at-grade rail crossing that is in use;
    (iii) A bridge over a public road or waters used for commercial 
navigation; or
    (iv) A common corridor with another railroad, i.e., its operations 
are conducted within 30 feet of those of any other railroad.
    (c) See appendix A of part 209 for a current statement of the FRA's 
policy on its exercise of jurisdiction.



Sec. 230.3  Implementation.

    Except as provided in paragraphs (a) through (c) of this section, 
the locomotive owner and/or operator shall perform a 1472 service day 
inspection that meets the requirements of Sec. 230.17 when the 
locomotive's flues would be required to be removed pursuant to 
Sec. 230.10, of the regulations in effect prior to January 18, 2000. 
(See 49 CFR parts 200-999, revised October 1, 1978) At the time the 
locomotive owner and/or operator completes this inspection, it must 
begin to comply with the rest of the provisions of this part. Up until 
such time, and except as provided in paragraphs (a) through (c) of this 
section, compliance with the regulations in effect prior to January 18, 
2000 (See 49 CFR parts 200-999, revised October 1, 1978) will constitute 
full compliance with this part. Any interested person may obtain the 
October 1, 1978 revision of 49 CFR part s 200-999 by contacting the 
Federal Railroad Administration, Office of Chief Counsel, 400 7th 
Street, SW, Washington, DC 20590.
    (a) One year after January 18, 2000. The following sections of this 
part must be complied with by January 18, 2001: Secs. 230.7, 230.51, 
230.57, 230.68, 230.70, 230.85, 230.87, 230.115, and 230.116.
    (b) Interim flue removal extensions. FRA will continue to consider 
requests for flue removal extensions under the provisions of Sec. 230.10 
of the regulations in effect prior to January 18, 2000 (See 49 CFR parts 
200-999, revised October 1, 1978) until January 18, 2002.
    (c) Petition for special consideration. The locomotive owner or 
operator may petition FRA for special consideration of this part's 
implementation with respect to any locomotive that has either fully or 
partially satisfied the requirements of Sec. 230.17 within the three (3) 
year period prior to September 25, 1998--provided the locomotive is in 
full

[[Page 334]]

compliance with Sec. 230.17 by the time the petition is actually 
filed.\1\
---------------------------------------------------------------------------

    \1\ Note: As an example, where a locomotive has received a proper 
boiler inspection after September 25, 1995 pursuant to Secs. 230.10 and 
230.11 of the regulations in effect prior to January 18, 2000 but has 
not had its FRA Form No. 4 updated, the locomotive owner or operator may 
update and verify the FRA Form No. 4 for that locomotive, and submit a 
timely petition that requests retroactive credit for the boiler 
inspection. (See 49 CFR parts 200-999, revised October 1, 1978.)
---------------------------------------------------------------------------

    (1) Petition process. Petitions must be filed by January 18, 2001 
and must be accompanied by all relevant documentation to be considered, 
including a FRA Form No. 4 (see appendix C of this part) that has been 
calculated in accordance with Sec. 230.17, and all records that 
demonstrate the number of days the locomotive has been in service. Based 
upon the documentation provided, FRA will calculate the number of 
``service days'' the locomotive has accrued and will notify the 
petitioner of the number of service days that remain in the locomotive's 
1472 service day cycle. Petitions should be sent to FRA by some form of 
registered mail to ensure a record of delivery. FRA will investigate 
these petitions and will respond to these petitions within one year of 
their receipt. FRA will send its response by some form of registered 
mail to ensure that a record of delivery is created. In its response, 
FRA may grant the petition or deny it. If FRA grants the petition, the 
entirety of the revised requirements will become effective upon receipt 
of FRA's response, unless FRA's response indicates otherwise. If FRA 
denies the petition, the rule will become effective as provided in the 
first paragraph of this section.
    (2) FRA silence. Anyone who does not receive a response within one 
year of the date they filed their petition, whether through 
administrative or postal error, must notify FRA that the response has 
not been received. The notification should be provided to FRA by some 
form of registered mail to ensure a record of delivery. Upon receipt of 
this notification, FRA will ensure that a response is either issued, or 
re-issued, as soon as possible. In the interim, however, any operator 
who is at the end of their inspection cycle under the rules in effect 
prior to January 18, 2000 (See 49 CFR parts 200-999, revised October 1, 
1978) will be allowed to remain in service without conducting the 
required inspection under Sec. 230.17 for an additional six months, or 
until they receive FRA's decision, whichever occurs first.



Sec. 230.4  Penalties.

    (a) Any person who violates any requirement of this part or causes 
the violation of any such requirement is subject to a civil penalty of 
at least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A of part 209 for a 
statement of agency civil penalty policy.
    (b) Any person who knowingly and willfully falsifies a record or 
report required by this part may be subject to criminal penalties under 
49 U.S.C. 21311.



Sec. 230.5  Preemptive effect.

    The Locomotive Boiler Inspection Act (49 U.S.C. 20701-20703) 
preempts all State laws or regulations concerning locomotive safety. 
Napier v. Atlantic Coast Line R.R., 272 U.S. 605 (1926). However, FRA 
believes Congress did not intend to preempt State laws or regulations 
concerning rail operations over which FRA does not exercise 
jurisdiction. Therefore, in issuing this part, it is FRA's intent that 
State laws or regulations applicable to those rail operations to which 
this part does not apply (i.e., insular tourist operations) not be 
preempted.



Sec. 230.6  Waivers.

    (a) A person subject to a requirement of this part may petition the 
Administrator of FRA for a waiver of compliance with such requirement. 
The filing of such a petition does not affect that person's 
responsibility for compliance

[[Page 335]]

with that requirement while the petition is being considered.
    (b) Each petition for waiver under this section must be filed in the 
manner and contain the information required by part 211 of this chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary. Where a waiver is granted, the 
Administrator publishes a notice containing the reasons for granting the 
waiver.
    (d) All waivers of every form and type from any requirement of any 
order or regulation implementing the Locomotive Boiler Inspection Act, 
36 Stat. 913, as amended, 49 U.S.C. 20702, applicable to one or more 
steam locomotives, shall lapse on January 18, 2000 unless a copy of the 
grant of waiver is filed for reassessment prior to that date with the 
Office of Safety, Federal Railroad Administration, 400 Seventh Street, 
Washington, DC 20590. FRA will review the waiver and notify the 
applicant whether the waiver has been continued.



Sec. 230.7  Responsibility for compliance.

    (a) The locomotive owner and/or operator is directly responsible for 
ensuring that all requirements of this part are satisfied, and is the 
entity primarily responsible for compliance with this part.
    (b) Although the duties imposed by this part are generally stated in 
terms of the duties of a railroad or a steam locomotive owner and/or 
operator, any person, including a contractor for a railroad, who 
performs any function covered by this part must perform that function in 
accordance with this part.
    (c) Chapter 207 of Title 49 of the United States Codes makes it 
unlawful for any railroad to use or permit to be used on its line any 
steam locomotive or tender unless the entire steam locomotive or tender 
and its parts and appurtenances are in proper condition and safe to 
operate in the service to which they are put, without unnecessary danger 
of personal injury and have been inspected and tested as required by 
this part.



Sec. 230.8  Definitions.

    As used in this part, the terms listed in this section have the 
following definitions:
    Administrator. The Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Alteration. Any change to the boiler which affects its pressure 
retention capability. Rating changes are considered alterations.
    ANSI. American National Standards Institute.
    API. American Petroleum Institute.
    ASME. American Society of Mechanical Engineers.
    Boiler surfaces. The boiler interior is all the space inside a 
boiler occupied by water or steam under pressure, and all associated 
surfaces inside that space exposed to that water and steam. The boiler 
exterior is the opposite surface of all components directly exposed to 
the boiler interior. This includes the fire side of the firebox sheets.
    Break. A fracture resulting in complete separation into parts.
    Code of original construction. The manufacturer's or industry code 
in effect when the boiler was constructed. If the exact code is not 
known, the closest contemporary code may be used provided it does not 
pre-date the construction date of the boiler.
    Crack. A fracture without complete separation into parts, except 
that castings with shrinkage cracks or hot tears that do not 
significantly diminish the strength of the member are not considered to 
be cracked.
    Dead locomotive. A locomotive unable to produce tractive effort.
    Fire. Anything that produces products of combustion that heat 
transferring components of the locomotive are exposed to.
    FRA. The Federal Railroad Administration.
    Locomotive operator. Person or entity which operates, but which does 
not necessarily own, one or more steam locomotives. This term means, for 
purposes of inspection and maintenance responsibility, the entity 
responsible for the day-to-day operation of the steam locomotive, or the 
delegate thereof. This entity may be a railroad or a person or persons 
who operate a

[[Page 336]]

steam locomotive under contract for a railroad.
    Locomotive owner. Person or entity which owns, but which does not 
necessarily operate, one or more steam locomotives that is operated on a 
railroad to which this part applies. For purposes of inspection and 
maintenance responsibility, this term includes that entity's delegate as 
well.
    MAWP. Maximum allowable working pressure as specified by the steam 
locomotive specification FRA Form No. 4. (See appendix C of this part.)
    NBIC. National Board Inspection Code published by the National Board 
of Boiler and Pressure Vessel Inspectors.
    NDE. Non-destructive Examination.
    NPS. Nominal Pipe Size.
    Person. An entity of any type covered under 1 U.S.C. 1, including 
but not limited to the following: a railroad; a manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor.
    Railroad. Any form of non-highway ground transportation that runs on 
rails or electromagnetic guideways and any entity providing such 
transportation, including commuter or other short-haul railroad 
passenger service in a metropolitan or suburban area and commuter 
railroad service that was operated by the Consolidated Rail Corporation 
on January 1, 1979; and high speed ground transportation systems that 
connect metropolitan areas, without regard to whether those systems use 
new technologies not associated with traditional railroads; but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    Renewal. Replacement in kind with a newly manufactured or 
remanufactured (restored to original tolerances) component. Materials 
shall be suitable for the service intended.
    Repair. Any work which results in a restoration in kind.
    Serious injury. An injury that results in the amputation of any 
appendage, the loss of sight in an eye, the fracture of a bone, or the 
confinement in a hospital for a period of more than 24 consecutive 
hours.
    Service day. Any calendar day that the boiler has steam pressure 
above atmospheric pressure with fire in the firebox. In the case of a 
fireless steam locomotive, any calendar day that the boiler has steam 
pressure above atmospheric pressure.
    Stayed portion of the boiler. That portion of the boiler designed to 
require support to retain internal pressure by the addition of strength 
members, such as staybolts, braces, diagonal stays, tubes, etc.
    Steam locomotive. A self-propelled unit of equipment powered by 
steam that is either designed or used for moving other equipment. This 
includes a self-propelled unit designed or used to carry freight and/or 
passenger traffic.
    Unstayed Portion of the Boiler. That portion of the boiler designed 
to be self-supported in retaining internal pressure without additional 
strength members such as staybolts, braces, diagonal stays, tubes, etc.
    Wastage. A reduction in the thickness of a mechanical component, 
such as a pipe or sheet.



Sec. 230.9  Information collection.

    (a) [Reserved]
    (b) The information collection requirements are found in the 
following sections: Secs. 230.3, 230.12 through 230.21, 230.33, 230.34, 
230.41, 230.46, 230.47, 230.75, 230.96, 230.98, and 230.116.



Sec. 230.10  [Reserved]

                     General Inspection Requirements



Sec. 230.11  Repair of non-complying conditions.

    The steam locomotive owner and/or operator shall repair any steam 
locomotive that fails to comply with the conditions of this part, and 
shall approve any such repairs made, before placing the locomotive back 
into service.

[[Page 337]]



Sec. 230.12  Movement of non-complying steam locomotives.

    (a) General limitations on movement. A steam locomotive with one or 
more non-complying conditions may be moved only as a lite steam 
locomotive or a steam locomotive in tow, except as provided in paragraph 
(b) of this section. Cars essential to the movement of the steam 
locomotive and tender(s), including tool cars and a bunk car, may 
accompany lite movements.
    (b) Conditions for movement. Prior to movement, the steam locomotive 
owner and/or operator shall determine that it is safe to move the 
locomotive, determine the maximum speed and other restrictions necessary 
for safely conducting the movement, and notify in writing the engineer 
in charge of the defective steam locomotive and, if towed, the engineer 
in charge of the towing locomotive consist, as well as all other crew 
members in the cabs, of the presence of the non-complying steam 
locomotive and the maximum speed and other movement restrictions. In 
addition, a tag bearing the words ``non-complying locomotive'' shall be 
securely attached to each defective steam locomotive and shall contain 
the following information:
    (1) The steam locomotive number;
    (2) The name of the inspecting entity;
    (3) The inspection location and date;
    (4) The nature of the defect;
    (5) Movement restrictions, if any;
    (6) The destination; and
    (7) The signature of the person making the determinations required 
by this paragraph (b).
    (c) Yard movements. A non-complying steam locomotive may be moved 
lite or dead within a yard at speeds not in excess of 10 miles per hour 
without meeting the requirements of paragraph (b) of this section if the 
movement is solely for the purpose of repair. The locomotive owner and/
or operator is responsible for ensuring that the movement may be safely 
made.
    (d) Non-complying conditions developed en route. The locomotive 
owner and/or operator may continue in use a steam locomotive that 
develops a non-complying condition en route until the next daily 
inspection or the nearest forward point where the repairs necessary to 
bring it into compliance can be made, whichever is earlier. Before 
continuing en route, the steam locomotive owner and/or operator shall 
determine that it is safe to move the steam locomotive, determine the 
maximum speed and other restrictions necessary for safely conducting the 
movement, and notify in writing the engineer in charge of the defective 
steam locomotive and, if towed, the engineer in charge of the towing 
steam locomotive consist, as well as all other crew members in the cabs, 
of the presence of the non-complying steam locomotive and the maximum 
speed and other movement restrictions.
    (e) Special notice for repair. Nothing in this section authorizes 
the movement of a steam locomotive subject to a Special Notice for 
Repair unless the movement is made in accordance with the restrictions 
contained in the Special Notice.



Sec. 230.13  Daily inspection.

    (a) General. An individual competent to conduct the inspection shall 
inspect each steam locomotive and its tender each day that they are 
offered for use to determine that they are safe and suitable for 
service. The daily inspection shall be conducted to comply with all 
sections of this part, and a daily inspection report filed, by an 
individual competent to conduct the inspection. See appendices A and B 
of this part.
    (b) Pre-departure. At the beginning of each day the steam locomotive 
is used, an individual competent to do so shall, together with the daily 
inspection required in paragraph (a) of this section, inspect the steam 
locomotive and its tender and appurtenances to ensure that they are safe 
and suitable for service, paying special attention to the following 
items:
    (1) Water glasses and gauge cocks;
    (2) Boiler feedwater delivery systems, such as injectors and 
feedwater pumps; and
    (3) Air compressors and governors, and the air brake system.
    (c) Inspection reports. The results of the daily inspection shall be 
entered on an FRA Form No. 2 (See appendix C of this part) which shall 
contain, at a minimum, the name of the railroad, the initials and number 
of the steam locomotive, the place, date and time of

[[Page 338]]

the inspection, the signature of the employee making the inspection, a 
description of the non-complying conditions disclosed by the inspection, 
conditions found in non-compliance during the day and repaired and the 
signature of the person who repaired the non-conforming conditions. This 
report shall be filed even if no non-complying conditions are detected. 
A competent individual shall sign the report, certifying that all non-
complying conditions were repaired before the steam locomotive is 
operated. This report shall be filed and retained for at least 92 days 
at the location designated by the steam locomotive owner and/or 
operator.



Sec. 230.14  Thirty-one (31) service day inspection.

    (a) General. An individual competent to conduct the inspection shall 
perform the 31 service day inspection after the steam locomotive has 
accrued 31 service days. This inspection shall consist of all 31 service 
day inspection items and all daily inspection items. See appendix A of 
this part. Days in service shall be counted, recorded and readily 
available for inspection when requested by an FRA inspector.
    (b) FRA notification. FRA Regional Administrators or their 
delegate(s) may require a steam locomotive owner or operator to provide 
FRA with timely notification before performing a 31 service day 
inspection. If the Regional Administrator or their delegate indicates 
their desire to be present for the 31 service day inspection, the steam 
locomotive owner and/or operator shall provide them a scheduled date and 
location for inspection. Once scheduled, the inspection must be 
performed at the time and place specified, unless the Regional 
Administrator and the steam locomotive owner and/or operator mutually 
agree to reschedule. If the Regional Administrator requests the 
inspection be performed on another date but the steam locomotive owner 
and/or operator and the Regional Administrator are unable to agree on a 
date for rescheduling, the inspection may be performed as scheduled.
    (c) Filing inspection reports. Within 10 days of conducting the 31 
service day inspection, the steam locomotive owner and/or operator shall 
file, for each steam locomotive inspected, a report of inspection (FRA 
Form No. 1), in the place where the steam locomotive is maintained and 
with the FRA Regional Administrator for that region. When the report of 
annual inspection (FRA Form No. 3), is filed, the FRA Form No. 1 does 
not have to be filed until the next 31 service day inspection. (See 
Appendix B of this part.)



Sec. 230.15  Ninety-two (92) service day inspection.

    (a) General. An individual competent to conduct the inspection shall 
perform the 92 service day inspection after the steam locomotive has 
accrued 92 ``service-days.'' This inspection shall include all daily, 
all 31 service day, and all 92 service day inspection items. See 
appendix A of this part. Days in service shall be counted, recorded, and 
readily available for inspection when requested by an FRA inspector.
    (b) Filing inspection reports. Within 10 days of conducting the 92 
service day inspection, the steam locomotive owner and/or operator shall 
file, for each steam locomotive inspected, a report of inspection ( FRA 
Form No. 1), in the place the locomotive is maintained and with the FRA 
Regional Administrator for that region.
    When the report of annual inspection ( FRA Form No. 3), is filed, 
the FRA Form No. 1 does not have to be filed until the next 92 service 
day inspection. (See appendix C of this part.)



Sec. 230.16  Annual inspection.

    (a) General. (1) An individual competent to conduct the inspection 
shall perform the annual inspection after 368 calendar days have elapsed 
from the time of the previous annual inspection. This inspection shall 
include all daily, all 31 service day, all 92 service day, and all 
annual inspection items. (See appendix B of this part.)
    (2) Fifth annual inspection. An individual competent to do so shall 
perform a flexible staybolt and cap inspection in accordance with 
Sec. 230.41 at each fifth annual inspection.
    (b) FRA notification. FRA Regional Administrators shall be provided 
written notice at least one month prior to an annual inspection and 
shall be afforded an opportunity to be present. If

[[Page 339]]

the Regional Administrator or their delegate indicates a desire to be 
present, the steam locomotive owner and/or operator will provide a 
scheduled date and location for the inspection. Once scheduled, the 
inspection must be performed at the time and place specified, unless the 
Regional Administrator and the steam locomotive owner and/or operator 
mutually agree to reschedule. If the Regional Administrator requests the 
inspection be performed on another date but the steam locomotive owner 
and/or operator and the Regional Administrator are unable to agree on a 
date for rescheduling, the inspection may be performed as scheduled.
    (c) Filing inspection reports. Within 10 days of completing the 
annual inspection, the steam locomotive owner and/or operator shall 
file, for each steam locomotive inspected, a report of inspection (FRA 
Form No. 3), in the place where the steam locomotive is maintained and 
with the FRA Regional Administrator for that region. (See appendix A of 
this part)



Sec. 230.17  One thousand four hundred seventy-two (1472) service day inspection.

    (a) General. Before any steam locomotive is initially put in service 
or brought out of retirement, and after every 1472 service days or 15 
years, whichever is earlier, an individual competent to conduct the 
inspection shall inspect the entire boiler. In the case of a new 
locomotive or a locomotive being brought out of retirement, the initial 
15 year period shall begin on the day that the locomotive is placed in 
service or 365 calendar days after the first flue tube is installed in 
the locomotive, whichever comes first. This 1472 service day inspection 
shall include all annual, and 5th annual, inspection requirements, as 
well as any items required by the steam locomotive owner and/or operator 
or the FRA inspector. At this time, the locomotive owner and/or operator 
shall complete, update and verify the locomotive specification card (FRA 
Form No. 4), to reflect the condition of the boiler at the time of this 
inspection. See appendices A and B of this part.
    (b) Filing inspection reports. Within 30 days of completing the 1472 
service day inspection, the steam locomotive owner and/or operator 
shall, for each steam locomotive inspected, file in the place where the 
steam locomotive is maintained and with the FRA Regional Administrator 
for that region a report of inspection (FRA Form No. 3), and a completed 
FRA Form No.4. See appendix C of this part.

                       Recordkeeping Requirements



Sec. 230.18  Service days.

    (a) Service day record. For every steam locomotive currently in 
service, the steam locomotive owner and/or operator shall have 
available, and be able to show an FRA inspector upon request, a current 
copy of the service day record that contains the number of service days 
the steam locomotive has accrued since the last 31, 92, Annual and 1472 
service day inspections.
    (b) Service day report. By the 31st of every January, every steam 
locomotive owner and/or operator shall file a service day report, FRA 
Form No. 5, with the Regional Administrator accounting for the days the 
steam locomotive was in service from January 1 through December 31st of 
the preceding year. If the steam locomotive was in service zero (0) days 
during that period, a report must still be filed to prevent the steam 
locomotive from being considered retired by FRA. (See appendix B of this 
part.)
    (c) Retirement where no service day reports filed. Where the steam 
locomotive owner and/or operator does not file the required service day 
report for a steam locomotive, that steam locomotive may be considered 
retired by FRA. The steam locomotive owner and/or operator must complete 
all 1472 service day inspection items to return a retired steam 
locomotive to service.



Sec. 230.19  Posting of FRA Form No. 1 and FRA Form No. 3.

    (a) FRA Form No. 1. The steam locomotive owner and/or operator shall 
place a copy of the 31 and 92 service day inspection report (FRA Form 
No. 1), properly filled out, under transparent cover in a conspicuous 
place in the cab of the steam locomotive before

[[Page 340]]

the inspected boiler is put into service. This FRA Form No. 1 will not 
be required for the first 31 service days following an annual inspection 
and the posting of an FRA Form No. 3. (See appendix B of this part.)
    (b) FRA Form No. 3. In addition to the FRA Form No. 1, the steam 
locomotive owner and/or operator shall also maintain in the cab a 
current copy of FRA Form No. 3 in the manner described in paragraph (a) 
of this section. (See appendix C of this part.)



Sec. 230.20  Alteration and repair report for steam locomotive boilers.

    (a) Alterations. When an alteration is made to a steam locomotive 
boiler, the steam locomotive owner and/or operator shall file an 
alteration report (FRA Form No. 19), detailing the changes to the 
locomotive with the FRA Regional Administrator within 30 days from the 
date the work was completed. This form shall be attached to, and 
maintained with, the FRA Form No. 4 until such time as a new FRA Form 
No. 4 reflecting the alteration is submitted to the Regional 
Administrator. Alteration reports shall be filed and maintained for the 
life of the boiler. (See appendix B of this part.)
    (b) Welded and riveted repairs to unstayed portions of the boiler. 
Whenever welded or riveted repairs are performed on unstayed portions of 
a steam locomotive boiler, the steam locomotive owner and/or operator 
shall file with the FRA Regional Administrator, within 30 days from the 
time the work was completed, a repair report, FRA Form No. 19, that 
details the work done to the steam locomotive. Repair reports shall be 
filed and maintained for the life of the boiler. (See appendix B of this 
part.)
    (c) Welded and riveted repairs to stayed portions of the boiler. 
Whenever welded or riveted repairs are performed on stayed portions of a 
steam locomotive boiler, the steam locomotive owner and/or operator 
shall complete a repair report (FRA Form No. 19), detailing the work 
done. Repair reports shall be maintained for the life of the boiler. 
(See appendix C of this part.)



Sec. 230.21  Steam locomotive number change.

    When a steam locomotive number is changed, the steam locomotive 
owner and/or operator must reflect the change in the upper right-hand 
corner of all documentation related to the steam locomotive by showing 
the old and new numbers:
    Old No. 000
    New No. XXX.



Sec. 230.22  Accident reports.

    In the case of an accident due to failure, from any cause, of a 
steam locomotive boiler or any part or appurtenance thereof, resulting 
in serious injury or death to one or more persons, the railroad on whose 
line the accident occurred shall immediately make a telephone report of 
the accident by calling the National Response Center (toll free) at Area 
Code 800-424-0201. The report shall state the nature of the accident, 
the number of persons killed or seriously injured, the place at which it 
occurred, and the location where the steam locomotive may be inspected. 
Confirmation of this report shall be immediately mailed to the Associate 
Administrator for Safety, Federal Railroad Administration, Washington, 
DC 20590, and contain a detailed report of the accident, including, to 
the extent known, the causes and a complete list of the casualties.



                  Subpart B--Boilers and Appurtenances



Sec. 230.23  Responsibility for general construction and safe working pressure.

    The steam locomotive owner and operator are responsible for the 
general design and construction of the steam locomotive boilers under 
their control. The steam locomotive owner shall establish the safe 
working pressure for each steam locomotive boiler, after giving full 
consideration to the general design, workmanship, age, and overall 
condition of the complete boiler unit. The condition of the boiler unit 
shall be determined by, among other factors, the minimum thickness of 
the shell plates, the lowest tensile strength of the plates, the 
efficiency of the longitudinal joint, the inside diameter of

[[Page 341]]

the course, and the maximum allowable stress value allowed. The steam 
locomotive operator shall not place the steam locomotive in service 
before ensuring that the steam locomotive's safe working pressure has 
been established.

                            Allowable Stress



Sec. 230.24  Maximum allowable stress.

    (a) Maximum allowable stress value. The maximum allowable stress 
value on any component of a steam locomotive boiler shall not exceed \1/
4\ of the ultimate tensile strength of its material.
    (b) Safety factor. When it is necessary to use the code of original 
construction in boiler calculations, the safety factor value shall not 
be less than 4.



Sec. 230.25  Maximum allowable stress on stays and braces.

    The maximum allowable stress per square inch of net cross sectional 
area on fire box and combustion chamber stays shall be 7,500 psi. The 
maximum allowable stress per square inch of net cross sectional area on 
round, rectangular, or gusset braces shall be 9,000 psi.

                          Strength of Materials



Sec. 230.26  Tensile strength of shell plates.

    When the tensile strength of steel or wrought-iron shell plates is 
not known, it shall be taken at 50,000 psi for steel and 45,000 psi for 
wrought iron.



Sec. 230.27  Maximum shearing strength of rivets.

    The maximum shearing strength of rivets per square inch of cross 
sectional area shall be taken as follows:

------------------------------------------------------------------------
                                                                 Pounds
                                                                   per
                            Rivets                               square
                                                                  inch
------------------------------------------------------------------------
Iron Rivets in Single Shear...................................    38,000
Iron Rivets in Double Shear...................................    76,000
Steel Rivets in Single Shear..................................    44,000
Steel Rivets in Double Shear..................................    88,000
------------------------------------------------------------------------



Sec. 230.28  Higher shearing strength of rivets.

    A higher shearing strength may be used for rivets when it can be 
shown through testing that the rivet material used is of such quality as 
to justify a higher allowable shearing strength.

                          Inspection and Repair



Sec. 230.29  Inspection and repair.

    (a) Responsibility. The steam locomotive owner and/or operator shall 
inspect and repair all steam locomotive boilers and appurtenances under 
their control. They shall immediately remove from service any boiler 
that has developed cracks in the barrel. The steam locomotive owner and/
or operator shall also remove the boiler from service whenever either of 
them, or the FRA inspector, considers it necessary due to other defects.
    (b) Repair standards. (1) All defects disclosed by inspection shall 
be repaired in accordance with accepted industry standards--which may 
include established railroad practices, or NBIC or API established 
standards--before the steam locomotive is returned to service. The steam 
locomotive owner and/or operator shall not return the steam locomotive 
boiler or appurtenances to service unless they are in good condition and 
safe and suitable for service.
    (2) Any welding to unstayed portions of the boiler made pursuant to 
Sec. 230.33 shall be made in accordance with an accepted national 
standard for boiler repairs. The steam locomotive owner and/or operator 
shall not return the steam locomotive boiler or appurtenances to service 
unless they are in good condition and safe and suitable for service.



Sec. 230.30  Lap-joint seam boilers.

    Every boiler having lap-joint longitudinal seams without reinforcing 
plates shall have sufficient lagging, jacketing, flues, and tubes 
removed at every annual inspection so that an inspection of the entire 
joint, inside and out, can be made, taking special care to detect 
grooving or cracks at the edges of the seams.



Sec. 230.31  Flues to be removed.

    (a) Inspection of the boiler interior. During the 1472 service day 
inspection, the steam locomotive owner and/or operator shall remove all 
flues of steam locomotive boilers in service, except as

[[Page 342]]

provided in paragraph (b) of this section, for the purpose of inspecting 
the entire interior of the boiler and its bracing. After removing the 
flues, the steam locomotive owner and/or operator shall enter the boiler 
to remove scale from the interior and thoroughly clean and inspect it.
    (b) NDE testing. If the boiler can be thoroughly cleaned and 
inspected without removing the superheater flues, and it can be shown 
through appropriate NDE testing methods that they are safe and suitable 
for service, their removal may not be required at this time. Their 
removal may be required, however, if the FRA inspector, or the steam 
locomotive owner and/or operator, considers it necessary due to 
identifiable safety concerns.



Sec. 230.32  Time and method of inspection.

    (a) Time of inspection. The entire boiler shall completely be 
inspected at the 1472 service day inspection. The jacket, lagging and 
any other components interfering with the provision of inspection access 
shall be removed at this time. Those portions of the boiler that are 
exposed and able to be inspected as required by the daily, 31service 
day, annual and fifth annual inspections shall be inspected at those 
times. The interior of the boiler also shall be inspected at each annual 
inspection, after the completion of any hydrostatic test above MAWP, and 
whenever a sufficient number of flues are removed to allow examination. 
The jacket, lagging and any other components shall also be removed to 
provide inspection access whenever the FRA inspector, or the steam 
locomotive owner and/or operator, considers it necessary due to 
identifiable safety concerns.
    (b) Method of inspection.--(1) Entire boiler. During the 1472 
service day inspection, the entire boiler shall be examined for cracks, 
pitting, grooving, or indications of overheating and for damage where 
mud has collected, or heavy scale formed. The edges of plates, all laps, 
seams, and points where cracks and defects are likely to develop, shall 
be thoroughly inspected. Rivets shall be inspected for corrosion and 
looseness.
    (2) Boiler interior. When inspecting the boiler interior, it must be 
seen that braces and stays are taut, that pins are properly secured in 
place, and that each is in condition to support its proportion of the 
load. Washout plugs shall be removed for access and visual inspection of 
the water side of the firebox sheets. Washout plug threads, sleeves and 
threaded openings shall be examined at this time.
    (3) Boiler exterior. A thorough inspection shall be made of the 
entire exterior of the boiler while under hydrostatic pressure.



Sec. 230.33  Welded repairs and alterations.

    (a) Unstayed portions of the boiler containing alloy steel or carbon 
steel with a carbon content over 0.25 percent. Prior to welding on 
unstayed portions of the boiler, the steam locomotive owner and/or 
operator shall submit a written request for approval to the FRA Regional 
Administrator. If the approval is granted, the steam locomotive owner 
and/or operator shall perform any welding to unstayed portions of the 
boiler in accordance with an accepted national standard for boiler 
repairs. The steam locomotive owner and/or operator shall satisfy 
reporting requirements in Sec. 230.20 at this time.
    (b) Unstayed portions of the boiler containing carbon steel not 
exceeding 0.25 percent carbon. The steam locomotive owner and/or 
operator shall perform any welding to unstayed portions of the boiler in 
accordance with an accepted national standard for boiler repairs. The 
steam locomotive owner and/or operator shall satisfy reporting 
requirements in Sec. 230.20 at this time.
    (c) Wastage. The steam locomotive owner and/or operator shall submit 
a written request for approval to the FRA Regional Administrator before 
performing weld build up on wasted areas of unstayed surfaces of the 
boiler that exceed a total of 100 square inches or the smaller of 25 
percent of minimum required wall thickness or 1/2 inch. Wasted sheets 
shall not be repaired by weld build up if the wasted sheet has been 
reduced to less than 60 percent of the minimum required thickness as 
required by this part.

[[Page 343]]

    (d) Flush patches. The steam locomotive owner and/or operator shall 
submit a written request for approval to the FRA Regional Administrator 
for the installation of flush patches of any size on unstayed portions 
of the boiler.
    (e) Stayed portions of the boiler. The steam locomotive owner and/or 
operator shall perform welded repairs or alterations on stayed portions 
of the boiler in accordance with established railroad practices, or an 
accepted national standard for boiler repairs. The steam locomotive 
owner and/or operator shall satisfy the reporting requirements in 
Sec. 230.20 at this time.



Sec. 230.34  Riveted repairs and alterations.

    (a) Alterations to unstayed portions of the boiler. Prior to making 
riveted alterations on unstayed portions of the boiler, the steam 
locomotive owner and/or operator shall submit a written request for 
approval to the FRA Regional Administrator. If approval is granted, the 
steam locomotive owner and/or operator shall perform any riveting to 
unstayed portions of the boiler in accordance with established railroad 
practices or an accepted national standard for boiler repairs. The steam 
locomotive owner and/or operator shall satisfy reporting requirements in 
Sec. 230.20 at this time.
    (b) Repairs to unstayed portions of the boiler. The steam locomotive 
owner and/or operator shall perform any riveted repairs to unstayed 
portions of the boiler in accordance with established railroad 
practices, or an accepted national standard for boiler repairs. The 
steam locomotive owner and/or operator shall satisfy reporting 
requirements in Sec. 230.20 at this time.
    (c) Repairs to stayed portions of the boiler. The steam locomotive 
owner and/or operator shall perform riveted repairs or alterations on 
stayed portions of the boiler in accordance with established railroad 
practices or an accepted national standard for boiler repairs. The steam 
locomotive owner and/or operator shall satisfy reporting requirements in 
Sec. 230.20 at this time.

                       Pressure Testing of Boilers



Sec. 230.35  Pressure testing.

    The temperature of the steam locomotive boiler shall be raised to at 
least 70 deg. F any time hydrostatic pressure is applied to the boiler.



Sec. 230.36  Hydrostatic testing of boilers.

    (a) Time of test. The locomotive owner and/or operator shall 
hydrostatically test every boiler at the following times:
    (1) During the 1472 service day inspection, and at every annual 
inspection thereafter;
    (2) After making any alteration to the boiler;
    (3) After installing a flush patch on an unstayed portion of the 
boiler; and
    (4) After any riveting on an unstayed portion of the boiler.
    (b) Method of testing. The metal temperature of the boiler shall be 
between 70 degrees Fahrenheit and 120 degrees Fahrenheit each time it is 
subjected to any hydrostatic pressure. Hydrostatic testing required by 
these rules shall be conducted at 25 percent above the MAWP.
    (c) Internal inspection. An internal inspection of the boiler shall 
be conducted following any hydrostatic test where the pressure exceeds 
MAWP.



Sec. 230.37  Steam test following repairs or alterations.

    Upon completion of any repair or alteration, the locomotive owner 
and/or operator shall conduct a steam test of the boiler with steam 
pressure raised to between 95 percent and 100 percent of the MAWP. At 
this time, the boiler shall be inspected to ensure that it is in a safe 
and suitable condition for service.

                                Staybolts



Sec. 230.38  Telltale holes.

    (a) Staybolts less than 8 inches long. All staybolts shorter than 8 
inches, except flexible bolts, shall have telltale holes 3/16 inch to 7/
32 inch diameter and at least 1\1/4\ inches deep in the outer end.
    (b) Reduced body staybolts. On reduced body staybolts, the telltale 
hole shall

[[Page 344]]

extend beyond the fillet and into the reduced section of the staybolt. 
Staybolts may have through telltale holes.
    (c) Telltale holes kept open. All telltale holes, except as provided 
for in Sec. 230.41, must be kept open at all times.



Sec. 230.39  Broken staybolts.

    (a) Maximum allowable number of broken staybolts. No boiler shall be 
allowed to remain in service with two broken staybolts located within 24 
inches of each other, as measured inside the firebox or combustion 
chamber on a straight line. No boiler shall be allowed to remain in 
service with more than 4 broken staybolts inside the entire firebox and 
combustion chamber, combined.
    (b) Staybolt replacement. Broken staybolts must be replaced during 
the 31 service day inspection, if detected at that time. Broken 
staybolts detected in between 31 service day inspections must be 
replaced no later than 30 calendar days from the time of detection. When 
staybolts 8 inches or less in length are replaced, they shall be 
replaced with bolts that have telltale holes \3/16\ inch to \7/32\ inch 
in diameter and at least 1\1/4\ inches deep at each end, or that have 
telltale holes \3/16\ inch to \7/32\ inch in diameter their entire 
length. At the time of replacement of broken staybolts, adjacent 
staybolts shall be inspected.
    (c) Assessment of broken staybolts. Telltale holes leaking, plugged, 
or missing shall be counted as broken staybolts.
    (d) Prohibited methods of closing telltale holes. Welding, forging, 
or riveting broken staybolt ends is prohibited as a method of closing 
telltale holes.



Sec. 230.40  Time and method of staybolt testing.

    (a) Time of hammer testing--(1) General. All staybolts shall be 
hammer tested at every 31 service day inspection, except as provided in 
paragraph (a)(2) of this section. All staybolts also shall be hammer 
tested under hydrostatic pressure any time hydrostatic pressure above 
the MAWP specified on the boiler specification form (FRA Form No. 4), is 
applied to the boiler. (See appendix B of this part.)
    (2) Exception for inaccessible staybolts. The removal of brickwork 
or grate bearers for the purpose of hammer testing staybolts during each 
31 service day inspection will not be required if the staybolts behind 
these structural impediments have a telltale hole 3/16 inch to 7/32 inch 
in diameter their entire length. Whenever the brickwork or grate bearers 
are removed for any other reason, however, the bolts shall be inspected 
at that time.
    (b) Method of hammer testing. If staybolts are tested while the 
boiler contains water, the hydrostatic pressure must be not less than 95 
percent of the MAWP. The steam locomotive owner and/or operator shall 
tap each bolt with a hammer and determine broken bolts from the sound or 
the vibration of the sheet. Whenever staybolts are tested while the 
boiler is not under pressure, such as during the 31 service day 
inspection, the staybolt test must be made with all the water drained 
from the boiler.



Sec. 230.41  Flexible staybolts with caps.

    (a) General. Flexible staybolts with caps shall have their caps 
removed during every 5th annual inspection for the purpose of inspecting 
the bolts for breakage, except as provided in paragraph (b) of this 
section.
    (b) Drilled flexible staybolts. For flexible staybolts that have 
telltale holes between \3/16\ inch and \7/32\ inch in diameter, and 
which extend the entire length of the bolt and into the head not less 
than one third of the diameter of the head, the steam locomotive owner 
and/or operator need not remove the staybolt caps if it can be 
established, by an electrical or other suitable method, that the 
telltale holes are open their entire length. Any leakage from these 
telltale holes during the hydrostatic test indicates that the bolt is 
broken and must be replaced. Before the steam locomotive is placed in 
service, the inner ends of all telltale holes shall be closed with a 
fireproof porous material that will keep the telltale holes free of 
foreign matter and permit steam or water to exit the telltale hole when 
the bolt is broken or fractured.
    (c) Recordkeeping. The removal of flexible staybolt caps and other 
tests

[[Page 345]]

shall be reported on FRA Form No. 3. (See appendix B of this part.)
    (d) Testing at request of FRA inspector. Staybolt caps also shall be 
removed, or any of the tests in this section made, whenever the FRA 
inspector or the steam locomotive owner and/or operator considers it 
necessary due to identifiable safety concerns about the condition of 
staybolts, staybolt caps or staybolt sleeves.

                              Steam Gauges



Sec. 230.42  Location of gauges.

    Every boiler shall have at least one steam gauge which will 
correctly indicate the working pressure. The gauge shall be positioned 
so that it will be kept reasonably cool and can conveniently be read by 
the engine crew.



Sec. 230.43  Gauge siphon.

    The steam gauge supply pipe shall have a siphon on it of ample 
capacity to prevent steam from entering the gauge. The supply pipe shall 
directly enter the boiler and be maintained steam tight. The supply pipe 
and its connections shall be cleaned each time the gauge is tested.



Sec. 230.44  Time of testing.

    Steam gauges shall be tested prior to being installed or being 
reapplied, during the 92 service day inspection, and whenever any 
irregularity is reported.



Sec. 230.45  Method of testing.

    Steam gauges shall be compared with an accurate test gauge or dead 
weight tester. While under test load at the MAWP of the boiler to which 
the gauge will be applied, the gauge shall be set to read that pressure 
as accurately as the physical limitations of the gauge will allow. Under 
test the gauge shall read within the manufacturer's tolerance at all 
points on the gauge up to 25 percent above the allowed pressure. If the 
manufacturer's tolerance is not known, the gauge must read within 2 
percent full scale accuracy at all points on the gauge up to 25 percent 
above allowed pressure.



Sec. 230.46  Badge plates.

    A metal badge plate showing the allowed steam pressure shall be 
attached to the boiler backhead in the cab. If boiler backhead is 
lagged, the lagging and jacket shall be cut away so that the plate can 
be seen.



Sec. 230.47  Boiler number.

    (a) Generally. The builder's number of the boiler, if known, shall 
be stamped on the steam dome or manhole flange. If the builder's number 
cannot be obtained, an assigned number, which shall be used in making 
out specification cards, shall be stamped on the steam dome or manhole 
flange.
    (b) Numbers after January 10, 1912. Numbers which are stamped after 
January 10, 1912 shall be located on the front side of the steam dome or 
manhole flange at the upper edge of the vertical surface, oriented in a 
horizontal manner, and have figures at least \3/8\ inch high.
    (c) Name of manufacturer or owner. The number shall be preceded by 
the name of the manufacturer if the original number is known or the name 
of the steam locomotive owner if a new number is assigned.

                          Safety Relief Valves



Sec. 230.48  Number and capacity.

    (a) Number and capacity. Every boiler shall be equipped with at 
least two safety relief valves, suitable for the service intended, that 
are capable of preventing an accumulation of pressure greater than 6 
percent above the MAWP under any conditions of service. An FRA inspector 
may require verification of sufficient safety valve relieving capacity.
    (b) Determination of capacity. Safety relief valve capacity may be 
determined by making an accumulation test with the fire in good, bright 
condition and all steam outlets closed. Additional safety relief valve 
capacity shall be provided if the safety relief valves allow an excess 
pressure of more than 6 percent above the MAWP during this test.



Sec. 230.49  Setting of safety relief valves.

    (a) Qualifications of individual who adjusts. Safety relief valves 
shall be set and adjusted by a competent person who is thoroughly 
familiar with the

[[Page 346]]

construction and operation of the valve being set.
    (b) Opening pressures. At least one safety relief valve shall be set 
to open at a pressure not exceeding the MAWP. Safety relief valves shall 
be set to open at pressures not exceeding 6 psi above the MAWP.
    (c) Setting procedures. When setting safety relief valves, two steam 
gauges shall be used, one of which must be so located that it will be in 
full view of the persons engaged in setting such valves; and if the 
pressure indicated by the gauges varies more than 3 psi they shall be 
removed from the boiler, tested, and corrected before the safety relief 
valves are set. Gauges shall in all cases be tested immediately before 
the safety relief valves are set or any change made in the setting. When 
setting safety relief valves, the water level shall not be higher than 
\3/4\ of the length of the visible water glass, as measured from the 
bottom of the glass.
    (d) Labeling of lowest set pressure. The set pressure of the lowest 
safety relief valve shall be indicated on a tag or label attached to the 
steam gauge so that it may be clearly read while observing the steam 
gauge.



Sec. 230.50  Time of testing.

    All safety relief valves shall be tested, and adjusted if necessary, 
under steam at every 92 service day inspection, and also whenever any 
irregularity is reported.

                      Water Glasses and Gauge Cocks



Sec. 230.51  Number and location.

    Every boiler shall be equipped with at least two water glasses. The 
lowest reading of the water glasses shall not be less than 3 inches 
above the highest part of the crown sheet. If gauge cocks are used, the 
reading of the lowest gauge cock shall not be less than 3 inches above 
the highest part of the crown sheet.



Sec. 230.52  Water glass valves.

    All water glasses shall be equipped with no more than two valves 
capable of isolating the water glass from the boiler. They shall also be 
equipped with a drain valve capable of evacuating the glass when it is 
so isolated.



Sec. 230.53  Time of cleaning.

    The spindles of all water glass valves and of all gauge cocks shall 
be removed and valves and cocks thoroughly cleaned of scale and sediment 
at every 31 service day inspection, and when testing indicates that the 
apparatus may be malfunctioning. In addition, the top and bottom 
passages of the water column shall be cleaned and inspected at each 
annual inspection.



Sec. 230.54  Testing and maintenance.

    (a) Testing. All water glasses must be blown out, all gauge cocks 
must be tested, and all passages verified to be open at the beginning of 
each day the locomotive is used, and as often as necessary to ensure 
proper functioning.
    (b) Maintenance. Gauge cocks, water column drain valves, and water 
glass valves must be maintained in such condition that they can easily 
be opened and closed by hand, without the aid of a wrench or other tool.



Sec. 230.55  Tubular type water and lubricator glasses and shields.

    (a) Water glasses. Tubular type water glasses shall be renewed at 
each 92 service day inspection.
    (b) Shields. All tubular water glasses and lubricator glasses must 
be equipped with a safe and suitable shield which will prevent the glass 
from flying in case of breakage. This shield shall be properly 
maintained.
    (c) Location and maintenance. Water glasses and water glass shields 
shall be so located, constructed, and maintained that the engine crew 
can at all times have an unobstructed view of the water in the glass 
from their proper positions in the cab.



Sec. 230.56  Water glass lamps.

    All water glasses must be supplied with a suitable lamp properly 
located to enable the engine crew to easily see the water in the glass.

               Injectors, Feedwater Pumps, and Flue Plugs



Sec. 230.57  Injectors and feedwater pumps.

    (a) Water delivery systems required. Each steam locomotive must be

[[Page 347]]

equipped with at least two means of delivering water to the boiler, at 
least one of which is a live steam injector.
    (b) Maintenance and testing. Injectors and feedwater pumps must be 
kept in good condition, free from scale, and must be tested at the 
beginning of each day the locomotive is used, and as often as conditions 
require, to ensure that they are delivering water to the boiler. Boiler 
checks, delivery pipes, feed water pipes, tank hose and tank valves must 
be kept in good condition, free from leaks and from foreign substances 
that would obstruct the flow of water.
    (c) Bracing. Injectors, feedwater pumps, and all associated piping 
shall be securely braced so as to minimize vibration.



Sec. 230.58  Flue plugs.

    (a) When plugging is permitted. Flues greater than 2\1/4\ inches in 
outside diameter (OD) shall not be plugged. Flues 2\1/4\ inches in 
outside diameter (OD) or smaller may be plugged following failure, 
provided only one flue is plugged at any one time. Plugs must be removed 
and proper repairs made no later than 30 days from the time the plug is 
applied.
    (b) Method of plugging. When used, flue plugs must be made of steel. 
The flue must be plugged at both ends. Plugs must be tied together by 
means of a steel rod not less than \5/8\ inch in diameter.

                              Fusible Plugs



Sec. 230.59  Fusible plugs.

    If boilers are equipped with fusible plugs, the plugs shall be 
removed and cleaned of scale each time the boiler is washed but not less 
frequently than during every 31 service day inspection. Their removal 
shall be noted on the FRA Form No. 1 or FRA Form No. 3. (See appendix B 
of this part.)

                             Washing Boilers



Sec. 230.60  Time of washing.

    (a) Frequency of washing. All boilers shall thoroughly be washed as 
often as the water conditions require, but not less frequently than at 
each 31 service day inspection. The date of the boiler wash shall be 
noted on the FRA Form No. 1 or FRA Form No. 3. (See appendix B of this 
part.)
    (b) Plug removal. All washout plugs, arch tube plugs, thermic siphon 
plugs, circulator plugs and water bar plugs must be removed whenever 
locomotive boilers are washed.
    (c) Plug maintenance. All washout plugs, washout plug sleeves and 
threaded openings shall be maintained in a safe and suitable condition 
for service and shall be examined for defects each time the plugs are 
removed.
    (d) Fusible plugs cleaned. Fusible plugs shall be cleaned in 
accordance with Sec. 230.59.



Sec. 230.61  Arch tubes, water bar tubes, circulators and thermic siphons.

    (a) Frequency of cleaning. Each time the boiler is washed, arch 
tubes and water bar tubes shall thoroughly be cleaned mechanically, 
washed, and inspected. Circulators and thermic siphons shall thoroughly 
be cleaned, washed and inspected.
    (b) Defects. Arch tubes and water bar tubes found blistered, bulged, 
or otherwise defective shall be renewed. Circulators and thermic siphons 
found blistered, bulged or otherwise defective shall be either repaired 
or renewed.
    (c) Method of examination. Arch tubes, water bar tubes and 
circulators shall be examined using an appropriate NDE method that 
accurately measures wall thickness at each annual inspection. All arch 
brick shall be removed for this inspection. If any are found with wall 
thickness reduced below that required to render them safe and suitable 
for the service intended at the MAWP specified on the boiler 
specification FRA Form No. 4, they must be replaced or repaired. (See 
appendix B of this part.)

                               Steam Pipes



Sec. 230.62  Dry pipe.

    Dry pipes subject to pressure shall be examined at each annual 
inspection to measure wall thickness. Dry pipes with wall thickness 
reduced below that required to render the pipe suitable for the service 
intended at the MAWP must be replaced or repaired.

[[Page 348]]



Sec. 230.63  Smoke box, steam pipes and pressure parts.

    The smoke box, steam pipes and pressure parts shall be inspected at 
each annual inspection, or any other time that conditions warrant. The 
individual conducting the inspection must enter the smoke box to conduct 
the inspection, looking for signs of leaks from any of the pressure 
parts therein and examining all draft appliances.

                               Steam Leaks



Sec. 230.64  Leaks under lagging.

    The steam locomotive owner and/or operator shall take out of service 
at once any boiler that has developed a leak under the lagging due to a 
crack in the shell, or to any other condition which may reduce safety. 
Pursuant to Sec. 230.29, the boiler must be repaired before being 
returned to service.



Sec. 230.65  Steam blocking view of engine crew.

    The steam locomotive owner and/or operator shall keep the boiler, 
and its piping and appurtenances, in such repair that they do not emit 
steam in a manner that obscures the engine crew's vision.



                Subpart C--Steam Locomotives and Tenders



Sec. 230.66  Design, construction, and maintenance.

    The steam locomotive owner and operator are responsible for the 
general design, construction and maintenance of the steam locomotives 
and tenders under their control.



Sec. 230.67  Responsibility for inspection and repairs.

    The steam locomotive owner and/or operator shall inspect and repair 
all steam locomotives and tenders under their control. All defects 
disclosed by any inspection shall be repaired in accordance with 
accepted industry standards, which may include established railroad 
practices, before the steam locomotive or tender is returned to service. 
The steam locomotive owner and/or operator shall not return the steam 
locomotive or tender to service unless they are in good condition and 
safe and suitable for service.

                            Speed Indicators



Sec. 230.68  Speed indicators.

    Steam locomotives that operate at speeds in excess of 20 miles per 
hour over the general system of railroad transportation shall be 
equipped with speed indicators. Where equipped, speed indicators shall 
be maintained to ensure accurate functioning.

                                Ash Pans



Sec. 230.69  Ash pans.

    Ash pans shall be securely supported from mud-rings or frames with 
no part less than 2\1/2\ inches above the rail. Their operating 
mechanism shall be so arranged that they may be safely operated and 
securely closed.

                       Brake and Signal Equipment



Sec. 230.70  Safe condition.

    (a) Pre-departure inspection. At the beginning of each day the 
locomotive is used, the steam locomotive operator shall ensure that:
    (1) The brakes on the steam locomotive and tender are in safe and 
suitable condition for service;
    (2) The air compressor or compressors are in condition to provide an 
ample supply of air for the locomotive service intended;
    (3) The devices for regulating all pressures are properly performing 
their functions;
    (4) The brake valves work properly in all positions; and
    (5) The water has been drained from the air-brake system.
    (b) Brake pipe valve required. Each steam locomotive shall have a 
brake pipe valve attached to the front of the tender, the rear of the 
back cab wall, or adjacent to the exit of a vestibuled cab. The words 
``Emergency Brake Valve'' shall be clearly displayed near the valve.



Sec. 230.71  Orifice testing of compressors.

    (a) Frequency of testing. The compressor or compressors shall be 
tested for capacity by orifice test as often as conditions may require, 
but not less

[[Page 349]]

frequently than once every 92 service days.
    (b) Orifice testing criteria. (1) Compressors in common use, as 
listed in the following table, shall have orifice test criteria as 
follows:

----------------------------------------------------------------------------------------------------------------
                                                                                    Diameter of    Air pressure
                 Make                        Compressor size      Single strokes   orifice  (in     maintained
                                                                    per minute        inches)       (in pounds)
----------------------------------------------------------------------------------------------------------------
Westinghouse..........................  9\1/2\..................             120         \11/64\              60
Westinghouse..........................  11......................             100          \3/16\              60
Westinghouse..........................  150 CFM 8\1/2\ CC.......             100          \9/32\              60
Westinghouse..........................  120 CFM 8\1/2\..........             100         \15/64\              60
New York..............................  2a......................             120          \5/32\              60
New York..............................  6a......................             100         \13/64\              60
New York..............................  5b......................             100         \15/64\              60
----------------------------------------------------------------------------------------------------------------
Note: This table shall be used for altitudes to and including 1,000 feet. For altitudes over 1,000 feet the
  speed of compressor may be increased 5 single strokes per minute for each 1,000 feet increase in altitude.

    (2) For compressors not listed in the table in paragraph (b)(1) of 
this section, the air pressure to be maintained shall be no less than 80 
percent of the manufacturer's rated capacity for the compressor.



Sec. 230.72  Testing main reservoirs.

    (a) Hammer and hydrostatic testing. Except as described in 
paragraphs (b) through (d) of this section, every main reservoir, except 
those cast integrally with the frame, shall be hammer and 
hydrostatically tested during each annual inspection. The reservoir 
shall be hammer tested while empty and with no pressure applied. If no 
defective areas are detected, a hydrostatic test of MAWP shall be 
applied.
    (b) Drilling of main reservoirs. (1) Only welded main reservoir 
originally constructed to withstand at least five times the MAWP may be 
drilled over its entire surface with telltale holes that are \3/16\ of 
an inch in diameter. The holes shall be spaced not more than 12 inches 
apart, measured both longitudinally and circumferentially, and drilled 
from the outer surface to an extreme depth determined by the following 
formula:

D=(.6PR/(S-.6P))

Where:

D = Extreme depth of telltale holes in inches but in no case less than 
one-sixteenth inch;
P = certified working pressure in psi;
S = \1/5\ of the minimum specified tensile strength of the material in 
psi; and
R = inside radius of the reservoir in inches.

    (2) One row of holes shall be drilled lengthwise of the reservoir on 
a line intersecting the drain opening. When main reservoirs are drilled 
as described in paragraph (b)(1) of this section, the hydrostatic and 
hammer tests described in paragraph (a) of this section are not required 
during the annual inspection. Whenever any telltale hole shall have 
penetrated the interior of any reservoir, the reservoir shall be 
permanently withdrawn from service.
    (c) Welded main reservoirs without longitudinal lap seams. For 
welded main reservoirs that do not have longitudinal lap seams, an 
appropriate NDE method that can measure the wall thickness of the 
reservoir may be used instead of the hammer test and hydrostatic test 
required in paragraph (a) of this section. The spacing of the sampling 
points for wall thickness shall not be greater than 12 inches 
longitudinally and circumferentially. The reservoir shall permanently be 
withdrawn from service where the NDE testing reveals wall thickness less 
than the value determined by the following formula:

t=(PR/(S-.6P)

Where:

t = Minimum value for wall thickness;
P = Certified working pressure in psi;
S = \1/5\ of the minimum specified tensile strength of the material in 
psi, or 10,000 psi if the tensile strength is unknown; and
R = Inside radius of the reservoir in inches.

    (d) Welded or riveted longitudinal lap seam main reservoirs. (1) For 
welded or riveted longitudinal lap seam main reservoirs, an appropriate 
NDE method that can measure wall thickness of the reservoir shall be 
used instead of, or in

[[Page 350]]

addition to, the hammer test and hydrostatic test. The spacing of the 
sampling points for wall thickness shall not be greater than 12 inches 
longitudinally and circumferentially. Particular care shall be taken to 
measure along the longitudinal seam on both plates at an interval of no 
more than 6 inches longitudinally. The reservoir shall be withdrawn 
permanently from service where NDE testing reveals wall thickness less 
than the value determined by the following formula:

t=(PR/(0.5S-0.6P))

Where:

t = Minimum value for wall thickness;
P = Certified working pressure in psi;
S = \1/5\ of the minimum specified tensile strength of the material in 
psi, or 10,000 psi if the tensile strength of steel is unknown; and
R = Inside radius of the reservoir in inches.

    (2) Repairs of reservoirs with reduced wall thickness are 
prohibited.



Sec. 230.73  Air gauges.

    (a) Location. Air gauges shall be so located that they may be 
conveniently read by the engineer from his or her usual position in the 
cab. No air gauge may be more than 3 psi in error.
    (b) Frequency of testing. Air gauges shall be tested prior to 
reapplication following removal, as well as during the 92 service day 
inspection and whenever any irregularity is reported.
    (c) Method of testing. Air gauges shall be tested using an accurate 
test gauge or dead weight tester designed for this purpose.



Sec. 230.74  Time of cleaning.

    All valves in the air brake system, including related dirt 
collectors and filters, shall be cleaned and tested in accordance with 
accepted brake equipment manufacturer's specifications, or as often as 
conditions require to maintain them in a safe and suitable condition for 
service, but not less frequently than after 368 service days or during 
the second annual inspection, whichever occurs first.



Sec. 230.75  Stenciling dates of tests and cleaning.

    The date of testing and cleaning and the initials of the shop or 
station at which the work is done, shall legibly be stenciled in a 
conspicuous place on the tested parts or placed on a card displayed 
under a transparent cover in the cab of the steam locomotive.



Sec. 230.76  Piston travel.

    (a) Minimum piston travel. The minimum piston travel shall be 
sufficient to provide proper brake shoe clearance when the brakes are 
released.
    (b) Maximum piston travel. The maximum piston travel when steam 
locomotive is standing shall be as follows:

------------------------------------------------------------------------
                                                               Maximum
                                                                piston
                     Type of wheel brake                      travel (in
                                                               inches)
------------------------------------------------------------------------
Cam Type Driving Wheel Brake...............................       3\1/2\
Other forms of Driving Wheel Brake.........................            6
Engine Truck Brake.........................................            8
Tender Brake...............................................            9
------------------------------------------------------------------------



Sec. 230.77  Foundation brake gear.

    (a) Maintenance. Foundation brake gear shall be maintained in a safe 
and suitable condition for service. Levers, rods, brake beams, hangers, 
and pins shall be of ample strength, and shall not be fouled in any way 
which will affect the proper operation of the brake. All pins shall be 
properly secured in place with cotter pine, split keys, or nuts. Brake 
shoes must be properly applied and kept approximately in line with the 
tread of the wheel.
    (b) Distance above the rails. No part of the foundation brake gear 
of the steam locomotive or tender shall be less than 2\1/2\ inches above 
the rails.



Sec. 230.78  Leakage.

    (a) Main reservoirs and related piping. Leakage from main reservoir 
and related piping shall be tested at every 92 service day inspection 
and shall not exceed an average of 3 psi per minute in a test of 3 
minutes duration that is made after the pressure has been reduced to 60 
percent of the maximum operating pressure.
    (b) Brake cylinders. Leakage from brake cylinders shall be tested at 
every 92 service day inspection. With a full service application from 
maximum brake pipe pressure, and with communication to the brake 
cylinders closed, the brakes on the steam locomotive and tender must 
remain applied for a minimum of 5 minutes.

[[Page 351]]

    (c) Brake pipes. Steam locomotive brake pipe leakage shall be tested 
at the beginning of each day the locomotive is used, and shall not 
exceed 5 psi per minute.



Sec. 230.79  Train signal system.

    Where utilized, the train signal system, or any other form of on-
board communication, shall be tested and known to be in safe and 
suitable condition for service at the beginning of each day the 
locomotive is used.

                Cabs, Warning Signals, Sanders and Lights



Sec. 230.80  Cabs.

    (a) General provisions. Cabs shall be securely attached or braced 
and maintained in a safe and suitable condition for service. Cab windows 
of steam locomotives shall provide an undistorted view of the track and 
signals for the crew from their normal position in the cab. Cab floors 
shall be kept free of tripping or slipping hazards. The cab climate 
shall be maintained to provide an environment that does not unreasonably 
interfere with the engine crew's performance of their duties under 
ordinary conditions of service.
    (b) Steam pipes. Steam pipes shall not be fastened to the cab. New 
construction or renewals made of iron or steel pipe greater than \1/8\ 
inch NPS that are subject to boiler pressure in cabs shall have a 
minimum wall thickness equivalent to schedule 80 pipe, with properly 
rated valves and fittings. Live steam heating radiators must not be 
fastened to the cab. Exhaust steam radiators may be fastened to the cab.
    (c) Oil-burning steam locomotives. If the cab is enclosed, oil 
burning steam locomotives that take air for combustion through the fire-
door opening shall have a suitable conduit extending from the fire-door 
to the outside of the cab.



Sec. 230.81  Cab aprons.

    (a) General provisions. Cab aprons shall be of proper length and 
width to ensure safety. Cab aprons shall be securely hinged, maintained 
in a safe and suitable condition for service, and roughened, or other 
provision made, to afford secure footing.
    (b) Width of apron. The cab apron shall be of a sufficient width to 
prevent, when the drawbar is disconnected and the safety chains or the 
safety bars are taut, the apron from dropping between the steam 
locomotive and tender.



Sec. 230.82  Fire doors.

    (a) General provisions. Each steam locomotive shall have a fire door 
which shall latch securely when closed and which shall be maintained in 
a safe and suitable condition for service. Fire doors on all oil-burning 
locomotives shall be latched securely with a pin or key.
    (b) Mechanically operated fire doors. Mechanically operated fire 
doors shall be so constructed and maintained that they may be operated 
by pressure of the foot on a pedal, or other suitable appliance, located 
on the floor of the cab or tender at a suitable distance from the fire 
door, so that they may be conveniently operated by the person firing the 
steam locomotive.
    (c) Hand-operated doors. Hand operated fire doors shall be so 
constructed and maintained that they may be conveniently operated by the 
person firing the steam locomotive.



Sec. 230.83  Cylinder cocks.

    Each steam locomotive shall be equipped with cylinder cocks which 
can be operated from the cab of the steam locomotive. All cylinder cocks 
shall be maintained in a safe and suitable condition for service.



Sec. 230.84  Sanders.

    Steam locomotives shall be equipped with operable sanders that 
deposit sand on the rail head in front of a set of driving wheels. 
Sanders shall be tested at the beginning of each day the locomotive is 
used.



Sec. 230.85  Audible warning device.

    (a) General provisions. Each steam locomotive shall be equipped with 
an audible warning device that produces a minimum sound level of 96db(A) 
at 100 feet in front of the steam locomotive in its direction of travel. 
The device shall be arranged so that it may conveniently be operated by 
the engineer from his or her normal position in the cab.

[[Page 352]]

    (b) Method of measurement. Measurement of the sound level shall be 
made using a sound level meter conforming, at a minimum, to the 
requirements of ANSI S1.4-1971, Type 2, and set to an A-weighted slow 
response. While the steam locomotive is on level, tangent track, the 
microphone shall be positioned 4 feet above the ground at the center 
line of the track and shall be oriented with respect to the sound source 
in accordance with the microphone manufacturer's recommendations.



Sec. 230.86  Required illumination.

    (a) General provisions. Each steam locomotive used between sunset 
and sunrise shall be equipped with an operable headlight that provides 
illumination sufficient for a steam locomotive engineer in the cab to 
see, in a clear atmosphere, a dark object as large as a man of average 
size standing at least 800 feet ahead and in front of such headlight. If 
a steam locomotive is regularly required to run backward for any portion 
of its trip other than to pick up a detached portion of its train or to 
make terminal movements, it shall also be equipped on its rear end with 
an operable headlight that is capable of providing the illumination 
described in this paragraph (a).
    (b) Dimming device. Such headlights shall be provided with a device 
whereby the light from same may be diminished in yards and at stations 
or when meeting trains.
    (c) Where multiple locomotives utilized. When two or more 
locomotives are used in the same train, the leading locomotive only will 
be required to display a headlight.



Sec. 230.87  Cab lights.

    Each steam locomotive shall have cab lights that sufficiently 
illuminate the control instruments, meters and gauges to allow the 
engine crew to make accurate readings from their usual and proper 
positions in the cab. These lights shall be so located and constructed 
that the light will shine only on those parts requiring illumination and 
does not interfere with the engine crew's vision of the track and 
signals. Each steam locomotive shall also have a conveniently located 
additional lamp that can be readily turned on and off by the persons 
operating the steam locomotive and that provides sufficient illumination 
to read train orders and timetables.

                      Throttles and Reversing Gear



Sec. 230.88  Throttles.

    Throttles shall be maintained in safe and suitable condition for 
service, and efficient means shall be provided to hold the throttle 
lever in any desired position.



Sec. 230.89  Reverse gear.

    (a) General provisions. Reverse gear, reverse levers, and quadrants 
shall be maintained in a safe and suitable condition for service. 
Reverse lever latch shall be so arranged that it can be easily 
disengaged, and provided with a spring which will keep it firmly seated 
in quadrant. Proper counterbalance shall be provided for the valve gear.
    (b) Air-operated power reverse gear. Steam locomotives that are 
equipped with air operated power reverse gear shall be equipped with a 
connection whereby such gear may be operated by steam or by an auxiliary 
supply of air in case of failure of the main reservoir air pressure. The 
operating valve handle for such connection shall be conveniently located 
in the cab of the locomotive and shall be plainly marked. If an 
independent air reservoir is used as the source of the auxiliary supply 
for the reverse gear, it shall be provided with means to automatically 
prevent loss of pressure in event of failure of the main reservoir air 
pressure.
    (c) Power reverse gear reservoirs. Power reverse gear reservoirs, if 
provided, must be equipped with the means to automatically prevent the 
loss of pressure in the event of a failure of main air pressure and have 
storage capacity for not less than one complete operating cycle of 
control equipment.

                       Draw Gear and Draft Systems



Sec. 230.90  Draw gear between steam locomotive and tender.

    (a) Maintenance and testing. The draw gear between the steam 
locomotive and tender, together with the pins and fastenings, shall be 
maintained in safe

[[Page 353]]

and suitable condition for service. The pins and drawbar shall be 
removed and tested for defects using an appropriate NDE method at every 
annual inspection. Where visual inspection does not disclose any 
defects, an additional NDE testing method shall be employed. Suitable 
means for securing the drawbar pins in place shall be provided. Inverted 
drawbar pins shall be held in place by plate or stirrup.
    (b) Safety bars and chains generally. One or more safety bar(s) or 
two or more safety chains shall be provided between the steam locomotive 
and tender. The combined strength of the safety chains or safety bar(s) 
and their fastenings shall be not less than 50 percent of the strength 
of the drawbar and its connections. These shall be maintained in safe 
and suitable condition for service, and inspected at the same time draw 
gear is inspected.
    (c) Minimum length of safety chains or bars. Safety chains or safety 
bar(s) shall be of the minimum length consistent with the curvature of 
the railroad on which the steam locomotive is operated.
    (d) Lost motion. Lost motion between steam locomotives and tenders 
not equipped with spring buffers shall be kept to a minimum and shall 
not exceed \1/2\ inch.
    (e) Spring buffers. When spring buffers are used between steam 
locomotives and tenders the spring shall be applied with not less than 
\3/4\ inch compression, and shall at all times be under sufficient 
compression to keep the chafing faces in contact.



Sec. 230.91  Chafing irons.

    Chafing irons that permit proper curving shall be securely attached 
to the steam locomotive and tender, and shall be maintained to permit 
lateral and vertical movement.



Sec. 230.92  Draw gear and draft systems.

    Couplers, draft gear and attachments on steam locomotives and 
tenders shall be securely fastened, and maintained in safe and suitable 
condition for service.

                              Driving Gear



Sec. 230.93  Pistons and piston rods.

    (a) Maintenance and testing. Pistons and piston rods shall be 
maintained in safe and suitable condition for service. Piston rods shall 
be inspected for cracks each time they are removed, and shall be renewed 
if found defective.
    (b) Fasteners. Fasteners (keys, nuts, etc.) shall be kept tight and 
shall have some means to prevent them from loosening or falling out of 
place.



Sec. 230.94  Crossheads.

    Crossheads shall be maintained in a safe and suitable condition for 
service, with not more than \1/4\ inch vertical or \5/16\ inch lateral 
clearance between crossheads and guides.



Sec. 230.95  Guides.

    Guides shall be securely fastened and maintained in a safe and 
suitable condition for service.



Sec. 230.96  Main, side, and valve motion rods.

    (a) General. Main, side or valve motion rods developing cracks or 
becoming otherwise defective shall be removed from service immediately 
and repaired or renewed.
    (b) Repairs. Repairs, and welding of main, side or valve motion rods 
shall be made in accordance with an accepted national standard. The 
steam locomotive owner and/or operator shall submit a written request 
for approval to the FRA Regional Administrator prior to welding 
defective main rods, side rods, and valve gear components.
    (c) Bearings and bushings. Bearings and bushings shall so fit the 
rods as to be in a safe and suitable condition for service, and means 
shall be provided to prevent bushings from turning in the rod. Straps 
shall fit and be securely bolted to rods. Floating bushings need not be 
provided with means to prevent bushings from turning.
    (d) Side motion of rods. The total amount of side motion of each rod 
on its crank pin shall not exceed \1/4\ inch.
    (e) Oil and grease cups. Oil and grease cups shall be securely 
attached to rods, and grease cup plugs shall be equipped

[[Page 354]]

with a suitable fastening that will prevent them from being ejected.
    (f) Main rod bearings. The bore of main rod bearings shall not 
exceed pin diameters more than \3/32\ inch at front or back end. The 
total lost motion at both ends shall not exceed \5/32\ inch.
    (g) Side rod bearings. The bore of side rod bearings shall not 
exceed pin diameters more than \5/32\ inch on main pin nor more than \3/
16\ inch on other pins.



Sec. 230.97  Crank pins.

    (a) General provisions. Crank pins shall be securely applied. 
Securing the fit of a loose crank pin by shimming, prick punching, or 
welding is not permitted.
    (b) Maintenance. Crank pin collars and collar fasteners shall be 
maintained in a safe and suitable condition for service.

                              Running Gear



Sec. 230.98  Driving, trailing, and engine truck axles.

    (a) Condemning defects. Driving, trailing, and engine truck axles 
with any of the following defects shall be removed from service 
immediately and repaired (see appendix A of this part for inspection 
requirements):
    (1) Bent axle;
    (2) Cut journals that cannot be made to run cool without turning;
    (3) Transverse seams in iron or steel axles;
    (4) Seams in axles causing journals to run hot;
    (5) Axles that are unsafe on account of usage, accident or 
derailment;
    (6) Any axle worn \1/2\ inch or more in diameter below the original/
new journal diameter, except as provided in paragraph (a)(7) of this 
section;
    (7) Any driving axles other than main driving axles with an original 
or new diameter greater than 6 inches that are worn \3/4\ inch or more 
in diameter below the original/new diameter.
    (b) Journal diameter stamped. For steam locomotives with plain 
bearings, the original/new journal diameter shall be stamped on one end 
of the axle no later than January 18, 2005.



Sec. 230.99  Tender truck axles.

    The minimum diameters of axles for various axle loads shall be as 
follows:

----------------------------------------------------------------------------------------------------------------
                                                                      Minimum         Minimum         Minimum
                                                                    diameter of     diameter of     diameter of
                      Axle load (in pounds)                        journal  (in     wheel seat      center  (in
                                                                      inches)       (in inches)       inches)
----------------------------------------------------------------------------------------------------------------
50000...........................................................          5\1/2\          7\3/8\         6\7/16\
38000...........................................................               5          6\3/4\          5\7/8\
31000...........................................................          4\1/2\          6\1/4\         5\5/16\
22000...........................................................          3\3/4\               5          4\3/8\
15000...........................................................          3\1/4\          4\5/8\          3\7/8\
----------------------------------------------------------------------------------------------------------------



Sec. 230.100  Defects in tender truck axles and journals.

    (a) Tender truck axle condemning defects. Tender truck axles with 
any of the following defects shall be removed from service immediately 
and repaired:
    (1) Axles that are bent;
    (2) Collars that are broken, cracked, or worn to \1/4\ inch or less 
in thickness;
    (3) Truck axles that are unsafe on account of usage, accident, or 
derailment;
    (4) A fillet in the back shoulder that is worn out; or
    (5) A gouge between the wheel seats that is more than \1/8\ of an 
inch in depth.
    (b) Tender truck journal condemning defects. Tender truck journals 
with any of the following defects shall be removed from service 
immediately and repaired :
    (1) Cut journals that cannot be made to run cool without turning;
    (2) Seams in axles causing journals to run hot;
    (3) Overheating, as evidenced by pronounced blue black 
discoloration;
    (4) Transverse seams in journals of iron or steel axles; or
    (5) Journal surfaces having any of the following:
    (i) A circumferential score;
    (ii) Corrugation;
    (iii) Pitting;

[[Page 355]]

    (iv) Rust;
    (v) Etching.



Sec. 230.101  Steam locomotive driving journal boxes.

    (a) Driving journal boxes. Driving journal boxes shall be maintained 
in a safe and suitable condition for service. Not more than one shim may 
be used between the box and bearing.
    (b) Broken bearings. Broken bearings shall be renewed.
    (c) Loose bearings. Loose bearings shall be repaired or renewed.



Sec. 230.102  Tender plain bearing journal boxes.

    Plain bearing journal boxes with the following defects shall be 
removed from service immediately and repaired:
    (a) A box that does not contain visible free oil;
    (b) A box lid that is missing, broken, or open except to receive 
servicing;
    (c) A box containing foreign matter, such as dirt, sand, or coal 
dust that can reasonably be expected to damage the bearing; or have a 
detrimental effect on the lubrication of the journal and bearing;
    (d) A lubricating pad that:
    (1) Is missing;
    (2) Is not in contact with the journal;
    (3) Has a tear extending half the length or width of the pad, or 
more, except by design;
    (4) Shows evidence of having been scorched, burned, or glazed;
    (5) Contains decaying or deteriorated fabric that impairs proper 
lubrication of the pad;
    (6) Has an exposed center core (except by design); or
    (7) Has metal parts contacting the journal;
    (e) A plain bearing that:
    (1) Is missing, cracked, broken;
    (2) Has a bearing liner loose;
    (3) Has a broken out piece; or
    (4) Has indications of having been overheated, as evidenced by:
    (i) Melted babbitt:
    (ii) Smoke from hot oil; or
    (iii) Journal surface damage; or
    (f) A plain bearing wedge that:
    (1) Is missing, cracked or broken; or
    (2) Is not located in its design position.



Sec. 230.103  Tender roller bearing journal boxes.

    Tender roller bearing journal boxes shall be maintained in a safe 
and suitable condition.



Sec. 230.104  Driving box shoes and wedges.

    Driving box shoes and wedges shall be maintained in a safe and 
suitable condition for service.



Sec. 230.105  Lateral motion.

    (a) Condemning limits. The total lateral motion or play between the 
hubs of the wheels and the boxes on any pair of wheels shall not exceed 
the following limits:

------------------------------------------------------------------------
                                                                  Inches
------------------------------------------------------------------------
Engine truck wheels (with swing centers).......................        1
Engine truck wheels (with rigid centers).......................   1\1/2\
Trailing truck wheels..........................................        1
Driving wheels.................................................    \3/4\
------------------------------------------------------------------------

    (b) Limits increased. These limits may be increased on steam 
locomotives operating on track where the curvature exceeds 20 degrees 
when it can be shown that conditions require additional lateral motion.
    (c) Non-interference with other parts. The lateral motion shall in 
all cases be kept within such limits that the driving wheels, rods, or 
crank pins will not interfere with other parts of the steam locomotive.

                  Trucks, Frames and Equalizing System



Sec. 230.106  Steam locomotive frame.

    (a) Maintenance and inspection. Frames, decks, plates, tailpieces, 
pedestals, and braces shall be maintained in a safe and suitable 
condition for service, and shall be cleaned and thoroughly inspected as 
often as necessary to maintain in a safe and suitable condition for 
service with cleaning intervals, in any case, not to exceed every 1472 
service days.
    (b) Broken frames. Broken frames properly patched or secured by 
clamps or other suitable means which restores the rigidity of the frame 
are permitted.

[[Page 356]]



Sec. 230.107  Tender frame and body.

    (a) Maintenance. Tender frames shall be maintained in a safe and 
suitable condition for service.
    (b) Height difference. The difference in height between the deck on 
the tender and the cab floor or deck on the steam locomotive shall not 
exceed 1\1/2\ inches.
    (c) Gangway minimum width. The minimum width of the gangway between 
steam locomotive and tender, while standing on tangent track, shall be 
16 inches.
    (d) Tender frame condemning defects. A tender frame with any of the 
following defects shall be removed from service immediately and 
repaired:
    (1) Portions of the tender frame or body (except wheels) that have 
less than a 2\1/2\ inches clearance from the top of rail;
    (2) Tender center sill that is broken, cracked more than 6 inches, 
or permanently bent or buckled more than 2\1/2\ inches in any six foot 
length;
    (3) Tender coupler carrier that is broken or missing;
    (4) Tender center plate, any portion of which is missing or broken 
or that is not properly secured; or
    (5) Tender that has a broken side sill, crossbearer, or body 
bolster.



Sec. 230.108  Steam locomotive leading and trailing trucks.

    (a) Maintenance. Trucks shall be maintained in safe and suitable 
condition for service. Center plates shall fit properly, and the male 
center plate shall extend into the female center plate not less than \3/
4\ inch. All centering devices shall be properly maintained and shall 
not permit lost motion in excess of \1/2\ inch.
    (b) Safety chain required. A suitable safety chain shall be provided 
at each front corner of all four wheel engine trucks.
    (c) Clearance required. All parts of trucks shall have sufficient 
clearance to prevent them from interfering with any other part of the 
steam locomotive.



Sec. 230.109  Tender trucks.

    (a) Tender truck frames. A tender truck frame shall not be broken, 
or have a crack in a stress area that affects its structural integrity. 
Tender truck center plates shall be securely fastened, maintained in a 
safe and suitable condition for service, and provided with a center pin 
properly secured. The male center plate must extend into the female 
center plate at least \3/4\ inch. Shims may be used between truck center 
plates.
    (b) Tender truck bolsters. Truck bolsters shall be maintained 
approximately level.
    (c) Condemning defects for springs or spring rigging. Springs or 
spring rigging with any of the following defects shall be taken out of 
service immediately and renewed or properly repaired:
    (1) An elliptical spring with its top (long) leaf or any other five 
leaves in the entire spring pack broken;
    (2) A broken coil spring or saddle;
    (3) A coil spring that is fully compressed;
    (4) A broken or cracked equalizer, hanger, bolt, gib or pin;
    (5) A broken coil spring saddle; and
    (6) A semi-elliptical spring with a top (long) leaf broken or two 
leaves in the top half broken, or any three leaves in the entire spring 
broken.
    (d) Tender securing arrangement. Where equipped, tender devices and/
or securing arrangements intended to prevent the truck and tender body 
from separating in case of derailment shall be maintained in a safe and 
suitable condition for service.
    (e) Side bearings and truck centering devices. Where equipped, side 
bearings and truck centering devices shall be maintained in a safe and 
suitable condition for service.
    (f) Friction side bearings. Friction side bearings shall not be run 
in contact, and shall not be considered to be in contact if there is 
clearance between them on either side when measured on tangent level 
track.
    (g) Side bearings. All rear trucks shall be equipped with side 
bearings. When the spread of side bearings is 50 inches, their maximum 
clearance shall be \3/8\ inch on each side for rear trucks and \3/4\ 
inch on each side for front trucks, where used. When the spread of the 
side bearings is increased, the maximum clearance shall be increased 
proportionately.

[[Page 357]]



Sec. 230.110  Pilots.

    (a) General provisions. Pilots shall be securely attached, properly 
braced, and maintained in a safe and suitable condition for service.
    (b) Minimum and maximum clearance. The minimum clearance of pilot 
above the rail shall be 3 inches and the maximum clearance shall be 6 
inches measured on tangent level track.



Sec. 230.111  Spring rigging.

    (a) Arrangement of springs and equalizers. Springs and equalizers 
shall be arranged to ensure the proper distribution of weight to the 
various wheels of the steam locomotive, maintained approximately level 
and in a safe and suitable condition for service. Adjusting weights by 
shifting weights from one pair of wheels to another is permissible.
    (b) Spring or spring rigging condemning defects. Springs or spring 
rigging with any of the following defects shall be removed from service 
immediately and renewed or properly repaired:
    (1) Top leaf broken or two leaves in top half or any three leaves in 
spring broken. (The long side of a spring to be considered the top.) 
Broken springs not exceeding these requirements may be repaired by 
applying clips providing the clips can be made to remain in place;
    (2) Any spring with leaves excessively shifting in the band;
    (3) Broken coil springs; or
    (4) Broken driving box saddle, equalizer, hanger, bolt, or pin.

                            Wheels and Tires



Sec. 230.112  Wheels and tires.

    (a) Mounting. Wheels shall be securely mounted on axles. Prick 
punching or shimming the wheel fit will not be permitted. The diameter 
of wheels on the same axle shall not vary more than \3/32\ inch.
    (b) Gage. Wheels used on standard gage track will be out of gage if 
the inside gage of flanges, measured on base line is less than 53 inches 
or more than 53\3/8\ inches. Wheels used on less than standard gage 
track will be out of gage if the inside gage of flanges, measured on 
base line, is less than the relevant track gage less 3\1/2\ inches or 
more than the relevant track gage less 3\1/8\ inches.
    (c) Flange distance variance. The distance back to back of flanges 
of wheels mounted on the same axle shall not vary more than \1/4\ inch.
    (d) Tire thickness. Wheels may not have tires with a minimum 
thickness less than that indicated in the table in this paragraph (d). 
When retaining rings are used, measurements of tires to be taken from 
the outside circumference of the ring, and the minimum thickness of 
tires may be as much below the limits specified earlier in this 
paragraph (d) as the tires extend between the retaining rings, provided 
it does not reduce the thickness of the tire to less than 1\1/8\ inches 
from the throat of flange to the counterbore for the retaining rings. 
The required minimum thickness for tires, by wheel center diameter and 
weight per axle, is as follows:

------------------------------------------------------------------------
 Weight per axle (weight on drivers                            Minimum
   divided by number of pairs of        Diameter of wheel     thickness
          driving wheels)                center (inches)       (inches)
------------------------------------------------------------------------
30,000 pounds and under............  44 and under..........       1\1/4\
                                     Over 44 to 50.........      1\5/16\
                                     Over 50 to 56.........       1\3/8\
                                     Over 56 to 62.........      1\7/16\
                                     Over 62 to 68.........       1\1/2\
                                     Over 68 to 74.........      1\9/16\
                                     Over 74...............       1\5/8\
Over 30,000 to 35,000 pounds.......  44 and under..........      1\5/16\
                                     Over 44 to 50.........       1\3/8\
                                     Over 50 to 56.........      1\7/16\
                                     Over 56 to 62.........       1\1/2\
                                     Over 62 to 68.........      1\9/16\
                                     Over 68 to 74.........       1\5/8\
                                     Over 74...............     1\11/16\
Over 35,000 to 40,000 pounds.......  44 and under..........       1\3/8\
                                     Over 44 to 50.........      1\7/16\
                                     Over 50 to 56.........       1\1/2\
                                     Over 56 to 62.........      1\9/16\

[[Page 358]]

 
                                     Over 62 to 68.........       1\5/8\
                                     Over 68 to 74.........     1\11/16\
                                     Over 74...............       1\3/4\
Over 40,000 to 45,000 pounds.......  44 and under..........      1\7/16\
                                     Over 44 to 50.........       1\1/2\
                                     Over 50 to 56.........      1\9/16\
                                     Over 56 to 62.........       1\5/8\
                                     Over 62 to 68.........     1\11/16\
                                     Over 68 to 74.........       1\3/4\
                                     Over 74...............     1\13/16\
Over 45,000 to 50,000 pounds.......  44 and under..........       1\1/2\
                                     Over 44 to 50.........      1\9/16\
                                     Over 50 to 56.........       1\5/8\
                                     Over 56 to 62.........     1\11/16\
                                     Over 62 to 68.........       1\3/4\
                                     Over 68 to 74.........     1\13/16\
                                     Over 74...............       1\7/8\
Over 50,000 to 55,000 pounds.......  44 and under..........      1\9/16\
                                     Over 44 to 50.........       1\5/8\
                                     Over 50 to 56.........     1\11/16\
                                     Over 56 to 62.........       1\3/4\
                                     Over 62 to 68.........     1\13/16\
                                     Over 68 to 74.........       1\7/8\
                                     Over 74...............     1\15/16\
Over 55,000 pounds.................  44 and under..........       1\5/8\
                                     Over 44 to 50.........     1\11/16\
                                     Over 50 to 56.........       1\3/4\
                                     Over 56 to 62.........     1\13/16\
                                     Over 62 to 68.........       1\7/8\
                                     Over 68 to 74.........     1\15/16\
                                     Over 74...............            2
------------------------------------------------------------------------

    (e) Tire width. Flanged tires shall be no less than 5\1/2\ inches 
wide for standard gage and no less than 5 inches wide for narrow gage. 
Plain tires shall be no less than 6 inches wide for standard gage and no 
less than 5\1/2\ inches wide for narrow gage.



Sec. 230.113  Wheels and tire defects.

    Steam locomotive and tender wheels or tires developing any of the 
defects listed in this section shall be removed from service immediately 
and repaired. Except as provided in Sec. 230.114, welding on wheels and 
tires is prohibited. A wheel that has been welded is a welded wheel for 
the life of the wheel.
    (a) Cracks or breaks. Wheels and tires may not have a crack or break 
in the flange, tread, rim, plate, hub or brackets.
    (b) Flat spots. Wheels and tires may not have a single flat spot 
that is 2\1/2\ inches or more in length, or two adjoining spots that are 
each two or more inches in length.
    (c) Chipped flange. Wheels and tires may not have a gouge or chip in 
the flange that is more than 1\1/2\ inches in length and \1/2\ inch in 
width.
    (d) Broken rims. Wheels and tires may not have a circumferentially 
broken rim if the tread, measured from the flange at a point \5/8\ inch 
above the tread, is less than 3\3/4\ inches in width.
    (e) Shelled-out spots. Wheels and tires may not have a shelled-out 
spot 2\1/2\ inches or more in length, or two adjoining spots that are 
each two or more inches in length, or so numerous as to endanger the 
safety of the wheel.
    (f) Seams. Wheels and tires may not have a seam running lengthwise 
that is within 3\3/4\ inches of the flange.
    (g) Worn flanges. Wheels and tires may not have a flange worn to a 
\15/16\ inch thickness or less, as measured at a point \3/8\ inch above 
the tread.
    (h) Worn treads. Wheels and tires may not have a tread worn hollow 
\5/16\ inch or more.
    (i) Flange height. Wheels and tires may not have a flange height of 
less than 1 inch nor more than 1\1/2\ inches, as measured from the tread 
to the top of the flange.

[[Page 359]]

    (j) Rim thickness. Wheels may not have rims less than 1 inch thick.
    (k) Wheel diameter. Wheels may not have wheel diameter variance, for 
wheels on the same axle or in the same driving wheel base, greater than 
\3/32\ inch, when all tires are turned or new tires applied to driving 
and trailing wheels. When a single tire is applied, the diameter must 
not vary more than \3/32\ inch from that of the opposite wheel on the 
same axle. When a single pair of tires is applied the diameter must be 
within \3/32\ inch of the average diameter of the wheels in the driving 
wheel base to which they are applied.



Sec. 230.114  Wheel centers.

    (a) Filling blocks and shims. Driving and trailing wheel centers 
with divided rims shall be properly fitted with iron or steel filling 
blocks before the tires are applied, and such filling blocks shall be 
properly maintained. When shims are inserted between the tire and the 
wheel center, not more than two thicknesses of shims may be used, one of 
which must extend entirely around the wheel. The shim which extends 
entirely around the wheel may be in three or four pieces, providing they 
do not lap.
    (b) Wheel center condemning defects. Wheel centers with any of the 
following defects shall be removed from service immediately and 
repaired:
    (1) Wheels centers loose on axle;
    (2) Broken or defective tire fastenings;
    (3) Broken or cracked hubs, plates, bolts or spokes, except as 
provided in paragraph (b)(4) of this section; or
    (4) Driving or trailing wheel center with three adjacent spokes or 
25 percent or more of the spokes in the wheel broken.
    (c) Wheel center repairs. Wheel centers may be repaired by welding 
or brazing provided that the defect can properly be so repaired and, 
following the repair, the crankpin and axle shall remain tight in the 
wheel. Banding of the hub is permitted.
    (d) Counterbalance maintenance. Wheel counterbalances shall be 
maintained in a safe and suitable condition for service.

                         Steam Locomotive Tanks



Sec. 230.115  Feed water tanks.

    (a) General provisions. Tanks shall be maintained free from leaks, 
and in safe and suitable condition for service. Suitable screens must be 
provided for tank wells or tank hose and shall be maintained in a manner 
that allows the unobstructed flow of water. Feed water tanks shall be 
equipped with a device that permits the measurement of the quantity of 
water in the tender feed water tank from the cab or tender deck of the 
steam locomotive. Such device shall be properly maintained.
    (b) Inspection frequency. As often as conditions warrant but not 
less frequently than every 92 service days, the interior of the tank 
shall be inspected, and cleaned if necessary.
    (c) Top of tender. Top of tender behind fuel space shall be kept 
clean, and means provided to carry off excess water. Suitable covers 
shall be provided for filling holes.



Sec. 230.116  Oil tanks.

    The oil tanks on oil burning steam locomotives shall be maintained 
free from leaks. The oil supply pipe shall be equipped with a safety 
cut-off device that:
    (a) Is located adjacent to the fuel supply tank or in another safe 
location;
    (b) Closes automatically when tripped and that can be reset without 
hazard; and
    (c) Can be hand operated from clearly marked locations, one inside 
the cab and one accessible from the ground on each exterior side of the 
steam locomotive.

             Appendix A to Part 230--Inspection Requirements

    The lists in this appendix are intended as guidance only. Adherence 
to this list does not relieve the steam locomotive owner and/or operator 
of responsibility for either: (1) Completing the inspection and 
maintenance requirements described in this part; or (2) ensuring that 
the steam locomotive, tender and its parts and appurtenances are safe 
and suitable for service.

               Daily Inspection Requirements; Sec. 230.13

    1. Observance of lifting pressure of the lowest safety valve.

[[Page 360]]

    2. Testing of water glasses and gauge cocks.*
    3. Inspection of tubular water glass shields.
    4. Inspection of all cab lamps.*
    5. Inspection of boiler feedwater delivery systems.*
    6. Inspection of lagging for indication of leaks.
    7. Inspection for leaks obstructing vision of engine crew.
    8. Observance of compressor(s) and governor to ascertain proper 
operation.*
    9. Inspection of brake and signal equipment.*
    10. Inspection of brake cylinders for piston travel.
    11. Inspection of foundation brake gear.
    12. Inspection of sanders.*
    13. Inspection of draw gear and chafing irons.
    14. Inspection of draft gear.
    15. Inspection of crossheads and guides.
    16. Inspection of piston rods and fasteners.
    17. Inspection of main, side, and valve motion rods.
    18. Inspection of headlights and classification lamps.*
    19. Inspection of running gear.
    20. Inspection of tender frames and tanks.
    21. Inspection of tender trucks for amount of side bearing 
clearance.

    Note: All items marked (*) should be checked at the beginning of 
each day the locomotive is used.

           31 Service Day Inspection Requirements; Sec. 230.14

    1. Washing of boiler.
    2. Cleaning and inspection of water glass valves and gauge cocks.
    3. Cleaning, washing and inspection of arch tubes, water bar tubes, 
circulators and siphons.
    4. Removal and inspection of all washout and water tube plugs.
    5. Testing of all staybolts.
    6. Removal, cleaning and inspection of fusible plugs (if any).

           92 Service Day Inspection Requirements; Sec. 230.15

    1. Removal and testing of all air and steam gauges.
    2. Cleaning of steam gauge siphon pipe.
    3. Renewal of tubular water glasses.
    4. Testing and adjusting of safety relief valves.
    5. Testing of main reservoir and brake cylinder leakage.
    6. Entering and inspection of tender tank interior.

               Annual Inspection Requirements; Sec. 230.16

    1. Testing of thickness of arch and water bar tubes (arch brick to 
be removed)
    2. Hydrostatic testing of boiler.
    3. Testing of all staybolts.
    4. Interior inspection of boiler.
    5. Thickness verification of dry pipes.
    6. Smoke box inspection.
    7. Main reservoir hammer or UT testing and hydrostatic testing (for 
non-welded and drilled main reservoirs)
    8. Removal and inspection of steam locomotive drawbar(s) and pins 
(NDE testing other than merely visual)
    9. Inspection of longitudinal lap joint boiler seams.

               5 Year Inspection Requirements; Sec. 230.16

    1. Inspection of flexible staybolt caps and sleeves.

          1472 Service Day Inspection Requirements; Sec. 230.17

    1. Removal of boiler flues (as necessary) and cleaning of boiler 
interior.
    2. Removal of jacket and lagging and inspection of boiler interior 
and exterior.
    3. Hydrostatic testing of boiler.
    4. Thickness verification (boiler survey) and recomputation and 
update of steam locomotive specification card, (FRA Form No. 4).

[[Page 361]]

              Appendix B to Part 230--Diagrams and Drawings
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              Appendix C to Part 230--FRA Inspection Forms
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             Appendix D to Part 230--Civil Penalty Schedule

------------------------------------------------------------------------
                                                               Willful
                   Section                      Violation     violation
------------------------------------------------------------------------
             Subpart A--General
 
230.11 Repair of non-complying conditions:
    (a) Failure to repair non-complying            $1,000        $2,500
     steam locomotive prior to use in
     service................................

[[Page 391]]

 
    (b) Failure of owner and/or operator to         1,000         1,500
     approve repairs made prior to use of
     steam locomotive.......................
230.12 Movement of non-complying steam              (\1\)         (\1\)
 locomotive:
230.13 Daily inspection:
    (a) (b):
        (1) Inspection overdue..............        1,500         3,000
        (2) Inspection not performed by             1,000         1,500
         qualified person...................
    (c) Inspection report not made,                 1,000         1,500
     improperly executed or not retained....
230.14 Thirty-one service day inspection:
    (a):
        (1) Inspection overdue..............        1,500         3,000
        (2) Inspection not performed by       ............  ............
         qualified person...................
    (b) Failure to notify FRA...............        1,000         1,500
    (c) Inspection report not made,                 1,000         1,500
     improperly executed, not properly filed
230.15 Ninety-two service day inspection:
    (a):
        (1) Inspection overdue..............        1,500         3,000
        (2) Inspection not performed by             1,000         1,500
         qualified person...................
    (b) Inspection report not made,                 1,000         1,500
     improperly executed, not properly filed
230.16 Annual inspection:
    (a):
        (1) Inspection overdue..............        1,500         3,000
        (2) Inspection not performed by             1,000         1,500
         qualified person...................
    (b) Failure to notify FRA...............        1,000         1,500
    (c) Inspection report not made,                 1,000         1,500
     improperly executed, not properly filed
230.17 One thousand four hundred seventy-two
 service day inspection:
    (a):
        (1) Inspection overdue..............        1,500         3,000
        (2) Inspection not performed by             1,250         2,000
         qualified person...................
    (b) Inspection report not made,                 1,000         1,500
     improperly executed, not properly
     maintained, not properly filed.........
230.18 Service days:
    (a) Service day record not available for        1,000         1,500
     inspection.............................
    (b) Failure to file service day report          1,000         1,500
     with FRA Regional Administrator........
    (c) Failure to complete all 1,472               1,500         3,000
     service day inspection items prior to
     returning retired steam locomotive to
     service................................
230.19 Posting of forms:
    (a) FRA Form No. 1:
        (1) FRA Form No. 1 not properly             1,000         1,500
         filled out.........................
        (2) FRA Form No. 1 not properly             1,000         1,500
         displayed..........................
    (b) FRA Form No. 3:
        (1) FRA Form No. 3 not properly             1,000         1,500
         filled out.........................
        (2) FRA Form No. 3 not properly             1,000         1,500
         displayed..........................
230.20 Alteration and repair reports:
    (a) Alterations:
        (1) Failure to properly file FRA            1,000         1,500
         Form No. 19 with FRA Regional
         Administrator......................
        (2) FRA Form No. 19 not properly            1,000         1,500
         filled out.........................
        (3) FRA Form No. 19 not properly            1,000         1,500
         maintained.........................
    (b) Repairs to unstayed portions of the
     boiler:
        (1) FRA Form No. 19 not properly            1,000         1,500
         filled out.........................
        (2) FRA Form No. 19 not properly            1,000         1,500
         maintained.........................
    (c) Repairs to stayed portions of the
     boiler:
        (1) FRA Form No. 19 not properly            1,000         1,500
         filled out.........................
        (2) FRA Form No. 19 not properly            1,000         1,500
         maintained.........................
230.21 Failure to properly document steam           1,000         1,500
 locomotive number Change...................
 
    Subpart B--Boilers and Appurtenances
 
230.22 Failure to properly report accident          1,500         2,500
 resulting from failure of steam locomotive
 boiler or part or appurtenance thereof.....
230.23 Responsibility for general
 construction and safe working pressure:
    (a) Failure to properly establish safe          5,000        10,000
     working pressure for steam locomotive
     boiler.................................
    (b) Placing steam locomotive in service         5,000        10,000
     before safe working pressure for boiler
     has been established...................
230.24 Maximum allowable stress values on
 boiler components:
    (a) Use of materials not of sufficient          1,000         2,000
     tensile strength.......................
    (b) Use of a safety factor value of less        2,000         4,000
     than 4 when using the code of original
     construction in boiler calculations....
230.25 Maximum allowable stresses on stays
 and braces:
    (a) Exceeding allowable stress values on        1,000         2,000
     fire box and/or combustion chamber.....
    (b) Exceeding allowable stress values on        1,000         2,000
     round, rectangular or gusset braces....
230.29 Inspection and repair:
    (a):
        (1) Failure of owner and/or operator        1,500         3,000
         to inspect and repair any steam
         locomotive boiler and/or
         appurtenance under control thereof.
        (2) Failure to remove steam                 2,500         5,000
         locomotive from service when
         considered necessary to do so......

[[Page 392]]

 
    (b):
        (1) Failure of perform repairs in           2,000         4,000
         accordance with accepted industry
         standards..........................
        (2) Owner and/or operator returning         2,000         4,000
         steam locomotive boiler and/or
         appurtenances to service before
         they are in good condition and safe
         and suitable for service...........
230.30 Lap-joint seam boilers, Failure to           2,000         4,000
 properly inspect...........................
230.31 Flues to be removed:
    (a):
        (1) Failure to remove all flues when        1,500         3,000
         inspecting boiler..................
        (2) Failure to enter boiler and             1,500         3,000
         clean and inspect..................
    (b) Failure to remove superheater flues         1,000         2,000
     when deemed necessary to do so.........
230.32 Time and method of inspection:
    (a) Failure to perform 1,472 service day        1,500         3,000
     inspection when required to do so......
    (b) Failure to properly inspect boiler          1,500         3,000
     during 1,472 service day inspection....
230.33 Welded repairs and alterations:
    (a) Failure to obtain permission before         1,500         3,000
     welding on unstayed portions of boiler
     containing alloy or carbon steel with
     carbon content over .25 percent carbon.
    (b) Failure to perform welding on               1,500         3,000
     unstayed portions of boiler containing
     carbon steel not exceeding .25 percent
     carbon in accordance with a nationally
     accepted standard for boiler repairs...
    (c):
        (1) Failure to submit written               1,500         3,000
         request for approval before
         performing weld buildup on wasted
         areas of unstayed boiler surfaces
         that exceed 100 square inches or
         the smaller of 25 percent of
         minimum required wall thickness or
         \1/2\ inch.........................
        (2) Repairing wasted sheets.........        1,500         3,000
230.34 Riveted repairs and alterations:
    (a) Failure to obtain approval before           1,500         3,000
     making riveted alterations on unstayed
     portions of the boiler; failure to do
     riveting in accordance with established
     railroad practices or accepted national
     standards for boiler repairs...........
    (b) Failure to perform riveted repairs          1,500         3,000
     on unstayed boiler portions in
     accordance with established railroad
     practices or accepted national
     standards for boiler repairs...........
    (c) Failure to perform riveted repairs          1,000         2,000
     on stayed boiler portions in accordance
     with established railroad practices or
     accepted national standards for boiler
     repairs................................
230.35 Failure to raise temperature of steam        1,000         2,000
 locomotive boiler to 70 degrees F. before
 applying hydrostatic pressure to the boiler
230.36 Hydrostatic testing of boilers:
    (a) Failure to perform hydrostatic test         1,500         3,000
     of boiler as required..................
    (b) Failure to properly perform                 1,500         3,000
     hydrostatic test.......................
    (c) Failure to properly inspect boiler          1,500         3,000
     after conducting hydrostatic test above
     MAWP...................................
230.37 Failure to perform proper steam test         1,000         2,000
 or inspection of boiler after completion of
 repair or alteration to boiler.............
230.38 Telltale holes:
    (a) Failure to have telltale holes as           1,000         2,000
     required in staybolts..................
    (b) Failure to have proper telltale             1,000         2,000
     holes in reduced body staybolts........
    (c) Failure to keep telltales holes when        1,000         2,000
     so required............................
230.39 Broken staybolts:
    (a) Boiler in service with excess number        1,500         3,000
     of broken staybolts....................
    (b) Failure to replace staybolts when           1,500         3,000
     required to do so; to properly replace
     staybolts when so required; to inspect
     adjacent staybolts when replacing
     broken staybolts.......................
    (c) Failure to count leaking, plugged,          1,500         3,000
     or missing telltale holes as broken
     staybolts..............................
    (d) Closing telltale holes by prohibited        1,500         3,000
     means..................................
230.40 Time and method of staybolt testing:
    (a) Failure to hammer test staybolts            1,000         2,000
     when so required.......................
    (b) Failure to properly hammer test             1,000         2,000
     staybolts..............................
230.41 Flexible staybolts with caps:
    (a) Failure to inspect flexible                 1,000         2,000
     staybolts as required..................
    (b) Failure to replace broken flexible          1,000         2,000
     staybolts; failure to close inner ends
     of telltale holes as required..........
    (c) Failure to report removal of                1,000         2,000
     flexible staybolts caps and other tests
     on FRA Form No. 3 when so required.....
    (d) Failure to remove staybolt caps or          1,000         2,000
     otherwise test when FRA inspector or
     steam locomotive owner and/or operator
     consider it necessary to do so.........
230.42 Failure to have accurate boiler steam        2,000         4,000
 gauge where engine crew can conveniently
 read.......................................
230.43 Failure to have gauge siphon of              1,000         2,000
 proper capacity on steam gauge supply pipe;
 failure to properly clean, maintain the
 steam gauge supply pipe....................
230.44 Failure to test steam gauge when so          1,000         2,000
 required...................................
230.45 Failure to properly test and/or set          1,000         2,000
 steam gauge................................
230.46 Failure to attach to boiler backhead         1,000         1,500
 metal badge plate showing allowable steam
 pressure...................................
230.47 Boiler Number:
    (a) (b) (c) Failure to stamp builder's          1,000         1,500
     number on boiler when number is known..
230.48 Number and capacity of safety relief
 valves:
    (a) Failure to equip steam locomotive           2,500         5,000
     boiler with proper safety relief valves
    (b) Failure to provide additional safety        3,000         6,000
     relief valve capacity when so required.
230.49 Setting of safety relief valves:

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    (a) Safety relief valve(s) set and/or           2,500         5,000
     adjusted by person not competent to do
     so.....................................
    (b) Safety relief valve(s) not set to           2,500         5,000
     open at prescribed pressure(s).........
    (c) Safety relief valve(s) not properly         3,000         6,000
     set....................................
    (d) Set pressure of lowest safety relief        1,000         2,000
     valve not properly indicated...........
230.50 Failure to test and adjust safety            1,500         3,000
 relief valves when required to do so.......
230.51 Failure to equip steam locomotive            1,000         2,000
 boiler with at least 2 properly installed
 water glasses..............................
230.52 Failure to properly equip water              2,000         4,000
 glasses....................................
230.53 Failure to properly clean water glass        1,000         2,000
 valves and/or gauge cocks when required to
 do so......................................
230.54 Testing and maintenance:
    (a) Failure to properly test water              1,000         2,000
     glasses and/or gauge cocks.............
    (b) Failure to properly maintain gauge          1,500         3,000
     cocks, water column drain valves, and/
     or water glass valves..................
230.55 Tubular type water and lubricator
 glasses and shields:
    (a) Failure to renew tubular type water         1,000         2,000
     glasses as required....................
    (b) Failure to properly shield tubular          1,000         2,000
     water glasses and/or lubricator glasses
    (c) Failure to properly locate and/or           1,000         2,000
     maintain water glasses and/or water
     glass shields..........................
230.56 Failure to equip water glass with            1,000         2,000
 suitable lamp..............................
230.57 Injectors and feedwater pumps:
    (a) Failure to equip steam locomotive           3,000         6,000
     with proper means for delivering water
     to the boiler..........................
    (b) Failure to properly test and/or             2,500         5,000
     maintain injectors, feedwater pumps,
     boiler checks, delivery pipes, feed
     water pipes, tank hose, tank valves....
    (c) Failure to properly brace injectors,        1,000         2,000
     feedwater pumps, and/or associated
     piping.................................
230.58 Flue plugs:
    (a) Plugging flue plugs when not                1,000         2,000
     otherwise permitted....................
    (b) Improperly plugging flue plugs, when        1,000         2,000
     otherwise permitted....................
230.59 Failure to remove and properly clean         1,500         3,000
 fusible boiler plugs when required to do
 so; failure to properly note removal.......
230.60 Time of washing:
    (a) Failure to thoroughly wash boiler           1,000         2,000
     when required to do so.................
    (b) Failure to remove washout plugs,            1,500         3,000
     arch tube plugs, thermic siphon plugs,
     circulator plugs, water bar plugs when
     washing locomotive boiler..............
    (c) Failure to examine and/or properly          1,500         3,000
     maintain washout plugs washout plug
     sleeves, threaded openings.............
    (d) Failure to clean fusible plugs when         1,500         3,000
     required to do so......................
230.61 Arch tubes, water bar tubes,
 circulators and thermic siphons:
    (a) Failure to clean, wash, inspect arch        1,000         2,000
     tubes, water bar tubes, circulators and
     thermic siphons as required............
    (b) Failure to renew arch tubes, water          1,500         3,000
     bar tubes; failure to repair or renew
     circulators, thermic siphons when
     required...............................
    (c) Failure to properly inspect and/or          1,500         3,000
     replace as necessary arch tubes, water
     bar tubes, circulators.................
230.62 Failure to properly inspect and/or           2,500         5,000
 repair or replace as necessary dry pipes
 subject to pressure........................
230.63 Failure to properly inspect smoke            1,500         3,000
 box, steam pipes, pressure parts when
 required to do so..........................
230.64 Failure to remove from service steam         1,500         3,000
 locomotive boiler leaking under lagging
 from condition which may reduce safety and/
 or repair the boiler before returning to
 service....................................
230.65 Failure to keep steam locomotive             1,000         2,000
 boiler, piping, appurtenances in repair so
 steam does not obscure vision..............
230.66 Failure to properly oversee general          1,000         2,000
 design, construction, maintenance of steam
 locomotive(s) and tender(s)................
230.67 Failure to ensure all steam                  2,500         5,000
 locomotives and tenders are properly
 inspected and repaired and/or all defects
 are properly repaired and steam locomotive
 and/or tender are in good condition, safe
 and suitable for service before being
 returned to service........................
230.68 Failure to equip steam locomotive            1,000         1,500
 that operates in excess of 20 miles per
 hour over the general system with speed
 indicator maintained to ensure accurate
 functioning................................
230.69 Failure to equip steam locomotive            1,000         2,000
 with properly supported ash pan with
 operating mechanism that may be safely
 operated and securely closed...............
230.70 Safe condition:
    (a) Failure to perform proper pre-              1,000         2,000
     departure inspection when so required..
    (b) Failure to properly equip steam             1,000         2,000
     locomotive with brake pipe valve
     clearly identified as ``Emergency Brake
     Valve''................................
230.71 Orifice testing of air compressors:..
    (a)(b):
        Failure to properly test and/or             1,000         2,000
         maintain air compressor(s) capacity
230.72 Testing main reservoirs:
    (a) Failure to properly test main               1,000         2,000
     reservoir(s) when required.............
    (b) Impermissibly or improperly drilling        1,000         2,000
     main reservoir.........................
    (c) Impermissibly using NDE method to           1,000         2,000
     measure wall thickness of main
     reservoir..............................
    (d) Failure to use appropriate method of        1,500         3,000
     NDE testing of wall thickness of welded
     or riveted longitudinal lap seam main
     reservoir(s); failure to withdraw main
     reservoir(s) from service when testing
     reveals insufficient wall thickness....
230.73 Air gauges:

[[Page 394]]

 
    (a) Failure to equip steam locomotive           1,000         1,500
     with properly located air gauge(s) that
     are no more than 3 psi in error........
    (b) Failure to test air gauge(s) when so        1,000         1,500
     required...............................
    (c) Failure to properly test air                1,000         1,500
     gauge(s)...............................
230.74 Failure to properly clean and/or test        1,000         1,500
 all air brake valves, related dirt
 collectors, filters when required to do so.
230.75 Failure to properly stencil or               1,000         1,500
 display date of testing and cleaning and
 initials of shop or station performing work
230.76 Piston travel:
    (a) Insufficient minimum piston travel..        1,000         1,500
    (b) Excessive piston travel when steam          1,000         2,000
     locomotive is stationary...............
230.77 Foundation brake gear:
    (a) Failure to properly maintain                1,000         2,000
     foundation brake gear..................
    (b) Foundation brake gear less than 2.5         1,000         2,000
     inches above rail......................
230.78 Leakage:
    (a):
        (1) Failure to test for leakage from        1,000         1,500
         main reservoir or related piping as
         required...........................
        (2) Failure to repair excessive             1,000         2,000
         leakage from main reservoir or
         related piping leakage.............
    (b) Failure to test for brake cylinder          1,000         1,500
     as required............................
    (c):
        (1) Failure to test for leakage from        1,000         2,000
         steam locomotive brake pipe as
         required...........................
        (2) Failure to repair excessive             1,000         2,000
         brake pipe leakage.................
230.79 Train signal system:
        (1) Failure to test the train signal        1,000         1,500
         system or other form of on-board
         communication as required..........
        (2) Failure to repair train signal          1,000         1,500
         system or other on-board
         communication when not safe or
         suitable for service...............
230.80 Cabs:
    (a) Steam locomotive cab not safe and           1,000         2,000
     suitable for service...................
    (b) Steam pipes: Construction,                  1,000         2,000
     attachment.............................
    (c) Oil-burning steam locomotive, cab-          1,000         1,500
     enclosed...............................
230.81 Cab aprons:
    (a) Cab apron, general provisions.......        1,000         1,500
    (b) Cab apron, insufficient width.......        1,000         1,500
230.82 Fire doors:
    (a) Safe and suitable for service,              1,000         2,000
     general provisions.....................
    (b) Construction and maintenance of             1,000         2,000
     mechanically operated fire doors.......
    (c) Construction and maintenance of hand-       1,000         2,000
     operated fire doors....................
230.83 Cylinder cocks:
        (1) Failure to properly equip with          1,000         1,500
         cylinder cocks.....................
        (2) Failure to properly maintain            1,000         1,500
         cylinder cocks.....................
230.84 Sanders:
        (1) Inoperable sanders..............        1,000         1,500
        (2) Failure to test sanders.........        1,000         1,500
230.85 Audible warning devices:
    (a) General provisions..................        1,000         1,500
    (b) Sound level measurements, Failure to        1,000         1,500
     properly take..........................
230.86 Required illumination:
    (a) General provisions..................        1,000         1,500
    (b) Dimming device, Failure to properly         1,000         1,500
     equip with.............................
    (c) Multiple locomotives, Failure of            1,000         1,500
     lead locomotive to display headlight...
230.87 Cab lights: Failure to properly equip        1,000         2,000
 with.......................................
230.88 Throttles: Failure to properly               1,000         2,000
 maintain, equip............................
230.89 Reverse gear:
    (a) General provisions..................        1,000         2,000
    (b) Air-operated power reverse gear.....        1,000         2,000
    (c) Power reverse gear reservoirs.......        1,000         2,000
230.90 Draw gear and draft systems:
    (a) Maintenance and testing.............        1,000         1,500
    (b) Safety bars and chains, general.....        1,000         1,500
    (c) Safety bars and chains, minimum             1,000         1,500
     length.................................
    (d) Lost motion between steam locomotive        1,000         1,500
     and tender.............................
    (e) Spring buffers: Improper                    1,000         1,500
     application, compression...............
230.91 Chafing irons: Improper application,         1,000         1,500
 maintenance................................
230.92 Draw gear, draft systems: Improperly         1,000         1,500
 maintained, fastened.......................
230.93 Pistons and piston rods:
    (a) Failure to properly inspect,                1,000         2,000
     maintain, renew........................
    (b) Fasteners: Failure to keep tight,           1,000         2,000
     properly equip.........................
230.94 Crossheads: Improperly maintained,           1,000         2,000
 excess clearance...........................
230.95 Guides: Failure to securely fasten,          1,000         2,000
 properly maintain..........................
230.96 Main, side, valve motion rods:
    (a) General.............................        1,000         2,000
    (b) Repairs.............................

[[Page 395]]

 
        (1) Failure to make in accordance           1,000         2,000
         with accepted national standard....
        (2) Failure to submit written               1,000         2,000
         request for approval prior to
         welding............................
        (c) Bearings and bushings...........        1,000         1,500
    (d) Rod side motion: Excessive motion...        1,000         1,500
    (e) Oil, grease cups: Failure to                1,000         1,500
     securely fasten, properly equip........
    (f) Main rod bearings:
        (1) excessive bore..................        1,000         1,500
        (2) excessive lost motion...........        1,000         1,500
    (g) Side rod bearings, excessive bore...        1,000         1,500
230.97 Crank pins:
    (a) General provisions..................        1,000         2,000
    (b) Maintenance: Failure to maintain in         1,000         2,000
     safe, suitable condition...............
230.98 Driving, trailing, engine truck
 axles:
    (a) Condemning defects..................        1,000         2,000
    (b) Journal diameter: Failure to stamp            750         1,000
     on end of axle.........................
230.99 Tender truck axle: Insufficient              1,000         2,000
 diameter...................................
230.100 Defects in tender truck axles and
 journals:
    (a) Tender truck axle condemning defects        1,000         2,000
    (b) Tender truck journal condemning             1,000         2,000
     defects................................
230.101 Steam locomotive driving journal
 boxes:
    (a) Driving journal boxes: Failure to           1,000         2,000
     properly maintain......................
    (b) Broken bearings: Failure to renew...        1,000         2,000
    (c) Loose bearings: Failure to repair or        1,000         2,000
     renew..................................
230.102 Tender plain bearing journal boxes:         1,000         1,500
 Failure to repair..........................
230.103 Tender roller bearing journal boxes:        1,000         1,500
 Failure to properly maintain...............
230.104 Driving box shoes and wedges:               1,000         1,500
 Failure to properly maintain...............
230.105 Lateral motion:
    (a) Condemning limits: Total lateral            1,000         1,500
     motion in excess of....................
    (b) Limits exceeded, failure to                 1,000         1,500
     demonstrate conditions require
     additional lateral motion..............
    (c) Interferes with other parts of steam        1,000         1,500
     locomotive.............................
230.106 Steam locomotive frame:
    (a) Failure to properly inspect and/or          1,000         2,000
     maintain...............................
    (b) Broken frames, not properly patched         2,500         5,000
     or secured.............................
230.107 Tender frame and body:
    (a) Failure to properly maintain........        1,000         1,500
    (b) Height difference between tender            1,000         1,500
     deck and steam locomotive cab floor or
     deck excessive.........................
    (c) Gangway minimum width excessive.....        1,000         1,500
    (d) Tender frame condemning defects.....        1,500         3,000
230.108 Steam locomotive leading and
 trailing trucks:
    (a) Failure to properly maintain........        1,000         1,500
    (b) Safety chain, suitable safety chain         1,000         1,500
     not provided...........................
    (c) Insufficient truck clearance........        1,000         2,000
230.109 Tender trucks:
    (a):
        (1) Tender truck frames.............        1,000         2,000
        (2) Tender truck center plate.......        1,000         2,000
    (b) Tender truck bolsters: Failure to           1,500         3,000
     properly maintain......................
    (c) Condemning defects, springs and/or          1,000         2,000
     spring rigging.........................
    (d) Truck securing arrangement: Not             1,000         1,500
     properly maintained....................
    (e) Side bearings, truck centering              1,000         2,000
     devices................................
    (f) Friction side bearings: Run in              1,000         2,000
     contact................................
    (g):
        (1) Side bearings, failure to equip         1,000         2,000
         rear trucks with...................
        (2) Insufficient clearance of.......        1,000         2,000
230.110 Pilots:
    (a) General provisions..................        1,000         1,500
    (b) Clearance, insufficient or excessive        1,000         1,500
230.111 Spring rigging:
    (a) Arrangement of springs and                  1,000         2,000
     equalizers.............................
    (b) Spring or spring rigging condemning         1,000         2,000
     defects................................
230.112 Wheels and tires:
    (a) Improperly Mounted, excess variance         1,500         3,000
     in axle diameter.......................
    (b) Out of gage.........................        1,000         2,000
    (c) Flange distance variance, excessive.        1,000         2,000
    (d) Tire thickness, insufficient........        1,000         2,000
    (e) Tire width, insufficient............        1,000         2,000
230.113 Wheels and tire defects:
        (1) Failure to repair...............        1,000         2,000
        (2) Welding on, except as otherwise         1,500         3,000
         provided for.......................
    (a) Cracks or breaks in.................        1,000         2,000
    (b) Flat spots..........................        1,000         2,000
    (c) Chipped flange......................        1,000         2,000
    (d) Broken rim..........................        1,000         2,000

[[Page 396]]

 
    (e) Shelled-out spots...................        1,000         2,000
    (f) Seams...............................        1,000         2,000
    (g) Worn flanges, excessive wear........        1,000         2,000
    (h) Worn treads, excessive wear.........        1,000         2,000
    (i) Flange height, insufficient or              1,000         2,000
     excessive..............................
    (j) Rim thickness, insufficient.........        1,000         2,000
    (k) Wheel diameter, excessive variance..        1,000         2,000
230.114 Wheel centers:
    (a) Filling blocks and shims............        1,000         2,000
    (b) Wheel center condemning limits,             1,000         2,000
     failure to repair......................
    (c) Wheel center repairs................        1,000         2,000
    (d) Counterbalance maintenance..........        1,000         2,000
230.115 Feed water tanks:
    (a) General provisions..................        1,000         2,000
    (b) Inspection frequency, failure to            1,000         1,500
     inspect as required....................
    (c) Top of tender: Improperly maintained        1,000         1,500
     and/or equipped........................
230.116 Oil tanks:
        (1) Failure to properly maintain....        2,500         5,000
        (2) Failure to equip with complying         5,000         7,500
         safety cut-off device..............
------------------------------------------------------------------------
\1\ Failure to observe any condition for movement set forth in Sec.
  230.12 will deprive the railroad of the benefit of the movement-for-
  repair provision and make the railroad and any responsible individuals
  liable for penalty under the particular regulatory section(s)
  concerning the substantive defect(s) present on the locomotive at the
  time of movement. Failure to comply with Sec.  230.12 will result in
  the lapse of any affected waiver.



PART 231--RAILROAD SAFETY APPLIANCE STANDARDS--Table of Contents




Sec.
231.0 Applicability and penalties.
231.1 Box and other house cars built or placed in service before October 
          1, 1966.
231.2 Hopper cars and high-side gondolas with fixed ends.
231.3 Drop-end high-side gondola cars.
231.4 Fixed-end low-side gondola and low-side hopper cars.
231.5 Drop-end low-side gondola cars.
231.6 Flat cars.
231.7 Tank cars with side platforms.
231.8 Tank cars without side sills and tank cars with short side sills 
          and end platforms.
231.9 Tank cars without end sills.
231.10 Caboose cars with platforms.
231.11 Caboose cars without platforms.
231.12 Passenger-train cars with wide vestibules.
231.13 Passenger-train cars with open-end platforms.
231.14 Passenger-train cars without end platforms.
231.15 Steam locomotives used in road service.
231.16 Steam locomotives used in switching service.
231.17 Specifications common to all steam locomotives.
231.18 Cars of special construction.
231.19 Definition of ``Right'' and ``Left.''
231.20 Variation in size permitted.
231.21 Tank cars without underframes.
231.22 Operation of track motor cars.
231.23 Unidirectional passenger-train cars adaptable to van-type semi-
          trailer use.
231.24 Box and other house cars with roofs, 16 feet 10 inches or more 
          above top of rail.
231.25 Track motorcars (self-propelled 4-wheel cars which can be removed 
          from the rails by men).
231.26 Pushcars.
231.27 Box and other house cars without roof hatches or placed in 
          service after October 1, 1966.
231.28 Box and other house cars with roof hatches built or placed in 
          service after October 1, 1966.
231.29 Road locomotives with corner stairways.
231.30 Locomotives used in switching service.
231.31 Drawbars for freight cars; standard height.

Appendix A to Part 231--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-20103, 20107, 20131, 20301-20303, 21301-
21302, 21304; 49 CFR 1.49(c), (m).

    Source: 33 FR 19663, Dec. 25, 1968, unless otherwise noted.

    Note: Where rivets or bolts are required in this part 231 a two-
piece steel rivet may be used consisting of:
    (a) A solid shank of one-half (\1/2\) inch minimum diameter steel or 
material of equal or greater strength having cold forged head on one 
end, a shank length for material thickness fastened, locking grooves, 
breakneck groove and pull grooves (all annular grooves) on the opposite 
end.
    (b) A collar of similar material which is cold swaged into the 
locking grooves forming a head for the opposite end of item (a)

[[Page 397]]

after the pull groove section has been removed.



Sec. 231.0  Applicability and penalties.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
this part applies to all standard gage railroads.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (3) Freight and other non-passenger trains of four-wheel coal cars.
    (4) Freight and other non-passenger trains of eight-wheel standard 
logging cars if the height of each car from the top of the rail to the 
center of the coupling is not more than 25 inches.
    (5) A locomotive used in hauling a train referred to in paragraph 
(b)(4) of this section when the locomotive and cars of the train are 
used only to transport logs.
    (c) Except for the provisions governing uncoupling devices, this 
part does not apply to Tier II passenger equipment as defined in 
Sec. 238.5 of this chapter (i.e., passenger equipment operating at 
speeds exceeding 125 mph but not exceeding 150 mph).
    (d) As used in this part, carrier means ``railroad,'' as that term 
is defined below.
    (e) Railroad means all forms of non-highway ground transportation 
that run on rails or electromagnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    (f) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.
    (g) Except as provided in paragraph (b) of this section, Sec. 231.31 
also applies to an operation on a 24-inch, 36-inch, or other narrow gage 
railroad.

[54 FR 33229, Aug. 14, 1989, as amended at 63 FR 11623, Mar. 10, 1998; 
64 FR 25660, May 12, 1999; 66 FR 4192, Jan. 17, 2001]



Sec. 231.1  Box and other house cars built or placed in service before October 1, 1966.

    Except for box and other house cars that comply with either 
Sec. 231.27 or Sec. 231.28, each box and other house car shall be 
equipped to meet the following specifications:
    (a) Handbrake--(1) Number. One efficient handbrake which shall 
operate in harmony with the power brake installed on the car. Each such 
handbrake shall (i) provide the same degree of safety as the design 
shown on plate A, or (ii) provide the same degree of safety as that 
specified in Sec. 231.27.
    (2) Dimensions. (i) The brake shaft shall be not less than 1\1/4\ 
inches in diameter, of wrought iron or steel without weld.
    (ii) The brake wheel may be flat or dished, not less than 15, 
preferably 16, inches in diameter, of malleable iron, wrought iron, or 
steel.
    (3) Location. (i) The hand brake shall be so located that it can be 
safely operated while car is in motion.

[[Page 398]]

    (ii) The brake shaft shall be located on end of car, to the left of 
and not less than 17 nor more than 22 inches from center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (iv) Carriers are not required to change the location of brake 
wheels and brake shafts on cars in service July 1, 1911, where the 
appliances are within 3 inches of the required location, except that 
when cars undergo regular repairs they must then be made to comply with 
the standards prescribed.
    (4) Manner of application. (i) There shall be not less than 4 inches 
clearance around rim of brake wheel.
    (ii) Outside edge of brake wheel shall be not less than 4 inches 
from a vertical plane parallel with end of car and passing through the 
inside face of knuckle when closed with coupler horn against the buffer 
block or end sill.
    (iii) Top brake-shaft support shall be fastened with not less than 
\1/2\-inch bolts or rivets. (See plate A.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.005


[[Page 399]]


    (iv) A brake-shaft step shall support the lower end of brake shaft. 
A brake-shaft step which will permit the brake chain to drop under the 
brake shaft shall not be used. U-shaped form of brakeshaft step is 
preferred. (See plate A.)
    (v) Brake shaft shall be arranged with a square fit at its upper end 
to secure the hand-brake wheel; said square fit shall be not less than 
seven-eighths of an inch square. Square-fit taper, nominally 2 in 12 
inches. (See plate A.)
    (vi) Brake chain shall be of not less than \3/8\-, preferably \7/
16\-, inch wrought iron or steel, with a link on the brakerod end of not 
less than \7/16\-, preferably \1/2\-, inch wrought iron or steel, and 
shall be secured to brake-shaft drum by not less than \1/2\-inch hexagon 
or square-headed bolt. Nut on said bolt shall be secured by riveting end 
of bolt over nut. (See plate A.)
    (vii) Lower end of brake shaft shall be provided with a trunnion of 
not less than \3/4\-, preferably 1, inch in diameter extending through 
brake-shaft step and held in operating position by a suitable cotter or 
ring. (See plate A.)
    (viii) Brake-shaft drum shall be not less than 1\1/2\ inches in 
diameter. (See plate A.)
    (ix) Brake ratchet wheel shall be secured to brake shaft by a key or 
square fit; said square fit shall be not less than 1\5/16\ inches 
square. When ratchet wheel with square fit is used, provision shall be 
made to prevent ratchet wheel from rising on shaft to disengage brake 
pawl. (See plate A.)
    (x) Brake ratchet wheel shall be not less than 5\1/4\, preferably 
5\1/2\, inches in diameter and shall have not less than 14, preferably 
16, teeth. (See plate A.)
    (xi) If brake ratchet wheel is more than 36 inches from brake wheel, 
a brake-shaft support shall be provided to support this extended upper 
portion of brake shaft; said brake-shaft support shall be fastened with 
not less than \1/2\-inch bolts or rivets.
    (xii) The brake pawl shall be pivoted upon a bolt or rivet not less 
than five-eighths of an inch in diameter, or upon a trunnion secured by 
not less than \1/2\-inch bolt or rivet, and there shall be a rigid metal 
connection between brake shaft and pivot of pawl.
    (xiii) Brake wheel shall be held in position on brake shaft by a nut 
on a threaded extended end of brake shaft; said threaded portion shall 
be not less than three-fourths of an inch in diameter; said nut shall be 
secured by riveting over or by the use of a lock nut or suitable cotter.
    (xiv) Brake wheel shall be arranged with a square fit for brake 
shaft in hub of said wheel; taper of said fit, nominally 2 in 12 inches. 
(See plate A.)
    (b) Brake step. If brake step is used, it shall be not less than 28 
inches in length. Outside edge shall be not less than 8 inches from face 
of car and not less than 4 inches from a vertical plane parallel with 
end of car and passing through the inside face of knuckle when closed 
with coupler horn against the buffer block or end sill.
    (1) Manner of application. Brake step shall be supported by not less 
than two metal braces having a minimum cross-sectional area \3/8\ by 
1\1/2\ inches or equivalent, which shall be securely fastened to body of 
car with not less than \1/2\-inch bolts or rivets.
    (c) Running boards--(1) Number. One longitudinal running board. On 
outside-metal-roof cars two latitudinal extensions.
    (2) Dimensions. Longitudinal running board shall be not less than 18 
and preferably 20 inches in width. Latitudinal extensions shall be not 
less than 24 inches in width. Wooden running boards or extensions 
hereafter installed shall be constructed of wood not less than 1\1/8\ 
inches in thickness.
    (3) Location. Full length of car, center of roof. On outside-metal-
roof cars there shall be two latitudinal extensions from longitudinal 
running board to ladder locations, except on refrigerator cars where 
such latitudinal extensions cannot be applied on account of ice hatches.
    (4) Manner of application. (i) Running board shall be continuous 
from end to end and not cut or hinged at any point: Provided, That the 
length and width of running board may be made up of a number of pieces 
securely fastened to saddle-blocks with screws, bolts, or rivets.
    (ii) The ends of longitudinal running board shall be not less than 6 
nor more than 10 inches from a vertical plane

[[Page 400]]

parallel with end of car and passing through the inside face of knuckle 
when closed with coupler-horn against the buffer-block or endsill; and 
if more than 4 inches from edge of roof of car, shall be securely 
supported their full width by substantial metal braces.
    (iii) Running board shall be securely fastened to car and be made of 
wood or of material which provides the same as or a greater degree of 
safety than wood of 1\1/8\ inches thickness. When made of material other 
than wood the tread surface shall be of anti-skid design and constructed 
with sufficient open space to permit the elimination of snow and ice 
from the tread surface.
    (d) Sill steps--(1) Number. Four.
    (2) Dimensions. Minimum cross-sectional area \1/2\ by 1\1/2\ inches, 
or equivalent, of wrought iron or steel. Minimum length of tread, 10, 
preferably 12, inches. Minimum clear depth, 8 inches.
    (3) Location. (i) One near each end of each side of car, so that 
there shall be not more than 18 inches from end of car to center of 
tread of sill step.
    (ii) Outside edge of tread of step shall be not more than 4 inches 
inside of face of side of car, preferably flush with side of car.
    (iii) Tread shall be not more than 24, preferably not more than 22, 
inches above the top of rail.
    (iv) Carriers are not required to change location of sill steps on 
cars in service July 1, 1911, where the appliances are within 3 inches 
of the required location, except that when cars undergo regular repairs 
they must then be made to comply with the standards prescribed.
    (4) Manner of application. (i) Sill steps exceeding 21 inches in 
depth shall have an additional tread.
    (ii) Sill steps shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and riveted over, or with 
not less than \1/2\-inch rivets.
    (e) Ladders--(1) Number. Four.
    (2) Dimensions. (i) Minimum clear length of tread: Side ladders 16 
inches; end ladders 14 inches. Maximum spacing between ladder treads, 19 
inches.
    (ii) Top ladder tread shall be located not less than 12 nor more 
than 18 inches from roof at eaves.
    (iii) Spacing of side ladder treads shall be uniform within a limit 
of 2 inches from top ladder tread to bottom tread of ladder.
    (iv) Maximum distance from bottom tread of side ladder to top tread 
of sill step, 21 inches.
    (v) End ladder treads shall be spaced to coincide with treads of 
side ladders, a variation of 2 inches being allowed. Where construction 
of car will not permit the application of a tread of end ladder to 
coincide with bottom tread of side ladder, the bottom tread of end 
ladder must coincide with second tread from bottom of side ladder.
    (vi) Hardwood treads, minimum dimensions 1\1/2\ by 2 inches.
    (vii) Iron or steel treads, minimum diameter five-eighths of an 
inch.
    (viii) Minimum clearance of treads, 2, preferably 2\1/2\, inches.
    (3) Location. (i) One on each side, not more than 8 inches from 
right end of car; one on each end, not more than 8 inches from left side 
of car; measured from inside edge of ladder stile or clearance of ladder 
treads to corner of car.
    (ii) Carriers are not required to change the location of ladders on 
cars in service July 1, 1911, where the appliances are within 3 inches 
of the required location, except that when cars undergo regular repairs 
they must then be made to comply with the standards prescribed.
    (iii) Carriers are not required to change the end ladders on steel 
or steel underframe cars with platform end sill, in service July 1, 
1911, except when such appliances are renewed, at which time they must 
be made to comply with the standards prescribed.
    (4) Manner of application. (i) Metal ladders without stiles near 
corners of cars shall have foot guards or upward projections not less 
than 2 inches in height near inside end of bottom treads.
    (ii) Stiles of ladders, projecting 2 or more inches from face of 
car, will serve as foot guards.
    (iii) Ladders shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and riveted over, or with 
not less than \1/2\-inch rivets. Three-eighths-inch bolts

[[Page 401]]

may be used for wooden treads which are gained into stiles.
    (f) End ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
wheel, brake step, running board or uncoupling lever shall extend to 
within 12 inches of a vertical plane parallel with end of car and 
passing through the inside face of knuckle when closed with coupler horn 
against the buffer block or end sill, and no other part of end of car or 
fixtures on same above end sills, other than exceptions herein noted, 
shall extend beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.
    (g) Roof handholds--(1) Number. (i) One over each ladder.
    (ii) One right-angle handhold may take the place of two adjacent 
specified roof handholds, provided the dimensions and locations 
coincide, and that an extra leg is securely fastened to car at point of 
angle.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 16 inches. Minimum clearance, 2, 
preferably 2\1/2\ inches.
    (3) Location. (i) On roof of car, one parallel to treads of each 
ladder, not less than 8 nor more than 15 inches from edge of roof, 
except on refrigerator cars where ice hatches prevent, when location may 
be nearer edge of roof.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handhold under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Roof handholds shall be securely fastened 
with not less than \1/2\-inch bolts with nuts outside (when possible) 
and riveted over, or with not less than \1/2\-inch rivets.
    (h) Side handholds--(1) Number. Four. (Tread of side ladder is a 
side handhold.)
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 16 inches, preferably 24 inches. 
Minimum clearance, 2, preferably 2\1/2\, inches.
    (3) Location. (i) Horizontal, one near each end on each side of car. 
Side handholds shall be not less than 24 nor more than 30 inches above 
center line of coupler, except as provided above, where tread of ladder 
is a handhold. Clearance of outer end of handhold shall be not more than 
8 inches from end of car.
    (ii) Carriers are not required to change the location of handholds, 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Side handholds shall be securely fastened 
with not less than \1/2\-inch bolts with nuts outside (when possible) 
and riveted over, or with not less than \1/2\-inch rivets.
    (i) Horizontal end handholds--(1) Number. Eight or more, four on 
each end of car. (Tread of end ladder is an end handhold.)
    (2) Dimensions. (i) Minimum diameter, five-eighths of an inch, 
wrought iron or steel. Minimum clear length, 16 inches, preferably 24 
inches.
    (ii) A handhold 14 inches in length may be used where it is 
impossible to use one 16 inches in length.
    (iii) Minimum clearance, 2, preferably 2\1/2\, inches.
    (3) Location. (i) One near each side on each end of car, not less 
than 24 nor more than 30 inches above center line of coupler, except as 
provided above, when tread of end ladder is an end handhold. Clearance 
of outer end of handhold shall be not more than 8 inches from side of 
car.
    (ii) One near each side of each end of car on face of end sill or 
sheathing over

[[Page 402]]

end sill, projecting outward or downward. Clearance of outer end of 
handhold shall be not more than 16 inches from side of car.
    (iii) On each end of cars with platform end sills 6 or more inches 
in width, measured from end post or siding and extending entirely across 
end of car, there shall be one additional end handhold not less than 24 
inches in length, located near center of car, not less than 30 nor more 
than 60 inches above platform end sill.
    (iv) Carriers are not required to change the location of handholds, 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Horizontal end handholds shall be 
securely fastened with not less than \1/2\-inch bolts with nuts outside 
(when possible) and riveted over, or with not less than \1/2\-inch 
rivets.
    (j) Vertical end handholds--(1) Number. Two on full-width platform 
end-sill cars, as heretofore described.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 18, preferably 24, inches. Minimum 
clearance, 2, preferably 2\1/2\, inches.
    (3) Location. (i) One on each end of car opposite ladder, not more 
than 8 inches from side of car; clearance of bottom end of handhold 
shall be not less than 24 nor more than 30 inches above center line of 
coupler.
    (ii) Carriers are not required to change the location of handholds, 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Vertical end handholds shall be securely 
fastened with not less than \1/2\-inch bolts with nuts outside (when 
possible) and riveted over, or with not less than \1/2\-inch rivets.
    (k) Uncoupling levers--(1) Number. Two. Uncoupling levers may be 
either single or double, and of any efficient design.
    (2) Dimensions. (i) Handles of uncoupling levers, except those shown 
on plate B or of similar designs, shall be not more than 6 inches from 
sides of car.
    (ii) Uncoupling levers of design shown on plate B and of similar 
designs shall conform to the following prescribed limits:
    (iii) Handles shall be not more than 12, preferably 9, inches from 
sides of cars. Center lift arms shall be not less than 7 inches long.
    (iv) Center of eye at end of center lift arm shall be not more than 
3\1/2\ inches beyond center of eye of uncoupling pin of coupler when 
horn of coupler is against the buffer block or end sill. (See plate B.)

[[Page 403]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.006

    (v) Ends of handles shall extend not less than 4 inches below bottom 
of end sill or shall be so constructed as to give a minimum clearance of 
2 inches around handle. Minimum drop of handles shall be 12 inches; 
maximum, 15 inches over all. (See plate B.)
    (vi) Handles of uncoupling levers of the ``rocking'' or ``push-
down'' type shall be not less than 18 inches from top of rail when lock 
block has released knuckle, and a suitable stop shall be provided to 
prevent inside arm from flying up in case of breakage.
    (3) Location. One on each end of car. When single lever is used, it 
shall be placed on left side of end of car.

(Secs. 2, 4, and 6, 27 Stat. 531, as amended; secs, 1 and 3, 32 Stat. 
943, as amended; sec. 6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8, 
and 10, 11-16 and 49 U.S.C. 103(c)(1))

[33 FR 19663, Dec. 25, 1968, as amended at 49 FR 26745, June 29, 1984]



Sec. 231.2  Hopper cars and high-side gondolas with fixed ends.

    (Cars with sides more than 36 inches above the floor are high-side 
cars.)
    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car to the left of, 
and not more than 22 inches from, center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be

[[Page 404]]

made to comply with the standards prescribed.
    (iv) Carriers are not required to change the location of brake 
wheels and brake shafts on cars in service July 1, 1911, where the 
appliances are within 3 inches of the required location, except that 
when cars undergo regular repairs they must then be made to comply with 
the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Brake step. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1 (b)).
    (c) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (d) Ladders--(1) Number. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(e)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(e)(2)), except that top ladder tread shall be located 
not more than 4 inches from top of car.
    (3) Location. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(e)(3)).
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(e)(4)).
    (e) Side handholds. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(h)).
    (f) Horizontal end handholds. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)).
    (g) Vertical end handholds. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(j)).
    (h) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (i) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
wheel, brake step, or uncoupling lever shall extend to within 12 inches 
of a vertical plane parallel with end of car and passing through the 
inside face of knuckle when closed with coupler horn against the buffer 
block or end sill, and no other part of end of car or fixtures on same 
above end sills, other than exceptions herein noted, shall extend beyond 
the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.3  Drop-end high-side gondola cars.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car to the left of 
center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (c) Ladders--(1) Number. Two.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(e)(2)), except that top ladder tread shall be located 
not more than 4 inches from top of car.
    (3) Location. (i) One on each side, not more than 8 inches from 
right end of car, measured from inside edge of ladder stile or clearance 
of ladder treads to corner of car.
    (ii) Carriers are not required to change the location of ladders on 
cars in service July 1, 1911, where the appliances are within 3 inches 
of the required location, except that when cars undergo regular repairs 
they must then be made to comply with the standards prescribed.

[[Page 405]]

    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(e)(4)).
    (d) Side handholds. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(h)).
    (e) Horizontal end handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) One near each side of each end of car on face of 
end sill. Clearance of outer end of handhold shall be not more than 16 
inches from side of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (f) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (g) End ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
wheel or uncoupling lever shall extend to within 12 inches of a vertical 
plane parallel with end of car and passing through the inside face of 
knuckle when closed with coupler horn against the buffer block or end 
sill, and no other part of end of car or fixtures on same above end 
sills, other than exceptions noted in this subparagraph, shall extend 
beyond the outer face or buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.4  Fixed-end low-side gondola and low-side hopper cars.

    (Cars with sides 36 inches or less above the floor are low-side 
cars.)
    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car, to the left of 
and not more than 22 inches from center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (iv) Carriers are not required to change the location of brake 
wheels and brake shafts on cars in service July 1, 1911, where the 
appliances are within 3 inches of the required location, except that 
when cars undergo regular repairs they must then be made to comply with 
the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Brake step. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(b)).
    (c) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (d) Side handholds--(1) Number. Same as specified for ``Box and 
other house cars'' (see Sec. 231.1(h)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one near each end on each side of car, 
not less than 24 nor more than 30 inches above center line of coupler, 
if car construction will permit, but handhold shall not project above 
top of side. Clearance of outer end of handhold shall be not more than 8 
inches from end of car.
    (ii) Carriers are not required to change the location of handholds 
on

[[Page 406]]

cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (e) Horizontal end handholds--(1) Number. Same as specified for 
``Box and other house cars'' (see Sec. 231.1(i)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) One near each side on each end of car, not less 
than 24 nor more than 30 inches above center line of coupler, if car 
construction will permit. Clearance of outer end of handhold shall be 
not more than 8 inches from side of car.
    (ii) One near each side of each end of car on face of end sill, 
projecting outward or downward. Clearance of outer end of handhold shall 
be not more than 16 inches from side of car.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (f) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (g) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
step, brake wheel or uncoupling lever shall extend to within 12 inches 
of a vertical plane parallel with end of car and passing through the 
inside face of knuckle when closed with coupler horn against the buffer 
block or end sill, and no other part of end of car or fixtures on same 
above end sills, other than exceptions noted in this subparagraph, shall 
extend beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.5  Drop-end low-side gondola cars.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car to the left of 
center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)), provided that top brake-shaft 
support may be omitted.
    (b) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (c) Side handholds--(1) Number. Same as specified for ``Box and 
other house cars'' (see Sec. 231.1(h)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one near each end on each side of car, 
not less than 24 nor more than 30 inches above center line of coupler, 
if car construction will permit, but handhold shall not project above 
top of side. Clearance of outer end of handhold shall be no more than 8 
inches from end of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must

[[Page 407]]

then be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (d) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side of each end of car 
on face of end sill. Clearance of outer end of handhold shall be not 
more than 16 inches from side of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (e) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (f) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
wheel or uncoupling lever shall extend to within 12 inches of a vertical 
plane parallel with end of car and passing through the inside face of 
knuckle when closed with coupler horn against the buffer block or end 
sill, and no other part of end of car or fixtures on same above end 
sills, other than exceptions noted in this subparagraph shall extend 
beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.6  Flat cars.

    (Cars with sides 12 inches or less above the floor may be equipped 
the same as flat cars.)
    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on the end of car to the left 
of center, or on side of car not more than 36 inches from right-hand end 
thereof.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (iv) Carriers are not required to change the location of brake 
wheels and brake shafts on cars in service July 1, 1911, where the 
appliances are within 3 inches of the required location, except that 
when cars undergo regular repairs they must then be made to comply with 
the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (c) Side handholds--(1) Number. Same as specified for ``Box and 
other house cars'' (see Sec. 231.1(h)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one on face of each side sill near 
each end. Clearance of outer end of handhold shall be not more than 12 
inches from end of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).

[[Page 408]]

    (d) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side of each end of car 
on face of end sill. Clearance of outer end of handhold shall be not 
more than 16 inches from side of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (e) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).



Sec. 231.7  Tank cars with side platforms.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car to the left of 
center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (c) Side handholds--(1) Number. Four or more.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one on face of each side sill near 
each end. Clearance of outer end of handhold shall be not more than 12 
inches from end of car.
    (ii) If side safety railings are attached to tank or tank bands, 
four additional vertical handholds shall be applied, one as nearly as 
possible over each sill step and securely fastened to tank or tankband.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (d) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side of each end of car 
on face of end sill. Clearance of outer end of handhold shall be not 
more than 16 inches from side of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (e) Tank-head handholds--(1) Number. Two. (Not required if safety 
railing runs around ends of tank.)
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\, inches. Clear 
length of handholds shall extend to within 6 inches of outer diameter of 
tank at point of application.
    (3) Location. (i) Horizontal, one across each head of tank not less 
than 30 nor more than 60 inches above platform.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the

[[Page 409]]

required location, except that when cars undergo regular repairs they 
must then be made to comply with the standards prescribed.
    (4) Manner of application. Tankhead handholds shall be securely 
fastened.
    (f) Safety railings--(1) Number. One continuous safety railing 
running around sides and ends of tank, securely fastened to tank or tank 
bands at ends and sides of tank; or two running full length of tank at 
sides of cars supported by posts.
    (2) Dimensions. Not less than three-fourths of an inch, iron.
    (3) Location. Running full length of tank either at side supported 
by posts or securely fastened to tank or tank bands, not less than 30 
nor more than 60 inches above platform.
    (4) Manner of application. Safety railings shall be securely 
fastened to tank body, tank bands, or posts.
    (g) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (h) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake-
shaft brackets, brake wheel or uncoupling level shall extend to within 
12 inches of a vertical plane parallel with end of car and passing 
through the inside face of knuckle when closed with coupler horn against 
the buffer block or end sill, and no other part of end of car or 
fixtures on same above end sills, other than exceptions noted in this 
subparagraph, shall extend beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.8  Tank cars without side sills and tank cars with short side sills and end platforms.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car to the left of 
center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Running boards--(1) Number. One continuous running board around 
sides and ends; or two running full length of tank, one on each side.
    (2) Dimensions. Minimum width on sides, 10 inches. Minimum width on 
ends, 6 inches.
    (3) Location. Continuous around sides and ends of cars. On tank cars 
having end platforms extending to bolsters, running boards shall extend 
from center to center of bolsters, one on each side.
    (4) Manner of application. (i) If side running boards are applied 
below center of tank, outside edge of running boards shall extend not 
less than 7 inches beyond bulge of tank.
    (ii) The running boards at ends of car shall be not less than 6 
inches from a point vertically above the inside face of knuckle when 
closed with coupler horn against the buffer block, end sill or back 
stop.
    (iii) Running boards shall be securely fastened to tank or tank 
bands.
    (c) Sill steps--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(d)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)(2)).
    (3) Location. (i) One near each end on each side under side 
handhold.
    (ii) Outside edge of tread of step shall be not more than 4 inches 
inside of face of side of car, preferably flush with side of car.

[[Page 410]]

    (iii) Tread shall be not more than 24, preferably not more than 22, 
inches above the top of rail.
    (iv) Carriers are not required to change the location of sill steps 
on cars in service July 1, 1911, where the appliances are within 3 
inches of the required location, except that when cars undergo regular 
repairs they must then be made to comply with the standards prescribed 
in said order.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(d)(4)).
    (d) Ladders. (If running boards are so located as to make ladders 
necessary.)
    (1) Number. Two on cars with continuous running boards. Four on cars 
with side running boards.
    (2) Dimensions. (i) Minimum clear length of tread, 10 inches. 
Maximum spacing of treads, 19 inches. Hardwood treads, minimum 
dimensions, 1\1/2\ by 2 inches.
    (ii) Wrought iron or steel treads, minimum diameter five-eighths of 
an inch. Minimum clearance, 2, preferably 2\1/2\, inches.
    (3) Location. On cars with continuous running boards, one at right 
end of each side. On cars with side running boards, one at each end of 
each running board.
    (4) Manner of application. Ladders shall be securely fastened with 
not less than \1/2\-inch bolts or rivets.
    (e) Side handholds--(1) Number. Four or more.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one on face of each side sill near 
each end on tank cars with short side sills, or one attached to top of 
running board projecting outward above sill steps or ladders on tank 
cars without side sills. Clearance of outer end of handhold shall be not 
more than 12 inches from end of car.
    (ii) If side safety railings are attached to tank or tank bands four 
additional vertical handholds shall be applied, one as nearly as 
possible over each sill step and securely fastened to tank or tank 
bands.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (f) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side of each end of car 
on face of end sill. Clearance of outer end of handhold shall be not 
more than 16 inches from side of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (g) Tank-head handholds--(1) Number. Two. (Not required if safety 
railing runs around ends of tank.)
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\, inches.
    (3) Location. (i) Horizontal, one across each head of tank not less 
than 30 nor more than 60 inches above platform on running board. Clear 
length of handholds shall extend to within 6 inches of outer diameter of 
tank at point of application.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 7, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Tankhead handholds shall be securely 
fastened.
    (h) Safety railings--(1) Number. One running around sides and ends 
of tank or two running full length of tank.

[[Page 411]]

    (2) Dimensions. Minimum diameter, seven-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2\1/2\ inches.
    (3) Location. Running full length of tank, not less than 30 nor more 
than 60 inches above platform or running board.
    (4) Manner of application. Safety railings shall be securely 
fastened to tank or tank bands and secured against end shifting.
    (i) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (j) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake-
shaft brackets, brake wheel, running boards or uncoupling lever shall 
extend to within 12 inches of a vertical plane parallel with end of car 
and passing through the inside face of knuckle when closed with coupler 
horn against the buffer block or end sill, and no other part of end of 
car or fixtures on same, above end sills, other than exceptions herein 
noted, shall extend beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.9  Tank cars without end sills.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion. The brake shaft shall be located 
on end of car to the left of center.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Brake step. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(b)).
    (c) Running boards--(1) Number. One.
    (2) Dimensions. Minimum width on sides, 10 inches. Minimum width on 
ends, 6 inches.
    (3) Location. Continuous around sides and ends of tank.
    (4) Manner of application. (i) If running boards are applied below 
center of tank, outside edge of running boards shall extend not less 
than 7 inches beyond bulge of tank.
    (ii) Running boards at ends of car shall be not less than 6 inches 
from a point vertically above the inside face of knuckle when closed 
with coupler horn against the buffer block, end sill or back stop.
    (iii) Running boards shall be securely fastened to tank or tank 
bands.
    (d) Sill steps--(1) Number. Four. (If tank has high running boards, 
making ladders necessary, sill steps must meet ladder requirements.)
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)(2)).
    (3) Location. (i) One near each end on each side, flush with outside 
edge of running board as near end of car as practicable.
    (ii) Tread not more than 24, preferably not more than 22, inches 
above the top of rail.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, where the appliances are within 3 
inches of the required location, except that when cars undergo regular 
repairs they must then be made to comply with the standards prescribed.
    (4) Manner of application. (i) Steps exceeding 18 inches in depth 
shall have an additional tread and be laterally braced.
    (ii) Sill steps shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and, riveted over, or with 
\1/2\-inch rivets.
    (e) Side handholds--(1) Number. Four or more.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one near each end on each side of car 
over sill step on running board, not more than 2

[[Page 412]]

inches back from outside edge of running board, projecting downward or 
outward.
    (ii) Where such side handholds are more than 18 inches from end of 
car, an additional handhold must be placed near each end on each side 
not more than 30 inches above center line of coupler.
    (iii) Clearance of outer end of handhold shall be not more than 12 
inches from end of car.
    (iv) If safety railings are on tank, four additional vertical 
handholds shall be applied, one over each sill step on tank.
    (v) Carriers are not required to change the location of handholds on 
cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (f) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side on each end of car 
on running board, not more than 2 inches back from edge of running board 
projecting downward or outward, or on end of tank not more than 30 
inches above center line of coupler.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (g) Safety railings--(1) Number. One.
    (2) Dimensions. Minimum diameter, seven-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2\1/2\ inches.
    (3) Location. Safety railings shall be continuous around sides and 
ends of car, not less than 30 nor more than 60 inches above running 
board.
    (4) Manner of application. Safety railings shall be securely 
fastened to tank or tank bands, and secured against end shifting.
    (h) Uncoupling levers--(1) Number. Same as specified for ``Box and 
other house cars'' (see Sec. 231.1(k)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(k)(2)), except that minimum length of uncoupling lever 
shall be 42 inches, measured from center line of end of car to handle of 
lever.
    (3) Location. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(k)(3)), except that uncoupling lever shall be not more 
than 30 inches above center line of coupler.
    (i) End-ladder clearance. (1) No part of car above buffer block 
within 30 inches from side of car, except brake shaft, brake-shaft 
brackets, brake wheel or uncoupling lever shall extend to within 12 
inches of a vertical plane parallel with end of car and passing through 
the inside face of knuckle when closed with coupler horn against the 
buffer block or back stop, and no other part of end of car or fixtures 
on same, above buffer block, other than exceptions herein noted, shall 
extend beyond the face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.10  Caboose cars with platforms.

    Note: a. The term ``bottom of car'' as used in Sec. 231.10 is 
construed to mean ``bottom of side-sill or sheathing over side-sill.''
    b. The term ``corner of car'' as used in Sec. 231.10 is construed to 
mean the ``line at inner edge of platform formed by the intersection of 
the side and end of car.''

    (a) Hand brakes--(1) Number. (i) Each caboose car shall be equipped 
with an efficient hand brake which shall operate in harmony with the 
power brake thereon.

[[Page 413]]

    (ii) The hand brake may be of any efficient design, but must provide 
the same degree of safety as the design shown on plate A.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft on caboose cars with platforms shall be located 
on platform to the left of center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Running boards--(1) Number. One longitudinal running board.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(c)(2)).
    (3) Location. (i) Full length of car, center of roof. (On caboose 
cars with cupolas, longitudinal running boards shall extend from cupola 
to ends of roof.)
    (ii) Outside - metal - roof - cars shall have latitudinal extensions 
leading to ladder locations.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(c)(4)). See note below.
    (c) Ladders--(1) Number. Two.
    (2) Dimensions. None specified.
    (3) Location. One on each end.
    (4) Manner of application. Same as (see Sec. 231.1(e)(4)). See note 
below.
    (d) Roof handholds--(1) Number. One over each ladder. Where stiles 
of ladders extend 12 inches or more above roof, no other roof handholds 
are required.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(g)(2)).
    (3) Location. (i) On roof of caboose in line with and running 
parallel to treads of ladder, not less than 8 nor more than 15 inches 
from edge of roof.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(g)(4)). See note below.
    (e) Cupola handholds--(1) Number. One or more.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
    (3) Location. (i) One continuous handhold extending around top of 
cupola not more than 3 inches from edge of cupola roof.
    (ii) Four right-angle handholds, one at each corner, not less than 
16 inches in clear length from point of angle, may take the place of the 
one continuous handhold specified, if locations coincide.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Cupola handholds shall be securely 
fastened with not less than \1/2\-inch bolts with nuts outside and 
riveted over or with not less than \1/2\-inch rivets. See note below.
    (f) Side handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 36 inches. Minimum clearance, 2, 
preferably 2\1/2\, inches.
    (3) Location. (i) One near each end on each side of car, curving 
downward toward center of car from a point not less than 30 inches above 
platform to a point not more than 8 inches from bottom of car. Top end 
of handhold shall be not more than 8 inches from outside face of end 
sheathing.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the

[[Page 414]]

appliances are within 3 inches of the required location, except that 
when cars undergo regular repairs they must then be made to comply with 
the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (g) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side on each end of car 
on face of platform end sill. Clearance of outer end of handhold shall 
be not more than 16 inches from end of platform end sill.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (h) End-platform handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
    (3) Location. (i) One right-angle handhold on each side of each end 
extending horizontally from door post to corner of car at approximate 
height of platform rail, then downward to within 12 inches of bottom of 
car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Handholds shall be securely fastened with 
bolts, screws, or rivets.
    (i) Caboose-platform steps. Safe and suitable box steps leading to 
caboose platforms shall be provided at each corner of caboose. Lower 
tread of step shall be not more than 24 inches above top of rail.
    (j) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).

    Note: Running boards may be omitted from Caboose Cars with platforms 
built after June 1, 1970, when each of the following conditions have 
been met:
    (1) That ladders, roof handholds (including ladder extensions) and 
cupola handholds as specified in paragraphs (c), (d), and (e) of this 
Sec. 231.10 are also omitted.
    (2) That an appropriate notice be posted in protective manner or 
stenciled on interior of caboose stating ``operating employees are 
prohibited under all conditions from occupying the roof of this 
caboose.''
    (3) That a safe means must be provided to assure the safety of an 
operating employee when required to clean or maintain windows of a 
caboose without running boards.
    (4) That the following additional safety appliances as specified be 
securely installed at the outer edge of each platform:
    (a) Safety railing
    (i) Number:
Horizontal--Four (4), two (2) upper and two (2) lower.
Vertical--Four (4).
    (ii) Dimensions:
Minimum diameter--One (1) inch wrought iron, steel, or other material of 
equivalent strength.
Minimum clearance--Four (4), preferably six (6) inches except at brace 
and fastening locations.

    (iii) Location:
Vertical--One (1) at each corner of car extending from platform end sill 
to level of lower horizontal safety railing or to suitable bracket at 
roof.
Horizontal--Upper: Across each end of car near outer edge securely 
braced with vertical supports not less than 48 nor more than 54 inches 
above top of platform extending not less than full width of platform 
excluding hand brake stanchion area.
Horizontal--Lower: Across each end of car near outer edge securely 
braced with vertical supports not less than 36 nor more than 42 inches 
above top of platform excluding hand brake stanchion area. An opening 
may be provided near center. Such opening shall be provided with a 
secure safety chain(s) not less than \1/4\-inch diameter wrought iron, 
or steel, or other secure suitable closure.
    (iv) Manner of application:
Safety railing shall be securely fastened with \1/2\-inch bolts or 
rivets when possible and securely supported. A weld at connection of 
vertical and horizontal safety railing and vertical supports is 
permissible when those appliances are fabricated as a single unit.
    (b) Kick plates
    (i) Number: Four (4).

[[Page 415]]

    (ii) Dimensions:

Minimum thickness 10-gauge wrought iron, steel or other material of 
equivalent strength.
Width--Minimum 24 inches.
Height--Minimum 24 inches.

    (iii) Location: One near each side on each and. Outer edge not more 
than 12 inches from adjacent vertical safety railing with bottom edge 
near top of platform. Hand brake stand may serve as part of kick plate.
    (iv) Manner of application: Securely fastened by \1/2\-inch bolts or 
rivets, or weld.
    (v) Vertical hand rail supports spaced not more than eighteen (18) 
inches apart may be used in lieu of kick plates.
    (5) That stove pipe shall be secured to prevent turning.
    (6) That windows shall be laminated safety-type glass or equivalent.
    Existing caboose cars with platforms. Running boards may be removed 
from Caboose Cars with Platforms built or under construction on or 
before June 1, 1970, when each of the following conditions have been 
met:
    (1) That ladder treads above safety railing, roof handholds 
including ladder extensions, and cupola handholds specified in 
paragraphs (c), (d), and (e) of this Sec. 231.10 are removed.
    (2) That an appropriate notice be posted in protective manner or 
stenciled in interior of caboose stating ``operating employees are 
prohibited under all conditions from occupying the roof of this 
caboose.''
    (3) That a safe means must be provided to assure the safety of an 
operating employee when required to clean or maintain windows of a 
caboose without running boards.
    (4) That end platform safety railing and handhold arrangement will 
be deemed to meet requirements except as to upper safety railing and 
kick plates, when those appliances are not provided. When vertical 
supports are not more than twenty-four (24) inches apart, such supports 
may be used in lieu of kick plates.
    (5) That the following additional safety appliances (when not so 
provided) shall be securely installed at outer edge of each platform:
    (a) Safety railing.
    (i) Number:
Horizontal upper--Two (2).
    (ii) Dimensions:
Minimum diameter--One (1) inch wrought iron, steel, or other material of 
equivalent strength.
Minimum clearance--Four (4), preferably six (6) inches except at brace 
and fastening locations.
    (iii) Location:

Horizontal--Upper: Across each end of car near outer edge securely 
braced with vertical supports not less than 48 nor more than 54 inches 
above top of platform extending not less than full width of platform 
excluding hand brake stanchion area. Ladder tread not more than two (2) 
inches below level of upper safety railing may serve as a portion of 
said safety railing.

    (b) Kick plates or vertical supports--Same as provided for caboose 
cars with platforms built after June 1, 1970, this note. See above.
    (6) That stove pipe should be secured to prevent turning.
    (7) Cupola or bay windows shall be laminated safety-type glass or 
equivalent and all other caboose windows shall be so provided on or 
before June 1, 1975.

[33 FR 19663, Dec. 25, 1968, as amended at 35 FR 10149, June 20, 1970]



Sec. 231.11  Caboose cars without platforms.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft on caboose cars without platforms shall be 
located on end of car to the left of center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Brake step. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(b)).
    (c) Running boards--(1) Number. Same as specified for ``Box and 
other house cars'' (see Sec. 231.1(c)(1)).
    (2) Dimension. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(c)(2)).
    (3) Location. (i) Full length of car, center of roof. (On caboose 
cars with cupolas, longitudinal running boards shall extend from cupola 
to ends of roof.)
    (ii) Outside-metal-roof cars shall have latitudinal extensions 
leading to ladder locations.

[[Page 416]]

    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(c)(4)).
    (d) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (e) Side-door steps--(1) Number. Two. (If caboose has side doors.)
    (2) Dimensions. Minimum length, 5 feet. Minimum width, 6 inches. 
Minimum thickness of tread, 1\1/2\ inches. Minimum height of back stop, 
3 inches. Maximum height from top of rail to top of tread, 24 inches.
    (3) Location. One under each side door.
    (4) Manner of application. Side-door steps shall be supported by 2 
iron brackets having a minimum cross-sectional area \7/8\ by 3 inches or 
equivalent, each of which shall be securely fastened to car by not less 
than two \3/4\-inch bolts.
    (f) Ladders--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(e)(2)).
    (3) Location. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(e)(3), except when caboose has side doors, then side 
ladders shall be located not more than 8 inches from doors.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(e)(4)).
    (g) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
wheel, brake step, running board, or uncoupling lever shall extend to 
within 12 inches of a vertical plane, parallel with end of car and 
passing through the inside face of knuckle when closed with coupler horn 
against the buffer block or end sill, and no other part of end of car or 
fixtures on same above end sills, other than exceptions noted in this 
subparagraph, shall extend beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.
    (h) Roof handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(g)(2)).
    (3) Location. (i) One over each ladder, on roof in line with and 
running parallel to treads of ladder, not less than 8 nor more than 15 
inches from edge of roof.
    (ii) Where stiles of ladders extend 12 inches or more above roof, no 
other roof handholds are required.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Roof handholds shall be securely fastened 
with not less than \1/2\-inch bolts with nuts outside (when possible) 
and riveted over, or with not less than \1/2\-inch rivets.
    (i) Cupola handholds--(1) Number. One or more.
    (2) Dimensions. Minimum diameter, five-eights of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
    (3) Location. (i) One continuous cupola handhold extending around 
top of cupola, not more than 3 inches from edge of cupola roof.
    (ii) Four right-angle handholds, one at each corner, not less than 
16 inches in clear length from point of angle, may take the place of the 
one continuous handhold specified, if locations coincide.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Cupola handholds shall be securely 
fastened with not less than \1/2\-inch bolts with nuts outside and 
riveted over or with not less than \1/2\-inch rivets.

[[Page 417]]

    (j) Side handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one near each end on each side of car, 
not less than 24 nor more than 30 inches above center line of coupler. 
Clearance of outer end of handhold shall be not more than 8 inches from 
end of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.(h)(4)).
    (k) Side-door handholds--(1) Number. Four: Two curved, two straight.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
    (3) Location. (i) One curved handhold, from a point at side of each 
door opposite ladder, not less than 36 inches above bottom of car, 
curving away from door downward to a point not more than 6 inches above 
bottom of car.
    (ii) One vertical handhold at ladder side of each door from a point 
not less than 36 inches above bottom of car to a point not more than 6 
inches above level of bottom of door.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Side-door handholds shall be securely 
fastened with not less than \1/2\-inch bolts with nuts outside (when 
possible) and riveted over or with not less than \1/2\-inch rivets.
    (l) Horizontal end handholds--(1) Number. Same as specified for 
``Box and other house cars.'' (See Sec. 231.1(i)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars.'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(3)), except that one additional end handhold shall be 
on each end of cars with platform end sills as heretofore described, 
unless car has door in center of end. Said handhold shall be not less 
than 24 inches in length, located near center of car, not less than 30 
nor more than 60 inches above platform end sill.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed in said order.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (m) Vertical end handholds. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(j)).
    (n) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).



Sec. 231.12  Passenger-train cars with wide vestibules.

    (a) Hand brakes--(1) Number. Each passenger-train car shall be 
equipped with an efficient hand brake, which shall operate in harmony 
with the power brake thereon.
    (2) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (b) Side handholds--(1) Number. Eight.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, metal. 
Minimum clear length, 16 inches. Minimum clearance, 1\1/4\, preferably 
1\1/2\ inches.
    (3) Location. Vertical, one on each vestibule door post.
    (4) Manner of application. Side handholds shall be securely fastened 
with bolts, rivets, or screws.
    (c) End handholds--(1) Number. Four.
    (2) Dimensions. (i) Minimum diameters, five-eighths of an inch, 
wrought iron or steel. Minimum clear length, 16 inches. Minimum 
clearance, 2, preferably 2\1/2\ inches.

[[Page 418]]

    (ii) Handholds shall be flush with or project not more than 1 inch 
beyond vestibule face.
    (3) Location. Horizontal, one near each side on each end projecting 
downward from face of vestibule end sill. Clearance of outer end of 
handhold shall be not more than 16 inches from side of car.
    (4) Manner of application. End handholds shall be securely fastened 
with bolts or rivets. When marker sockets or brackets are located so 
that they can not be conveniently reached from platforms, suitable steps 
and handholds shall be provided for men to reach such sockets or 
brackets.
    (d) Uncoupling levers. (1) Uncoupling attachments shall be applied 
so they can be operated by a person standing on the ground.
    (2) Minimum length of ground uncoupling attachment, 42 inches, 
measured from center line of end of car to handle of attachment.
    (3) On passenger-train cars used in freight or mixed-train service, 
the uncoupling attachment shall be so applied that the coupler can be 
operated from left side of car.



Sec. 231.13  Passenger-train cars with open-end platforms.

    (a) Hand brakes--(1) Number. Each passenger-train car shall be 
equipped with an efficient hand brake, which shall operate in harmony 
with the power brake thereon.
    (2) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (b) End handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 16 inches. Minimum clearance, 2, 
preferably 2\1/2\ inches. Handholds shall be flush with or project not 
more than 1 inch beyond surface of end sill.
    (3) Location. Horizontal, one near each side of each end on face of 
platform end sill, projecting downward. Clearance of outer end of 
handhold shall be not more than 16 inches from end of end sill.
    (4) Manner of application. End-handholds shall be securely fastened 
with bolts or rivets.
    (c) End-platform handholds--(1) Number. Four. (Cars equipped with 
safety gates do not require end-platform handholds.)
    (2) Dimensions. Minimum clearance, 2, preferably 2\1/2\ inches, 
metal.
    (3) Location. Horizontal from or near door post to a point not more 
than 12 inches from corner of car, then approximately vertical to a 
point not more than 6 inches from top of platform. Horizontal portion 
shall be not less than 24 inches in length nor more than 40 inches above 
platform.
    (4) Manner of application. End-platform handholds shall be securely 
fastened with bolts, rivets, or screws.
    (d) Uncoupling levers. (1) Uncoupling attachments shall be applied 
so they can be operated by a person standing on the ground.
    (2) Minimum length of ground uncoupling attachment, 42 inches, 
measured from center of end of car to handle of attachment.
    (3) On passenger-train cars used in freight or mixed-train service 
the uncoupling attachments shall be so applied that the coupler can be 
operated from left side of car.



Sec. 231.14  Passenger-train cars without end platforms.

    (a) Handbrakes--(1) Number. Each passenger-train car shall be 
equipped with an efficient hand brake which shall operate in harmony 
with the power brake thereon.
    (2) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (b) Sill steps--(1) Number. Four.
    (2) Dimensions. Minimum length of tread, 10, preferably 12, inches. 
Minimum cross-sectional area, \1/2\ by 1\1/2\ inches or equivalent, 
wrought iron or steel. Minimum clear depth, 8 inches.
    (3) Location. (i) One near each end on each side not more than 24 
inches from corner of car to center of tread of sill step.
    (ii) Outside edge of tread of step shall be not more than 2 inches 
inside of face of side of car.
    (iii) Tread shall be not more than 24, preferably not more than 22, 
inches above the top of rail.
    (4) Manner of application. (i) Steps exceeding 18 inches in depth 
shall have an

[[Page 419]]

additional tread and be laterally braced.
    (ii) Sill steps shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and riveted over, or with 
not less than \1/2\-inch rivets.
    (c) Side handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 16, preferably 24, inches. Minimum 
clearance, 2, preferably 2\1/2\, inches.
    (3) Location. Horizontal or vertical, one near each end on each side 
of car over sill step.
    (i) If horizontal, not less than 24 nor more than 30 inches above 
center line of coupler.
    (ii) If vertical, lower end not less than 18 nor more than 24 inches 
above center line of coupler.
    (4) Manner of application. Side handholds shall be securely fastened 
with bolts, rivets or screws.
    (d) End handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 16 inches. Minimum clearance, 2, 
preferably 2\1/2\, inches.
    (3) Location. Horizontal, one near each side on each end projecting 
downward from face of end sill or sheathing. Clearance of outer end of 
handholds shall be not more than 16 inches from side of car.
    (4) Manner of application. (i) Handholds shall be flush with or 
project not more than 1 inch beyond face of end sill.
    (ii) End handholds shall be securely fastened with bolts or rivets.
    (iii) When marker sockets or brackets are located so that they can 
not be conveniently reached from platforms, suitable steps and handholds 
shall be provided for men to reach such sockets or brackets.
    (e) End handrails. (On cars with projecting end sills.)
    (1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\, inches.
    (3) Location. One on each side of each end, extending horizontally 
from doorpost or vestibule frame to a point not more than 6 inches from 
corner of car, then approximately vertical to a point not more than 6 
inches from top of platform end sill; horizontal portion shall be not 
less than 30 nor more than 60 inches above platform end sill.
    (4) Manner of application. End handrails shall be securely fastened 
with bolts, rivets or screws.
    (f) Side-door steps--(1) Number. One under each door.
    (2) Dimensions. Minimum length of tread, 10, preferably 12, inches. 
Minimum cross-sectional area, \1/2\ by 1\1/2\ inches or equivalent, 
wrought iron or steel. Minimum clear depth, 8 inches.
    (3) Location. Outside edge of tread of step not more than 2 inches 
inside of face of side of car. Tread not more than 24, preferably not 
more than 22, inches above the top of rail.
    (4) Manner of application. (i) Steps exceeding 18 inches in depth 
shall have an additional tread and be laterally braced.
    (ii) Side-door steps shall be securely fastened with not less than 
\1/2\-inch bolts with nuts outside (when possible) and riveted over, or 
with not less than \1/2\-inch rivets.
    (iii) A vertical handhold not less than 24 inches in clear length 
shall be applied above each side-door step on door post.
    (g) Uncoupling levers. (1) Uncoupling attachments shall be applied 
so they can be operated by a person standing on the ground.
    (2) Minimum length of ground uncoupling attachment, 42 inches, 
measured from center line of end of car to handle of attachment.
    (3) On passenger-train cars used in freight or mixed-train service, 
the uncoupling attachment shall be so applied that the coupler can be 
operated from the left side of car.



Sec. 231.15  Steam locomotives used in road service.

    (a) Tender till-steps--(1) Number. Four on tender.
    (2) Dimensions. (i) Bottom tread not less than 8 by 12 inches, 
metal. (May have wooden treads.)
    (ii) If stirrup steps are used, clear length of tread shall be not 
less than 10, preferably 12, inches.

[[Page 420]]

    (3) Location. One near each corner of tender on sides.
    (4) Manner of application. Tender sill-steps shall be securely 
fastened with bolts or rivets.
    (b) Pilot sill-steps--(1) Number. Two.
    (2) Dimensions. Tread not less than 8 inches in width by 10 inches 
in length, metal. (May have wooden treads.)
    (3) Location. One on or near each end of buffer-beam outside of rail 
and not more than 16 inches above rail.
    (4) Manner of application. Pilot sill-steps shall be securely 
fastened with bolts or rivets.
    (c) Pilot-beam handholds--(1) Number. Two.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 14, preferably 16, inches. Minimum 
clearance, 2\1/2\ inches.
    (3) Location. One on each end of buffer-beam. If uncoupling lever 
extends across front end of locomotive to within 8 inches of end of 
buffer-beam, and is seven-eighths of an inch or more in diameter, 
securely fastened, with a clearance of 2\1/2\ inches, it is a handhold.)
    (4) Manner of application. Pilot-beam handholds shall be securely 
fastened with bolts or rivets.
    (d) Side handholds--(1) Number. Six.
    (2) Dimensions. Minimum diameter, if horizontal, five-eighths of an 
inch; if vertical, seven-eighths of an inch, wrought iron or steel. 
Horizontal, minimum clear length, 16 inches. Vertical, clear length 
equal to approximate height of tank. Minimum clearance, 2, preferably 
2\1/2\, inches.
    (3) Location. (i) Horizontal or vertical. If vertical, one on each 
side of tender within 6 inches of rear or on corner; if horizontal, same 
as specified for ``Box and other house cars'' (see Sec. 231.1(h)(3)).
    (ii) One on each side of tender near gangway; 1 on each side of 
locomotive at gangway; applied vertically.
    (4) Manner of application. Side handholds shall be securely fastened 
with not less than \1/2\-inch bolts or rivets.
    (e) Rear-end handholds--(1) Number. Two.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 14 inches. Minimum clearance, 2, 
preferably 2\1/2\, inches.
    (3) Location. Horizontal, one near each side of rear end of tender 
on face of end sill. Clearance of outer end of handhold shall be not 
more than 16 inches from side of tender.
    (4) Manner of application. Rear-end handholds shall be securely 
fastened with not less than \1/2\-inch bolts or rivets.
    (f) Uncoupling levers--(1) Number. Two double levers, operative from 
either side.
    (2) Dimensions. Rear-end levers shall extend across end of tender 
with handles not more than 12, preferably 9, inches from side of tender 
with a guard bent on handle to give not less than 2 inches clearance 
around handle.
    (3) Location. One on rear end of tender and one on front end of 
locomotive. Handles of front-end leavers shall be not more than 12, 
preferably 9, inches from ends of buffer-beam, and shall be so 
constructed as to give a minimum clearance of 2 inches around handle.
    (4) Manner of application. Uncoupling levers shall be securely 
fastened with bolts or rivets.
    (g) Couplers. Locomotives shall be equipped with automatic couplers 
at rear of tender and front of locomotive.



Sec. 231.16  Steam locomotives used in switching service.

    (a) Footboards--(1) Number. Two or more.
    (2) Dimensions. (i) Minimum width of tread, 10 inches.
    (ii) Minimum height of back stop, 4 inches above tread.
    (iii) Height from top of rail to top of tread, not more than 12 nor 
less than 9 inches.
    (iv) If made of wood, minimum thickness of tread shall be 1\1/2\, 
preferably 2 inches.
    (v) Footboards may be made of material other than wood which 
provides the same as or a greater degree of safety than wood of 1\1/2\ 
inches thickness. When made of material other than wood, the tread 
surface shall be of antiskid design and constructed with sufficient open 
space to permit the elimination of snow and ice from the tread surface.

[[Page 421]]

    (3) Location. Ends or sides. If on ends, they shall extend not less 
than 18 inches outside of guage of straight track, and shall be not more 
than 12 inches shorter than buffer-beam at each end.
    (4) Manner of application. (i) End footboards may be constructed in 
two sections, provided that practically all space on each side of 
coupler is filled; each section shall be not less than 3 feet in length.
    (ii) Footboards shall be securely bolted to two 1- by 4-inch metal 
brackets, provided footboard is not cut or notched at any point.
    (iii) If footboard is cut or notched or in two sections, not less 
than four 1- by 3-inch metal brackets shall be used, two located on each 
side of coupler. Each bracket shall be securely bolted to buffer-beam, 
end sill or tank frame by not less than two \7/8\-inch bolts.
    (iv) If side footboards are used, a substantial handhold or rail 
shall be applied not less than 30 inches nor more than 60 inches above 
tread or footboard.
    (b) Sill steps--(1) Number. Two or more.
    (2) Dimensions. (i) Lower tread of step shall be not less than 8 by 
12 inches, metal. (May have wooden treads.)
    (ii) If stirrup steps are used, clear length of tread shall be not 
less than 10, preferably 12, inches.
    (3) Location. One or more on each side at gangway secured to 
locomotive or tender.
    (4) Manner of application. Sill steps shall be securely fastened 
with bolts or rivets.
    (c) End handholds--(1) Number. Two.
    (2) Dimensions. Minimum diameter, 1 inch, wrought iron or steel. 
Minimum clearance, 4 inches, except at coupler casting or braces when 
minimum clearance shall be 2 inches.
    (3) Location. One on pilot, buffer-beam; one on rear end of tender, 
extending across front end of locomotive and rear end of tender. Ends of 
handholds shall be not more than 6 inches from ends of buffer-beam or 
end sill, securely fastened at ends.
    (4) Manner of application. End handholds shall be securely fastened 
with bolts or rivets.
    (d) Side handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, seven-eighths of an inch, wrought 
iron or steel. Clear length equal to approximate height of tank. Minimum 
clearance, 2, preferably 2\1/2\ inches.
    (3) Location. Vertical. One on each side of tender near front 
corner; one on each side of locomotive at gangway.
    (4) Manner of application. Side handholds shall be securely fastened 
with bolts or rivets.
    (e) Uncoupling levers--(1) Number. Two double levers, operative from 
either side.
    (2) Dimensions. (i) Handles of front-end levers shall be not more 
than 12, preferably 9, inches from ends of buffer-beam, and shall be so 
constructed as to give a minimum clearance of 2 inches around handle.
    (ii) Rear-end levers shall extend across end of tender with handles 
not more than 12, preferably 9, inches from side of tender, with a guard 
bent on handle to give not less than 2 inches clearance around handle.
    (3) Location. One on rear end of tender and one on front end of 
locomotive.
    (f) Handrails and steps for headlights. Switching locomotives with 
sloping tenders with manhole or headlight located on sloping portion of 
tender shall be equipped with secure steps and handrail or with platform 
and handrail leading to such manhole or headlight.
    (g) End-ladder clearance. No part of locomotive or tender except 
draft rigging, coupler and attachments, safety chains, buffer block, 
footboard, brake pipe, signal pipe, steam-heat pipe or arms of 
uncoupling lever shall extend to within 14 inches of a vertical plane 
passing through the inside face of knuckle when closed with horn of 
coupler against buffer block or end sill.
    (h) Couplers. Locomotives shall be equipped with automatic couplers 
at rear of tender and front of locomotive.



Sec. 231.17  Specifications common to all steam locomotives.

    (a) Hand brakes. (1) Hand brakes will not be required on locomotives 
nor on tenders when attached to locomotives.
    (2) If tenders are detached from locomotives and used in special 
service, they shall be equipped with efficient hand brakes.
    (b) Running boards--(1) Number. Two.

[[Page 422]]

    (2) Dimensions. Not less than 10 inches wide. If of wood, not less 
than 1\1/2\ inches in thickness; if of metal, not less than three-
sixteenths of an inch, properly supported.
    (3) Location. One on each side of boiler extending from cab to front 
end near pilot-beam. (Running boards may be in sections. Flat-top 
steamchests may form section of running board.)
    (4) Manner of application. (i) Running boards shall be securely 
fastened with bolts, rivets, or studs.
    (ii) Locomotives having Wootten type boilers with cab located on top 
of boiler more than 12 inches forward from boiler head shall have 
suitable running boards running from cab to rear of locomotive, with 
handrailings not less than 20 nor more than 48 inches above outside edge 
of running boards, securely fastened with bolts, rivets, or studs.
    (c) Handrails--(1) Number. Two or more.
    (2) Dimensions. Not less than 1 inch in diameter, wrought iron or 
steel.
    (3) Location. One on each side of boiler extending from near cab to 
near front end of boiler, and extending across front end of boiler, not 
less than 24 nor more than 66 inches above running board.
    (4) Manner of application. Handrails shall be securely fastened to 
boiler.
    (d) Tenders of Vanderbilt type. (1) Tenders known as the Vanderbilt 
type shall be equipped with running boards; one on each side of tender 
not less than 10 inches in width and one on top of tender not less than 
48 inches in width, extending from coal space to rear of tender.
    (2) There shall be a handrail on each side of top running board, 
extending from coal space to rear of tank, not less than 1 inch in 
diameter and not less than 20 inches in height above running board from 
coal space to manhole.
    (3) There shall be a handrail extending from coal space to within 12 
inches of rear of tank, attached to each side of tank above side running 
board not less than 30 nor more than 66 inches above running board.
    (4) There shall be one vertical end handhold on each side of 
Vanderbilt type of tender, located within 8 inches of rear of tank 
extending from within 8 inches of top of end sill to within 8 inches of 
side handrail. Post supporting rear end of side running board, if not 
more than 2 inches in diameter and properly located, may form section of 
handhold.
    (5) An additional horizontal end handhold shall be applied on rear 
end of all Vanderbilt type of tenders which are not equipped with 
vestibules. Handhold to be located not less than 30 nor more than 66 
inches above top of end sill. Clear length of handhold to be not less 
than 48 inches.
    (6) Ladders shall be applied at forward ends of side running boards.
    (e) Handrails and steps for headlights. (1) Locomotives having 
headlights which can not be safely and conveniently reached from pilot-
beam or steam chests shall be equipped with secure handrails and steps 
suitable for the use of men in getting to and from such headlights.
    (2) A suitable metal end or side ladder shall be applied to all 
tanks more than 48 inches in height, measured from the top of end sill, 
and securely fastened with bolts or rivets.
    (f) Couplers. Locomotives shall be equipped with automatic couplers 
at rear of tender and front of locomotive.



Sec. 231.18  Cars of special construction.

    Cars of construction not covered specifically in the foregoing 
sections in this part, relative to handholds, sill steps, ladders, hand 
brakes and running boards may be considered as of special construction, 
but shall have, as nearly as possible, the same complement of handholds, 
sill steps, ladders, hand brakes, and running boards as are required for 
cars of the nearest approximate type.



Sec. 231.19  Definition of ``Right'' and ``Left.''

    Right or Left refers to side of person when facing end or side of 
car from ground.



Sec. 231.20  Variation in size permitted.

    To provide for the usual inaccuracies of manufacturing and for wear, 
where sizes of metal are specified, a total variation of 5 percent below 
size given is permitted.

[[Page 423]]



Sec. 231.21  Tank cars without underframes.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion. The brake shaft shall be located 
on end of car to the left of center.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) End platforms--(1) Number. Two.
    (2) Dimensions. Minimum width, ten inches. Minimum thickness, one 
and three-quarters inches.
    (3) Location. One on each end extending across car a distance equal 
to or greater than any other portion of car. Outside edge of end 
platform shall extend not less than seven inches beyond bulge of tank 
head and safety railing.
    (4) Manner of application. End platforms shall be securely fastened 
to the draft sills and be sufficiently rigid to prevent sagging.
    (c) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (d) End platform safety railing--(1) Number. Two.
    (2) Dimensions. Minimum of seven-eighths inch diameter, wrought iron 
or steel, or one and one-quarter inch pipe. Minimum clearance, two and 
one-half inches.
    (3) Location. One safety railing at each end of car shall extend 
horizontally across car not less than thirty-six inches nor more than 
fifty-four inches above end platform and extend downward within three 
inches of the end of the platform. The safety railing shall be located 
not more than six inches from the inside edge of the platform.
    (4) Manner of application. Safety railings shall be supported at 
center of car and at each end by extending downward at the ends and 
attaching to the platform.
    (e) Side railing--(1) Number. Two.
    (2) Dimensions. One and one-quarter inch pipe. Minimum clearance two 
and one-half inches.
    (3) Location. One on each side of car, extending from end platform 
to end platform at a distance of not less than 51 inches from centerline 
of car, except that where break in side railing is necessary for side 
ladder or operating cabinet, the side railing shall be securely attached 
to such ladder and/or cabinet.
    (4) Manner of application. Safety railings shall be securely 
attached to end platforms and supported from the car at intervals not 
exceeding ten feet.
    (f) Side handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. Four horizontal; one on face of end platform end, over 
sill step, projecting downward or outward. Clearance of outer end of 
handhold shall be not more than twelve inches from end of car. Vertical 
portion of end platform safety railing shall be considered as a side 
vertical handhold.
    (4) Manner of application. Same as prescribed for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (g) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. Horizontal, one near each side of each end of car on 
face of end sill. Clearance of outer end of handhold shall not be more 
than sixteen inches from side of car.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (h) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (i) End ladder clearance. No part of car above end sills within 
thirty inches from side of car, except buffer block, brake shaft, brake-
shaft brackets, brake wheel, running boards or uncoupling lever shall 
extend to within twelve inches of a vertical plane parallel with end of 
car and passing through the inside face of knuckle when closed with 
coupler horn against the buffer block or end sill, and no other part of 
end of car or fixtures on same, above end sills, other than exceptions 
herein noted, shall extend beyond the outer face of the buffer block.
    (j) Operating platform, ladder and safety railing--(1) Number. One 
operating

[[Page 424]]

platform, two ladders and safety railing. Not required if all fittings 
used in the loading or unloading of the tank car are accessible from 
ground or end platform.
    (2) Dimensions. (i) Ladder: Ladder stiles, three-eighths by two 
inches or equivalent, wrought iron or steel. One and one-quarter inch 
extra strong pipe will be considered equivalent.
    (ii) Ladder treads minimum diameter, five-eighths of an inch, 
wrought iron or steel.
    (iii) Minimum clear length of treads, fourteen inches.
    (iv) Maximum spacing of treads, nineteen inches.
    (v) Minimum clearance of treads and ladder stiles, two inches, 
preferably two and one-half inches.
    (vi) Operating platform, minimum width, seven inches; minimum 
thickness, one and three-quarters inches.
    (vii) Safety railing, one and one-quarter inch wrought iron or steel 
pipe.
    (3) Location. (i) Operating platform to be of sufficient length to 
provide access to all operating fittings. Ladder to be located on sides 
of car at center.
    (ii) The safety railing shall enclose the operating platform, manway 
and fittings used in the loading and unloading of the tank. Railing 
shall be open only at the ladders where it shall extend in a vertical 
direction down to, and be securely attached to the platform. Maximum 
width of opening, twenty-four inches.
    (4) Manner of application. (i) The ladders shall be securely 
fastened to the operating platform. The lower portion of ladder shall be 
braced in such a manner as to prevent any movement.
    (ii) The operating platforms shall be supported to prevent sagging 
and be securely attached to the tank.
    (iii) The safety railing shall be securely attached to four 
stanchions or corner posts, which shall be securely attached to the tank 
or operating platform.
    (k) Manner of application of safety appliances on tank cars covered 
with jackets. On tanks covered with jackets, metal pads shall be 
securely attached to the shell proper, to which brackets shall be 
fastened for securing the safety appliances attached to the tanks; or, 
the safety appliances (with the exception of the operating platform 
brackets) may be secured to the jackets reinforced with metal pads at 
the point of attachment, which pads shall extend at least two inches 
from the center line of rivet holes. The operating platform brackets 
shall be secured to the jacket reinforced with suitable bands. When the 
safety appliances are attached to the jacket covering of the tank, the 
jacket shall be tightened so that there will be no danger of its 
slipping around.

[33 FR 19663, Dec. 25, 1968, as amended at 34 FR 11974, July 16, 1969]



Sec. 231.22  Operation of track motor cars.

    On and after August 1, 1963, it shall be unlawful for any railroad 
subject to the requirements of the Safety Appliance Acts to operate or 
permit to be operated on its line track motor cars to pull or haul 
trailers, push trucks, hand cars, or similar cars or equipment.

    Effective Date Note: At 28 FR 7839, Aug. 1, 1963, the effective date 
of Sec. 231.22 was stayed until further notice.



Sec. 231.23  Unidirectional passenger-train cars adaptable to van-type semi-trailer use.

    (a) Hand brakes--(1) Number. Same as specified for ``Passenger-Train 
Cars Without End-Platforms.''
    (2) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion. The hand brake operating device 
shall be located on the end of car to the left of center.
    (b) Brake step--(1) Number. One (1).
    (2) Dimensions. Not less than twenty-eight (28) inches in length. 
Outside edge not less than eight (8) inches from face of car, except 
when ``A'' frame is used and extends beyond end of car, a platform of 
anti-skid design covering the extended portion of the ``A'' frame may be 
used as brake step.
    (3) Manner of application. Brake step shall be securely fastened to 
car and when additional support is necessary, metal braces having a 
minimum cross-sectional area three-eighths (\3/8\) by one and one-half 
(1\1/2\) inches or equivalent shall be securely fastened to body of car 
with not less than one-half (\1/2\) inch bolts or rivets.
    (c) Sill steps--(1) Number. Two (2).

[[Page 425]]

    (2) Dimensions. Minimum length of tread, ten (10) preferably twelve 
(12) inches. Minimum cross-sectional area, one-half (\1/2\) by one and 
one-half (1\1/2\) inches, or equivalent, wrought iron, steel or other 
metal of equivalent strength. Minimum clear depth, eight (8) inches.
    (3) Location. One (1) near the rear or trailing end of the car on 
each side, not more than twenty-four (24) inches from corner of car to 
center of tread of sill step.
    (4) Manner of application. Same as specified for ``Passenger-Train 
Cars Without End-Platforms.''
    (d) End-clearance. No part of car above end sills except the brake 
step shall extend to within twenty (20) inches of a vertical plane 
parallel with end of car and passing through the outside edge of any 
part of an adjoining car.
    (e) Side handholds--(1) Number. Four (4).
    (2) Dimensions. Minimum diameter, five-eighths (\5/8\) of an inch, 
wrought iron, steel or metal of equivalent strength. Minimum clear 
length, sixteen (16) preferably twenty-four (24) inches. Minimum 
clearance, two (2) preferably two and one-half (2\1/2\) inches.
    (3) Location. Horizontal, two (2) over each sill step. Lower 
handhold shall be not less than twenty-four (24) nor more than thirty 
(30) inches above center line of coupler. Upper handhold shall be not 
less than fifteen (15) nor more than nineteen (19) inches above lower 
handhold. Clearance of outer end of handhold shall be not more than 
eight (8) inches from end of car.
    (4) Manner of application. Side handholds shall be securely fastened 
with not less than one-half (\1/2\) inch bolts with nuts outside (when 
possible) and riveted over, or with not less than one-half (\1/2\) inch 
rivets.
    (f) Horizontal end-handholds--(1) Number. Seven (7).
    (2) Dimensions. Minimum diameter, five-eighths (\5/8\) of an inch, 
wrought iron, steel or other metal of equivalent strength. Minimum clear 
length, sixteen (16) inches. Minimum clearance, two (2) preferably two 
and one-half (2\1/2\) inches.
    (3) Location. End-sill: One (1) near each side at the rear or 
trailing end of car on face of end-sill or sheathing over end-sill, 
projecting outward or downward. Clearance of outer end of handhold shall 
be not more than sixteen (16) inches from side of car.
    (i) Lower: One near each side of the rear or trailing end of car, 
not less than twenty-four (24) nor more than thirty (30) inches above 
center line of coupler.
    (ii) Upper: One (1) near each side at the rear or trailing end of 
car not less than fifteen (15) nor more than nineteen (19) inches above 
lower handholds. Clearance of outer ends of lower and upper handholds 
shall be not more than eight (8) inches from side of car. Lower and 
upper handholds shall be spaced to coincide with corresponding side 
handholds, a variation of two (2) inches being allowed. On front end of 
car there shall be one (1) additional end handhold full length of car 
not less than forty (40) nor more than fifty (50) inches above center 
line of coupler. Clearance of each end of handhold shall be not more 
than eight (8) inches from side of car. When construction will not 
permit the use of a single handhold, four (4) handholds, each not less 
than sixteen (16) inches in length may be used, provided dimensions and 
location coincide.
    (4) Manner of application. End handholds shall be securely fastened 
with not less than one-half (\1/2\) inch bolts with the nuts outside 
(when possible) and riveted over, or with not less than one-half (\1/2\) 
inch rivets. When marker sockets or brackets are located so that they 
cannot be conveniently reached, suitable steps and handholds shall be 
provided for men to reach such sockets or brackets.
    (g) Uncoupling levers. Each car shall be equipped to provide means 
of coupling and uncoupling without the necessity of men going between 
the cars.

[[Page 426]]



Sec. 231.24  Box and other house cars with roofs, 16 feet 10 inches or more above top of rail. \1\
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    \1\ (a) Each car of this type built or rebuilt after (January 1, 
1976) or under construction prior thereto and placed in service after 
(effective date) shall be equipped as specified in Sec. 231.27(a) 
through (h) and (j) or, if it has roof hatches, as specified in 
Sec. 231.28.
    (b) Each car of this type placed in service after November 23, 1964 
and before (effective date) shall be equipped--
    (1) As specified in Sec. 231.24; or
    (2) As specified in Sec. 231.27(a) through (h) and (j); or
    (3) If it has roof hatches, as specified in Sec. 231.28.
    (c) Each car of this type placed in service before October 22, 1964, 
or under construction on October 22, 1964 and placed in service before 
November 23, 1964, shall be equipped--
    (1) As specified in Sec. 231.1; or
    (2) As specified in Secs. 231.1 and 231.27(i); or
    (3) As specified in Sec. 231.27(a) through (h) and (j); or
    (4) If it has roof hatches, as specified in Sec. 231.28.
---------------------------------------------------------------------------

    (a) Hand brakes--(1) Number. Same as specified for ``Box and Other 
House Cars.''
    (2) Dimensions. Same as specified for ``Box and Other House Cars.''
    (3) Location. Each hand brake shall be located so that it can be 
safely operated from the end-platform. Each brake shaft shall be located 
on end of car to left of center and not more than twenty-four (24) 
inches from left side of car.
    (4) Manner of application. Same as specified for ``Box and Other 
House Cars.''
    (b) End-platforms--(1) Number. Two (2).
    (2) Dimensions. Width, not less than ten (10) inches. Length, full 
width of car.
    (3) Location. One (1) on each end of car not more than eight (8) 
inches above center sill.
    (4) Manner of application. Each end-platform shall be securely 
supported by not less than four (4) metal braces having a minimum cross 
sectional area three-eighths (\3/8\) by one and one-half (1\1/2\) inches 
or equivalent which shall be securely fastened to body of car with not 
less than one-half (\1/2\) inch bolts or rivets. The outside edge of 
each end-platform shall be not less than six (6) inches from a vertical 
plane parallel with end of car and passing through the inside face of 
knuckle when closed with coupler-horn against the buffer-block or end 
sill and cushioning device (if used) at full buff. End-platform shall be 
made of running board material as specified for ``Box and Other House 
Cars.''
    (c) Sill steps. Same as specified for ``Box and Other House Cars.''
    (d) End-ladder clearance. No part of car above end-sills within 
thirty (30) inches from side of car, except buffer block brake-shaft, 
brake wheel, end-platform, horizontal end handholds, or coupling lever 
shall extend to within twelve (12) inches of a vertical plane parallel 
with end of car and passing through the inside face of knuckle, when 
closed with the coupler horn against the buffer block or end-sill and 
cushioning device (if used) at full buff, and no other part of end of 
car or fixtures on same above end-sill, other than exceptions herein 
noted, shall extend beyond outer face of buffer block.
    (e) Side handholds--(1) Number. Sixteen (16).
    (2) Dimensions. Same as specified for ``Box and Other House Cars.''
    (3) Location. Horizontal: Four (4) near each end and on each side of 
car spaced not more than nineteen (19) inches apart and with the bottom 
handhold located not more than twenty-one (21) inches from top tread of 
sill step, and top handhold shall coincide in height with horizontal 
end-platform handhold, a variation of two (2) inches being allowed. 
Spacing of side handholds shall be uniform within a limit of two (2) 
inches from top handhold to bottom handhold. Clearance of outer ends of 
handholds shall be not more than eight (8) inches from end of car.
    (4) Manner of application. Same as specified for ``Box and Other 
House Cars,'' except each bottom handhold shall have foot guard or 
upward projection not less than two (2) inches in height near inside 
end.
    (f) Horizontal end handholds--(1) Number. Four (4).
    (2) Dimension. Same as specified for ``Box and Other House Cars.''
    (3) Location. One (1) near each side of each end of car on outer 
edge of end platform, projecting downward with

[[Page 427]]

clearance of outer end not more than sixteen (16) inches from side of 
car.
    (4) Manner of application. Same as specified for ``Box and Other 
House Cars.''
    (g) Horizontal end-platform handholds--(1) Number. Two (2).
    (2) Dimensions. Same as specified for ``Horizontal End Handholds'' 
for ``Box and Other House Cars,'' except length shall extend across end 
of car.
    (3) Location. Extending across each end of car, not less than forty-
eight (48) nor more than sixty (60) inches above tread of end-platform 
with clearance at each end of not more than four (4) inches from side of 
car, supported by an extra leg near center of handholds.
    (4) Manner of application. Same as specified for ``Horizontal End 
Handholds'' for ``Box and Other House Cars.''
    (h) Vertical end-handholds--(1) Number. Four (4).
    (2) Dimensions. Minimum diameter five-eighths (\5/8\) of an inch, 
wrought iron or steel. Minimum clearance, two (2), preferably two and 
one-half (2\1/2\) inches.
    (3) Location. One (1) on each side of each end of car, not more than 
four (4) inches from side of car, extending downward from end of 
horizontal end-platform handhold to within eight (8) inches above tread 
of end-platform. One (1) continuous handhold with two (2) right angles, 
or two (2) right angle handholds, may take the place of two (2) 
specified vertical end-handholds and one (1) horizontal end-platform 
handhold, provided the dimensions and locations coincide, and extra legs 
at points of angle and center are provided and securely fastened to car.
    (4) Manner of application. Same as specified for ``Box and Other 
House Cars.''
    (i) Uncoupling levers. Same as specified for ``Box and Other House 
Cars.''
    (j) Painting and stenciling. (1) That portion of each end of car 
more than fifteen (15) feet above top of rail shall be painted with 
contrasting reflectorized paint and shall bear the words ``No running 
board'' to the left of center and ``Excess height car'' to the right of 
center.
    (2) Lettering to be not less than three (3) inches high. On each 
side-sill near end corner there shall be painted a yellow rectangular 
area with a three-fourths (\3/4\) inch black border containing the words 
``This car excess height--no running board.'' Lettering to be not less 
than one and one-half (1\1/2\) inches high. When car is equipped with 
center sill or underframe cushioning device having more than twelve (12) 
inches longitudinal impact absorbing travel, and a part of the 
uncoupling device and/or brake pipe is located parallel to the exposed 
end of the center sill, such part shall provide at least two (2) inches 
of clearance near the coupler of sufficient length to permit use as an 
emergency handhold during air hose coupling operation and the top of 
exposed ends of sliding center sill shall be coated with anti-skid 
paint.

[33 FR 19663, Dec. 25, 1968, as amended at 40 FR 34347, Aug. 15, 1975]



Sec. 231.25  Track motorcars (self-propelled 4-wheel cars which can be removed from the rails by men).

    (a) Handbrakes (includes foot operated brake). Each track motorcar 
shall be equipped with an efficient handbrake so located that it can be 
safely operated while the car is in motion. Each handbrake shall be 
equipped with a ratchet or other suitable device which will provide a 
means of keeping the brake applied when car is not in motion.

    Note: The requirements of this rule will be satisfied if the ratchet 
or other suitable device operates in connection with at least one 
handbrake on track motorcars that may be equipped with more than one 
such brake.

    (b) Handholds. One or more safe and suitable handholds conveniently 
located shall be provided. Each handhold shall be securely fastened to 
car.
    (c) Sill steps or footboards. Each track motorcar shall be equipped 
with safe and suitable sill steps or footboards conveniently located and 
securely fastened to car when bed or deck of track motorcar is more than 
24 inches above top of rail.
    (d) Couplers. When used to haul other cars, each track motorcar 
shall be equipped with a coupler at each end where such cars are coupled 
(1) which provides a safe and secure attachment, (2) which can be 
coupled or uncoupled

[[Page 428]]

without the necessity of men going between the ends of the cars.



Sec. 231.26  Pushcars.

    (a) Handbrakes. When used to transport persons, each pushcar shall 
be equipped with an efficient handbrake so located that it can be safely 
operated while the car is in motion.
    (b) Handholds (includes handles). Each pushcar shall be provided 
with one or more secure handholds. When used to transport persons, each 
pushcar shall be provided with one or more safe and suitable handholds 
conveniently located above the top of the bed of each pushcar.
    (c) Sill steps or footboards. When used to transport persons, each 
pushcar shall be equipped with safe and suitable sillsteps or footboards 
conveniently located and securely fastened to car, when bed or deck of 
pushcar is more than 24 inches above top of rail.
    (d) Couplers. When moved together with other vehicles, each pushcar 
shall be equipped with a coupler at each end where such vehicles are 
coupled (1) which provides a safe and secure attachment, and (2) which 
can be coupled or uncoupled without the necessity of men going between 
the ends of the cars.

    Note: Sections 231.25 and 231.26 are applicable only when the 
vehicles governed thereby are coupled together and moved together.



Sec. 231.27  Box and other house cars without roof hatches or placed in service after October 1, 1966.

    (a) Handbrakes. The handbrake may be of any efficient design, but 
must provide the same degree of safety as, or a greater degree of safety 
than, the following specifications:
    (1) Number. (i) Each box or other house car without roof hatches 
shall be equipped with an efficient vertical wheel handbrake which shall 
operate in harmony with the power brake thereon.
    (ii) The handbrake may be of any efficient design, but must provide 
a total braking force applied to brake shoes not less than the total 
force applied to the brake shoes by the brake cylinders at 50 pounds per 
square inch.
    (2) Dimensions. (i) The brake wheel may be deep or shallow, of 
malleable iron, wrought iron, steel, or other material of equivalent 
strength.
    (ii) Overall diameter of brake wheel nominally twenty-two (22) 
inches.
    (iii) Depth of brake wheel hub shall be two and five-eighths (2\5/
8\) inches with square taper shaft fit, taper two (2) inches in twelve 
(12) inches with small end of taper fit seven-eighths (\7/8\) inches.
    (iv) Brake wheel and drum shall be arranged so that both will 
revolve when applying and gradually releasing the handbrake. Handbrake 
shall be provided with means to prevent application of the brake by 
winding in a counterclockwise direction.
    (v) Brake shaft shall be arranged with a square fit at its outer end 
to secure the handbrake wheel; said square fit shall be not less than 
seven-eighths (\7/8\) of an inch square. Square-fit taper: Nominally two 
(2) in twelve (12) inches (see Plate A).
    (vi) All chains shall be not less than nine-sixteenths (\9/16\) inch 
BBB coil chain.
    (vii) All handbrake rods shall be not less than three-fourths (\3/
4\) inch diameter.
    (3) Location. (i) The handbrake shall be so located that it can be 
safely operated from horizontal end platform while car is in motion.
    (ii) The brake shaft shall be located on end of car, to the left of 
and not less than seventeen (17) nor more than twenty-two (22) inches 
from center and not less than twenty-six (26) nor more than forty (40) 
inches above top of end-platform tread.
    (4) Manner of application. (i) Brake wheel shall be held in position 
on brake shaft by a nut on a threaded extended end of brake shaft; said 
thread portion shall be not less than three-fourths (\3/4\) of an inch 
in diameter; said nut shall be secured by riveting over or by the use of 
a locknut or suitable cotter.
    (ii) Outside edge of brake wheel shall be not less than four (4) 
inches from a vertical plane parallel with end of car and passing 
through the inside face of knuckle when closed with coupler horn against 
the buffer block or end sill.
    (iii) Handbrake housing shall be securely fastened to car.
    (b) End platforms--(1) Number. Two (2).

[[Page 429]]

    (2) Dimensions. Width not less than eight (8) inches; length, not 
less than sixty (60) inches.
    (3) Location. One (1) centered on each end of car between inner ends 
of handholds not more than eight (8) inches above top of center sill.
    (4) Manner of application. (i) Each end platform shall be securely 
supported by not less than three (3) metal braces having a minimum cross 
sectional area of three-eighths (\3/8\) by one and one-half (1\1/2\) 
inches or equivalent, which shall be securely fastened to body of car 
with not less than one-half (\1/2\) inch bolts or rivets.
    (ii) Where conventional draft gear or cushioning device having 
longitudinal travel less than six (6) inches is used the outside edge of 
each end platform shall be not less than twelve (12) inches from a 
vertical plane parallel with end of car and passing through the inside 
face of knuckle when closed with coupler horn against buffer block. 
Where cushioning device having longitudinal travel six (6) inches or 
more is used the outside edge of each end platform shall be not less 
than six (6) inches from a vertical plane parallel with end of car and 
passing through the inside face of knuckle when closed with end sill and 
cushioning device at full buff. End platform shall be made of wood or of 
material which provides the same as or a greater degree of safety than 
wood of 1\1/8\ inches thickness. When made of material other than wood 
the tread surface shall be of anti-skid design and constructed with 
sufficient open space to permit the elimination of snow and ice from the 
tread surface.
    (c) Sill steps--(1) Number. Four (4).
    (2) Dimensions. Minimum cross-sectional area one-half (\1/2\) by one 
and one-half (1\1/2\) inches, or equivalent, of wrought iron, steel, or 
other material of equivalent strength. Minimum length of tread, ten 
(10), preferably twelve (12) inches. Minimum clear depth, eight (8) 
inches.
    (3) Location. (i) One (1) near each end of each side car, so that 
there shall be no more than eighteen (18) inches from end of car to 
center of tread of sill step.
    (ii) Outside edge of tread of step shall be not more than four (4) 
inches inside of face of side of car, preferably flush with side of car.
    (iii) Tread shall be not more than twenty-four (24), preferably not 
more than twenty-two (22) inches above the top of rail.
    (4) Manner of application. (i) Sill steps exceeding twenty-one (21) 
inches in depth shall have an additional tread.
    (ii) Sill steps shall be securely fastened with not less than one-
half (\1/2\) inch bolts with nuts outside (when possible) and riveted 
over, or with not less than one-half (\1/2\) inch rivets.
    (d) End ladder (appliances) clearance. No part of car above end 
sills within thirty (30) inches from side of car, except buffer block, 
brake shaft, brake wheel, end platform, horizontal end handholds, or 
uncoupling lever shall extend to within twelve (12) inches of a vertical 
plane parallel with end of car and passing through the inside face of 
knuckle, when closed with the coupler horn against the buffer block or 
end sill and cushioning device (if used) at full buff, and no other part 
of end of car or fixtures on same above end sill, other than exceptions 
herein noted, shall extend beyond outer face of buffer block.
    (e) Side handholds--(1) Number. Sixteen (16).
    (2) Dimensions. Minimum diameter, five-eighths (\5/8\) of an inch, 
wrought iron, steel, or other material of equivalent strength. Minimum 
clear length, sixteen (16) inches, preferably twenty-four (24) inches. 
Minimum clearance, two (2), preferably two and one-half (2\1/2\) inches.
    (3) Location. Horizontal; four (4) near each end and on each side of 
car spaced not more than nineteen (19) inches apart and with the bottom 
handhold located not more than twenty-one (21) inches from top tread of 
sill step, and top handhold shall coincide in height with top end 
handhold, a variation of two (2) inches being allowed. Spacing of side 
handholds shall be uniform within a limit of two (2) inches from top 
handhold to bottom handhold. Clearance of outer ends of handholds shall 
be not more than eight (8) inches from end of car.
    (4) Manner of application. Side handholds shall be securely fastened 
with not less than one-half (\1/2\) inch bolts with nuts outside (when 
possible) and riveted over, or with not less than

[[Page 430]]

one-half (\1/2\) inch rivets. Each bottom handhold shall have foot guard 
or upward projection not less than two (2) inches in height near inside 
end.
    (f) End handholds--(1) Number. Sixteen (16).
    (2) Dimensions. (i) Minimum diameter, five-eighths (\5/8\) of an 
inch, wrought iron, steel, or other material of equivalent strength.
    (ii) Minimum clear length, sixteen (16) inches, preferably twenty-
four (24) inches.
    (iii) Minimum clearance, two (2) preferably two and one-half (2\1/
2\) inches.
    (3) Location. Horizontal: Four (4) near each side and on each end of 
car spaced not more than nineteen (19) inches apart and with the bottom 
handhold located not more than twenty-one (21) inches from top tread of 
sill step, and top handhold shall coincide in height with end platform 
handholds, a variation of two (2) inches being allowed. Clearance of 
outer ends of handholds shall be not more than eight (8) inches from 
side of car.
    (4) Manner of application. End handholds shall be securely fastened 
with not less than one-half (\1/2\) inch bolts with nuts outside (when 
possible) and riveted over, or with not less than one-half (\1/2\) inch 
rivets. Each bottom handhold shall have foot guard or upward projection 
not less than two (2) inches in height near inside end.
    (g) Horizontal end-platform handholds--(1) Number. Two (2).
    (2) Dimensions. (i) Minimum diameter, five-eighths (\5/8\) of an 
inch, wrought iron, steel, or other material of equivalent strength.
    (ii) Minimum clearance, two (2) preferably two and one-half (2\1/2\) 
inches.
    (iii) Minimum clear length sixty (60) inches. When security of 
attachment requires, an extra supporting leg may be applied near center 
of clear length.
    (3) Location. One (1) on each end of car above end platform. Outer 
legs shall be not more than six (6) inches from inner legs of top end 
handholds. Height above tread of end platform: Not less than forty-eight 
(48) nor more than sixty (60) inches.
    (4) Manner of application. End-platform handholds shall be securely 
fastened with not less than one-half (\1/2\) inch bolts with nuts 
outside (when possible) and riveted over, or with not less than one-half 
(\1/2\) inch rivets.
    (h) Uncoupling levers--(1) Number. Two (2).
    (2) Dimensions. (i) Handles of uncoupling levers, except those shown 
on Plate B or of similar designs, shall be not more than six (6) inches 
from side of car.
    (ii) Uncoupling levers of design shown on Plate B and of similar 
designs shall conform to the following prescribed limits:
    (a) Handles shall be not more than twelve (12), preferably nine (9) 
inches from sides of car. Center lift arms shall be not less than seven 
(7) inches long.
    (b) Center of eye at end of center lift arm shall be not more than 
three and one-half (3\1/2\) inches beyond center of eye of uncoupling 
pin of coupler when horn of coupler is against the buffer block or end 
sill (see Plate B).
    (c) End of handles shall extend not less than four (4) inches below 
bottom of end sill or shall be so constructed as to give a minimum 
clearance of two (2) inches around handle. Minimum drop of handles shall 
be twelve (12) inches; maximum, fifteen (15) inches overall (see Plate 
B).
    (iii) Handles of uncoupling levers of the ``rocking'' or ``push-
down'' type shall be not less than eighteen (18) inches from top of rail 
when lockblock has released knuckle, and a suitable stop shall be 
provided to prevent inside arm from flying up in case of breakage.
    (3) Location. One (1) on each end of car. When single lever is used, 
it shall be placed on left side of end of car.
    (i) Existing box and other house cars without roof hatches. (1) Box 
and other house cars without roof hatches built on or before April 1, 
1966, or under construction prior thereto and placed in service before 
October 1, 1966, shall be deemed equipped as nearly as possible within 
the intent of Sec. 231.1 and of this section when:
    (i) The running board, roof handholds over side and end ladders at 
``A'' end of car and ladder treads above the fourth tread from bottom of 
side and end ladder at ``A'' end are removed;
    (ii) One (1) horizontal end-platform handhold is applied on each end 
of car as specified in this section except the right hand end shall be 
not more than

[[Page 431]]

eight (8) inches from side of car, or where car end contour makes 
impractical the use of a single continuous end handhold, there is 
applied the equivalent consisting of two (2) handholds, the center 
handhold to be a minimum of thirty (30) inches in clear length and the 
handhold to the right to be a minimum of nineteen (19) inches in clear 
length and to extend to within eight (8) inches of the right side of the 
car, such handholds to be not more than twelve (12) inches apart; and
    (iii) With handbrake operated near roof of car: a brake step shall 
be provided as specified in Sec. 231.1 and lettering one and one-half 
(1\1/2\) inches high shall be painted on a yellow background on side 
sill near ``B'' end of car with a three-fourths (\3/4\) inch black 
border containing the words ``Keep Off Roof--No Running Board,'' or with 
handbrake operated from approximate level of top of end sill: roof 
handholds and side and end ladder treads above the fourth tread from the 
bottom of ladders at ``B'' end of car shall be removed and a brake step 
as specified by Sec. 231.1 shall be used with top of tread surface being 
level with or not more than four (4) inches below adjacent end handhold.
    (2) Paragraph (i)(1)(ii) of this section shall not apply to cars 
equipped with end platforms and end platform handholds.
    (j) Painting and marking. Box and other house cars with roofs 16 
feet and 10 inches or more above top of rail shall be painted and marked 
as follows:
    (1) That portion of each end of the car which is more than fifteen 
(15) feet above top of rail shall be painted with contrasting 
reflectorized paint and bear the words ``excess height car'' in 
lettering not less than three (3) inches high; and
    (2) On each side sill near end corner there shall be painted or 
otherwise displayed a yellow rectangular area with a three-fourths (\3/
4\) inch black border containing the words ``this car excess height'' in 
lettering not less than one and one-half (1\1/2\) inches high.

(Secs. 2, 4, and 6, 27 Stat. 531, as amended; secs, 1 and 3, 32 Stat. 
943, as amended; sec. 6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8, 
and 10, 11-16 and 49 U.S.C. 103(c)(1))

[33 FR 19663, Dec. 25, 1968, as amended at 40 FR 34347, Aug. 15, 1975; 
49 FR 26745, June 29, 1984]



Sec. 231.28  Box and other house cars with roof hatches built or placed in service after October 1, 1966.

    The specifications of Sec. 231.27 shall apply except as to the 
following:
    (a) Running boards. Same as specified in Sec. 231.1, except: the end 
of longitudinal running board shall be not less than six (6) inches from 
a vertical plane parallel with end of car and passing through the inside 
face of knuckle when closed with coupler horn against buffer block or 
end sill.
    (b) Ladders--(1) Number. Two (2).
    (2) Dimensions. (i) Minimum clear length of tread: Sixteen (16) 
inches.
    (ii) Maximum spacing between treads nineteen (19) inches.
    (3) Location. One (1) on each end of car not more than eight (8) 
inches from left-hand side.
    (4) Manner of application. Same as specified in Sec. 231.1.
    (c) Roof handholds--(1) Number. Two (2), one (1) over each ladder.
    (2) Dimensions. Same as specified in Sec. 231.1.
    (3) Location. On roof of car. One (1) parallel to treads of each 
ladder, not less than eight (8) nor more than fifteen (15) inches from 
edge of roof, except on refrigerator cars where ice hatches prevent, 
when location may be nearer edge of roof.
    (4) Manner of application. Same as specified in Sec. 231.1.
    (d) End handholds. (Treads of end ladders are end handholds.) Same 
as specified for Sec. 231.27.
    (e) Existing box and other house cars with roof hatches. Box and 
other house cars with roof hatches built on or before April 1, 1966, or 
under construction prior thereto and placed in service before October 1, 
1966, shall be deemed

[[Page 432]]

equipped as nearly as possible within the intent of Sec. 231.1 and of 
this section when: Equipped as specified in Sec. 231.1, except (1) the 
side ladder treads above the fourth tread from bottom of side ladder 
near ``A'' end of car and roof handhold over the side ladder near ``A'' 
end shall be removed; (2) and (1) end platform handhold shall be 
provided on each end of car as specified in Sec. 231.27(i); and when 
handbrake is operated near roof of car a brake step shall be provided as 
specified by Sec. 231.1 or when handbrake is operated from approximate 
level of top of end sill the roof handhold over side ladder near ``B'' 
end and treads above the fourth tread from bottom of side ladder near 
``B'' end shall be removed and a brake step as specified in Sec. 231.1 
shall be used with top of tread surface level with or not more than four 
(4) inches below adjacent end handhold.

(Secs. 2, 4, and 6, 27 Stat. 531, as amended; secs, 1 and 3, 32 Stat. 
943, as amended; sec. 6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8, 
and 10, 11-16 and 49 U.S.C. 103(c)(1))

[33 FR 19663, Dec. 25, 1968, as amended at 49 FR 26745, June 29, 1984]



Sec. 231.29  Road locomotives with corner stairways.

    After September 30, 1979, road locomotives with corner stairway 
openings must be equipped with (a) uncoupling mechanisms that can be 
operated safely from the bottom stairway opening step as well as ground 
level, and (b) the vertical handholds and horizontal end handholds 
prescribed in Sec. 231.30(e) and (g). No part of the uncoupling 
mechanism may extend into the stairway opening or end platform area when 
the mechanism is in its normal position or when it is operated. Each 
carrier shall so equip forty percent (40 percent) of its road 
locomotives by October 1, 1977, seventy percent (70 percent) by October 
1, 1978, and all its road locomotives by October 1, 1979.

[41 FR 37783, Sept. 8, 1976]



Sec. 231.30  Locomotives used in switching service.

    (a) General requirements. (1) Except for steam locomotives equipped 
as provided in Sec. 231.16 of this part, all locomotives used in 
switching service built after March 31, 1977, must be equipped as 
provided in this section.
    (2) Except for steam locomotives equipped as prescribed in 
Sec. 231.16 of this part, all locomotives built prior to April 1, 1977, 
used in switching service after September 30, 1979, shall be equipped as 
provided in this section. Each carrier shall so equip forty percent (40 
percent) of such locomotives by October 1, 1977, seventy percent (70 
percent) by October 1, 1978, and all such locomotives by October 1, 
1979.
    (3) Locomotives without corner stairway openings may not be used to 
perform any switching service after September 30, 1979 except passenger 
car switching service at passenger stations.
    (b) Definitions. (1) Locomotive used in switching service means a 
locomotive regularly assigned to perform yard switching service.
    (2) Switching service means the classification of cars according to 
commodity or destination; assembling of cars for train movements; 
changing the position of cars for purposes of loading, unloading, or 
weighing, placing of locomotives and cars for repair or storage; or 
moving of rail equipment in connection with work service that does not 
constitute a road movement. However, this term does not include movement 
of a train or part of a train within yard limits by the road locomotive 
and the placement of locomotives or cars in a train or their removal 
from a train by the road locomotive while en route to the train's 
destination.
    (3) Safety tread surface means that portion of anti-skid surface of 
a switching step that actually is contacted by a shoe or boot.
    (4) Uncoupling mechanism means the arrangement for operating the 
coupler lock lift, including the uncoupling lever and all other 
appurtenances that facilitate operation of the coupler.
    (c) Switching step--(1) Number. Each locomotive used in switching 
service must have four (4) switching steps. (See Plate A)
    (2) Dimensions. Each such switching step must have--
    (i) On locomotives built after March 31, 1977, a minimum width of 
twenty-four (24) inches and a minimum depth

[[Page 433]]

of twelve (12) inches, except when necessary to accommodate the turning 
arc of a six-wheel truck and its appurtenances, the inside edge of the 
switching step shall have a minimum width of seventeen (17) inches (See 
Plate B);
    (ii) On locomotives built prior to April 1, 1977, a minimum width of 
eighteen (18) inches, and a minimum depth of eight (8) inches;
    (iii) A backstop, solid or perforated, with minimum height of 
backstop of six (6) inches above the safety tread surface; and
    (iv) A height of not more than nineteen (19) inches, preferably 
fifteen (15) inches, measured from top of rail to the safety tread 
surface.
    (3) Location. Switching steps must be located on each side near each 
end of a locomotive used in switching service. The bottom step of the 
stairway at these locations may also serve as a switching step if it 
meets all of the requirements of this section.
    (4) Manner of application. (i) Switching steps must be supported by 
a bracket at each end and fastened to the bracket by two bolts or rivets 
of at least one-half (\1/2\) inch diameter or by a weldment of at least 
twice the strength of a bolted attachment.
    (ii) Vertical clearance must be unobstructed, except for minor 
intrusions created by mechanical fasteners or a small triangular gusset 
plate at the platform level walkway, and free for use for at least a 
distance of eighty-four (84) inches over a portion of the switching step 
that is not less than seven (7) inches deep by eighteen (18) inches wide 
on locomotives built prior to April 1, 1977, and of not less than seven 
(7) inches deep by twenty-four (24) inches wide on locomotives built 
after March 31, 1977.
    (5) Material. (i) Steel or other material of equivalent or better 
strength and deflection characteristics, anti-skid, safety design, 
having at least fifty percent (50%) of the tread surface as open space 
must be used.
    (ii) When the step material creates a second level safety tread 
surface, the maximum difference in surface levels may not exceed three-
eighths (\3/8\) of an inch.
    (iii) The safety tread surface must extend to within one-half (\1/
2\) inch of each edge of the step.
    (6) Visibility. The outer edge of each switching step that is not 
illuminated must be painted a contrasting color. On locomotives built 
after March 31, 1977, switching steps shall be illuminated; on multiple-
unit locomotive consists used in switching service, only the front 
switching steps of the leading unit and the rear switching steps of the 
trailing unit must be illuminated.
    (d) End footboards and pilot steps. (1) Except for steam locomotives 
equipped as provided in Sec. 231.16, locomotives used in switching 
service built after March 31, 1975, may not be equipped with end 
footboards or pilot steps.
    (2) Except for steam locomotives equipped as provided in 
Sec. 231.16, locomotives used in switching service built before April 1, 
1975, may not be equipped with end footboards or pilot steps after 
September 30, 1978. Whenever end footboards or pilot steps are removed 
from a locomotive, the uncoupling mechanism and horizontal end handholds 
of the locomotive must be modified to comply with paragraphs (f) and (g) 
of this section.
    (e) Vertical handholds. Each switching step must be provided with 
two (2) vertical handholds or handrails, one on each side of the 
switching step stairway.
    (1) On locomotives built after March 31, 1977, each vertical 
handhold must--
    (i) Be constructed of wrought iron, steel or other material of 
equivalent strength and durability that is at least one (1) inch 
diameter and be securely fastened to the locomotive with one-half (\1/
2\) inch or larger bolts or rivets;
    (ii) Begin not less than six (6) inches nor more than thirty-two 
(32) inches above the safety tread surface of the switching step; on 
units with high snowplows, each must begin not more than thirty-six (36) 
inches above the safety tread surface of the switching step;
    (iii) Extend upward from switching step surface at least forty-eight 
(48) inches;
    (iv) Be painted in a contrasting color to a height of at least 
forty-eight (48) inches above the safety tread surface of the switching 
step; and

[[Page 434]]

    (v) Provide at least two and one-half (2\1/2\) inches of usable hand 
clearance throughout its entire length.
    (2) On locomotives built before April 1, 1977, each vertical 
handhold must--
    (i) Be constructed of wrought iron, steel or other material of 
equivalent strength and durability that is at least seven-eighths (\7/
8\) inch in diameter and be securely fastened with one-half (\1/2\) inch 
or larger bolts or rivets;
    (ii) Begin not less than five (5) inches nor more than thirty-two 
(32) inches above the safety tread surface; on units with high 
snowplows, each must begin not more than thirty-six (36) inches above 
the safety tread surface;
    (iii) Extend upward from safety tread surface of the switching step 
at least forty-eight (48) inches;
    (iv) Be painted in a contrasting color to a height of at least 
forty-eight (48) inches above the safety tread surface of the switching 
step; and
    (v) Provide at least two and one-half (2\1/2\) inches usable hand 
clearance throughout its entire length.
    (f) Uncoupling mechanisms. Each locomotive used in switching service 
must have means for operating the uncoupling mechanism safely from the 
switching step as well as from ground level. No part of the uncoupling 
mechanism may extend into the switching step or stairway opening or end 
platform area when the mechanism is in its normal position or when it is 
operated. (See Plate A)
    (g) Horizontal end handholds. Each locomotive used in switching 
service must have four (4) horizontal end handholds.
    (1) Each horizontal end handhold must--
    (i) Be constructed of wrought iron, steel or other material of 
equivalent strength and durability that is at least five-eighths (\5/8\) 
inch in diameter and be securely fastened to the locomotive with one-
half (\1/2\) inch or larger bolts or rivets;
    (ii) Be located not less than thirty (30) inches nor more than fifty 
(50) inches above the top of rail with its outer end not more than 16 
inches from the side of the locomotive; on units with a high snowplow 
that makes normal end handhold location inaccessible, end handhold shall 
be located on top of plow blade, with the center of the handhold not 
more than fifty-three (53) inches above the top of rail, and be in line 
with the slope of the plow blade;
    (iii) Be at least fourteen (14) inches long; and
    (iv) Provide at least two (2) inches, preferably two and one-half 
(2\1/2\) inches, usable hand clearance throughout its entire length.
    (2) An uncoupling lever may also serve as a horizontal end handhold 
if it complies with the requirements of this paragraph. When an 
uncoupling lever also serves as the horizontal end handhold, it is 
considered to be securely fastened if its securement brackets are 
attached to the locomotive by one-half (\1/2\) inch or larger bolts or 
rivets and its movement between those brackets is limited to the 
rotation necessary for performance of the uncoupling function.

[[Page 435]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.007


[[Page 436]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.008


[41 FR 37783, Sept. 8, 1976]



Sec. 231.31  Drawbars for freight cars; standard height.

    (a) Except on cars specified in paragraph (b) of this section--
    (1) On standard gage (56\1/2\-inch gage) railroads, the maximum 
height of drawbars for freight cars (measured perpendicularly from the 
level of the tops of the rails to the centers of the drawbars) shall be 
34\1/2\ inches, and the minimum height of drawbars for freight cars on 
such standard gage railroads (measured in the same manner) shall be 
31\1/2\ inches.
    (2) On 36-inch gage railroads, the maximum height of drawbars for 
freight cars (measured perpendicularly from the level of the tops of the 
rails to the centers of the drawbars) shall be 26 inches, and the 
minimum height of drawbars for freight cars on such 36-inch gage 
railroads (measured in the same manner) shall be 23 inches.
    (3) On 24-inch gage railroads, the maximum height of drawbars for 
freight cars (measured perpendicularly from the level of the tops of the 
rails to the centers of the drawbars) shall be 17\1/2\ inches, and the 
minimum height of drawbars for freight cars on 24-inch gage railroads 
(measured in the same manner) shall be 14\1/2\ inches.
    (4) On railroads operating on track with a gage other than those 
contained in paragraphs (a)(1) through (a)(3) of this section, the 
maximum and minimum height of drawbars for freight cars operating on 
those railroads shall be established upon written approval of FRA.
    (b) This section shall not apply to a railroad all of whose track is 
less than 24 inches in gage.

[66 FR 4192, Jan. 17, 2001]

[[Page 437]]

         Appendix A to Part 231--Schedule of Civil Penalties \1\
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $22,000 for any violation where circumstances warrant. 
See 49 CFR part 209, appendix A.
    \2\ This schedule uses section numbers from FRA's Safety Appliance 
Defect Code, a restatement of the CFR text in a reorganized format. For 
convenience, and as an exception to FRA's general policy, penalty 
citations will cite the defect code rather than the CFR. FRA reserves 
the right, should litigation become necessary, to substitute in its 
complaint the CFR and/or statutory citation in place of the defect code 
section cited in the penalty demand letter.

------------------------------------------------------------------------
                                                               Willful
 FRA safety appliance defect code section \2\    Violation    violation
------------------------------------------------------------------------
110.A1 Hand Brake or Hand Brake Part Missing..       $5,000       $7,500
110.A2 Hand Brake or Hand Brake Part Broken...        5,000        7,500
110.A3 Hand Brake or Hand Brake Part Loose or         2,500        5,000
 Worn.........................................
110.B1 Hand Brake Inoperative.................        5,000        7,500
110.B2 Hand Brake Inefficient.................        2,500        5,000
110.B3 Hand Brake Improperly Applied..........        2,500        5,000
110.B4 Hand Brake Incorrectly located.........        2,500        5,000
110.B5 Hand Brake Shaft Welded or Wrong               2,500        5,000
 Dimension....................................
110.B6 Hand Brake Shaft Not Retained in               2,500        5,000
 Operating Position...........................
110.B8 Hand Brake or Hand Brake Parts Wrong           2,500        5,000
 Design.......................................
114.B2 Hand Brake Wheel or Lever Has                  2,500        5,000
 Insufficient Clearance Around Rim or Handle..
114.B3 Hand Brake Wheel/Lever Clearance               2,500        5,000
 Insufficient to Vertical Plane Through Inside
 Face of Knuckle..............................
120.A1 Brake Step Missing Except by Design....        5,000        7,500
120.A2 Brake Step or Brace Broken or Decayed..        2,500        5,000
120.A3 Brake Step or Brace Loose..............        2,500        5,000
120.B1 Brake Step or Brace Bent...............        2,500        5,000
120.B2 Brake Step or Wrong Dimensions.........        2,500        5,000
120.C1 Brake Step Improperly Applied..........        2,500        5,000
120.C2 Brake Step Improperly Located..........        2,500        5,000
120.C3 Brake Step With Less Than 4         2,500        5,000
 Clearance to Vertical Plane Through Inside
 Face of Knuckle..............................
120.C4 Brake Step Obstructed or Otherwise             2,500        5,000
 Unsafe.......................................
124.A1 Running Board Missing or Part Missing          5,000        7,500
 Except By Design.............................
124.A2 Running Board Broken or Decayed........        5,000        7,500
124.A3 Running Board Loose Presents a Tripping        2,500        5,000
 Hazard or Other Unsafe Condition.............
124.A4 Running Board Wrong Material...........        2,500        5,000
124.B1 Running Board Bent to the Extent that          2,500        5,000
 It is Unsafe.................................
124.B2 Running Board Wrong Dimensions.........        2,500        5,000
124.B3 Running Board Wrong Location...........        2,500        5,000
124.C1 Running Board Improperly Applied.......        2,500        5,000
124.C2 Running Board Obstructed...............        2,500        5,000
126.A1 End Platform Missing or Part Except By         5,000        7,500
 Design.......................................
126.A2 End Platform Broken or Decayed.........        5,000        7,500
126.A3 End Platform Loose.....................        2,500        5,000
126.B1 End Platform or Brace Bent.............        2,500        5,000
126.B2 End Platform Wrong Dimensions..........        2,500        5,000
126.C1 End Platform Improperly Applied........        2,500        5,000
126.C2 End Platform With Less Than Required           2,500        5,000
 Clearance to Vertical Plane Through Inside
 Knuckle......................................
126.C3 End Platform Improperly Located........        2,500        5,000
126.C4 End Platform Obstructed................        5,000        7,500
128.A1 Platform or Switching Step Missing.....        5,000        7,500
128.A2 Platform or Switching Step Broken or           5,000        7,500
 Decayed......................................
128.A3 Platform or Switching Step Loose.......        2,500        5,000
128.B1 Platform or Switching Step Bent........        2,500        5,000
128.B2 Platform or Switching Step Does Not            2,500        5,000
 Meet the Required Location or Dimensions.....
128.C1 Platform or Switching Step Improperly          2,500        5,000
 Applied or Repaired..........................
128.C2 Platform or Switching Step Obstructed..        2,500        5,000
128.D1 Switching Step Back Stop or Kick Plate         2,500        5,000
 Missing......................................

[[Page 438]]

 
128.D2 Switching Step Not Illuminated When            2,500        5,000
 Required.....................................
128.D3 Non-Illuminated Step Not Painted               1,000        2,000
 Contrasting Color............................
130.A1 Sill Step or Additional Tread, Missing.        5,000        7,500
130.A2 Sill Step or Additional Tread, Broken..        5,000        7,500
130.A3 Sill Step or Additional Tread, Loose...        2,500        5,000
130.B1 Sill Step or Additional Tread, Bent....        2,500        5,000
130.B2 Sill Step or Additional Tread, Having          2,500        5,000
 Wrong Dimensions or Improperly Located.......
130.B3 Sill Step Improperly Applied...........        2,500        5,000
132.A1 Side Missing Step......................        5,000        7,500
132.A2 Side Door Step Broken..................        5,000        7,500
132.A3 Side Door Step Loose...................        2,500        5,000
132.B1 Side Door Step Bent....................        2,500        5,000
132.B2 Side Door Step Having Wrong Dimensions.        2,500        5,000
134.A1 Ladder Missing.........................        5,000        7,500
134.A2 Ladder Broken..........................        5,000        7,500
134.A3 Ladder Loose...........................        2,500        5,000
134.B1 Ladder Bent............................        2,500        5,000
134.B2 Ladder Having Wrong Dimensions.........        2,500        5,000
134.C1 Ladder Improperly Applied..............        2,500        5,000
134.C2 Ladder Having Insufficient Clearance or        2,500        5,000
 Improperly Located...........................
134.C3 Ladder Wrong Design....................        2,500        5,000
134.C4 Ladder Wrong Material..................        2,500        5,000
134.D1 End Clearance Insufficient.............        2,500        5,000
136.A1 Ladder Tread or Handholds Missing......        5,000        7,500
136.A2 Ladder Tread or Handhold Broken........        5,000        7,500
136.A3 Ladder Tread or Handhold Loose Except          2,500        5,000
 By Design....................................
136.B1 Ladder Tread or Handhold Bent to The           2,500        5,000
 Extent That It May Be Unsafe.................
136.B2 Ladder Tread or Handhold Wrong                 2,500        5,000
 Dimensions...................................
136.C1 Ladder Tread or Handhold Improperly            2,500        5,000
 Applied......................................
136.C2 Ladder Tread or Handhold Having Wrong          2,500        5,000
 Clearance....................................
136.C3 Ladder or Handhold Improperly Located..        2,500        5,000
136.C4 Ladder Tread or Handhold Obstructed....        2,500        5,000
136.C5 Ladder Tread Without Footguards........        2,500        5,000
138.A1 Hand or Safety Railing Missing.........        5,000        7,500
138.A2 Hand or Safety Railing Broken..........        5,000        7,500
138.A3 Hand or Safety Railing Loose Except by         2,500        5,000
 Design.......................................
138.B1 Hand or Safety Railing Bent............        2,500        5,000
138.B2 Hand or Safety Railing Wrong Dimensions        2,500        5,000
138.C1 Hand or Safety Railing Improperly              2,500        5,000
 Applied......................................
138.C2 Hand or Safety Railing Having Less Than        2,500        5,000
 the Required Clearance.......................
138.C3 Hand or Safety Railing Improperly              2,500        5,000
 Located......................................
140.A1 Uncoupling Lever Missing...............        2,500        5,000
140.A2 Uncoupling Lever Broken or Disconnected        2,500        5,000
140.B1 Uncoupling Lever Bent Will not Safely          2,500        5,000
 and Reasonably Function As Intended..........
140.C1 Uncoupling Lever Bracket Bent Lever            2,500        5,000
 Will Not Function Properly...................
140.C2 Uncoupling Lever Bracket Broken or             2,500        5,000
 Missing......................................
140.D1 Uncoupling Lever Wrong Dimension.......        2,500        5,000
140.D2 Uncoupling Lever With Improper Handle          2,500        5,000
 Clearance....................................
144.A1 Coupler Missing........................        5,000        7,500
144.B1 Coupler Height Incorrect...............        2,500        5,000
144.C1 Coupler Inoperative....................        2,500        5,000
145.A1 Kick Plates Missing....................        2,500        5,000
145.A2 Kick Plates Broken.....................        2,500        5,000
145.B1 Kick Plates Wrong Dimensions...........        2,500        5,000
145.B2 Kick Plates Improper Clearance.........        2,500        5,000
145.B3 Kick Plates Insecure Or Improperly             2,500        5,000
 Applied......................................
146.A Notice or Stencil not Posted on Cabooses          500        1,000
 with Running Boards Removed..................
146.B Safe Means not Provided to Clean or             1,000        2,000
 Maintain Windows of Caboose..................
231.31 Drawbars, standard height..............        2,500        5,000
------------------------------------------------------------------------


[53 FR 52933, Dec. 29, 1988, as amended at 63 FR 11623, Mar. 10, 1998; 
66 FR 4193, Jan. 17, 2001]

[[Page 439]]



PART 232--BRAKE SYSTEM SAFETY STANDARDS for FREIGHT and OTHER NON-PASSENGER TRAINS and EQUIPMENT; END-of-TRAIN DEVICES--Table of Contents




                           Subpart A--General

Sec.
232.1 Scope.
232.3 Applicability.
232.5 Definitions.
232.7 Waivers.
232.9 Responsibility for compliance.
232.11 Penalties.
232.13 Preemptive effect.
232.15 Movement of defective equipment.
232.17 Special approval procedure.
232.19 Availability of records.
232.21 Information collection.

                     Subpart B--General Requirements

232.101 Scope.
232.103 General requirements for all train brake systems.
232.105 General requirements for locomotives.
232.107 Air source requirements and cold weather operations.
232.109 Dynamic brake requirements.
232.111 Train handling information.

             Subpart C--Inspection and Testing Requirements

232.201 Scope.
232.203 Training requirements.
232.205 Class I brake tests--initial terminal inspection.
232.207 Class IA brake tests--1,000-mile inspection.
232.209 Class II brake tests--intermediate inspection.
232.211 Class III brake tests--trainline continuity inspection.
232.213 Extended haul trains.
232.215 Transfer train brake tests.
232.217 Train brake tests conducted using yard air.
232.219 Double heading and helper service.

        Subpart D--Periodic Maintenance and Testing Requirements

232.301 Scope.
232.303 General requirements.
232.305 Single car air brake tests.
232.307 Modification of the single car air brake test procedures.
232.309 Equipment and devices used to perform single car air brake 
          tests.

                     Subpart E--End-of-Train Devices

232.401 Scope.
232.403 Design standards for one-way end-of-train devices.
232.405 Design and performance standards for two-way end-of-train 
          devices.
232.407 Operations requiring use of two-way end-of-train devices; 
          prohibition on purchase of nonconforming devices.
232.409 Inspection and testing of end-of-train devices.

         Subpart F--Introduction of New Brake System Technology

232.501 Scope.
232.503 Process to introduce new brake system technology.
232.505 Pre-revenue service acceptance testing plan.

Appendix A--Schedule of Civil Penalties
Appendix B--Part 232 prior to May 31, 2001 as clarified effective April 
          10, 2002

    Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20301-20303, 
20306, 21301-21302, 21304; 49 CFR 1.49(c), (m).

    Source: 66 FR 4193, Jan. 17, 2001, unless otherwise noted.



                           Subpart A--General



Sec. 232.1  Scope.

    (a) This part prescribes Federal safety standards for freight and 
other non-passenger train brake systems and equipment. Subpart E of this 
part prescribes Federal safety standards not only for freight and other 
non-passenger train brake systems and equipment, but also for passenger 
train brake systems. This part does not restrict a railroad from 
adopting or enforcing additional or more stringent requirements not 
inconsistent with this part.
    (b) Except as otherwise specifically provided in this paragraph or 
in this part, railroads to which this part applies shall comply with all 
the requirements contained in subparts A through C and subpart F of this 
part beginning on April 1, 2004. Sections 232.1 through 232.13 and 
232.17 through 232.21 of this part will become applicable to all 
railroads to which this part applies beginning on May 31, 2001. Subpart 
D of this part will become applicable to all railroads to which this 
part applies beginning on August 1, 2001. Subpart E of this part will 
become applicable to all trains operating on track which is part of the 
general railroad system of transportation beginning on May 31, 2001.

[[Page 440]]

    (c) A railroad may request earlier application of the requirements 
contained in subparts A through C and subpart F of this part upon 
written notification to FRA's Associate Administrator for Safety. Such a 
request shall indicate the railroad's readiness and ability to comply 
with all of the requirements contained in those subparts.
    (d) Except for operations identified in Sec. 232.3(c)(1), (c)(4), 
and (c)(6) through (c)(8), all railroads which are part of the general 
railroad system of transportation shall operate pursuant to the 
requirements contained in this part 232 as it existed on May 31, 2001 
and included as Appendix B to this part until they are either required 
to operate pursuant to the requirements contained in this part or the 
requirements contained in part 238 of this chapter or they elect to 
comply earlier than otherwise required with the requirements contained 
in this part or the requirements contained in part 238 of this chapter.

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 9906, Feb. 12, 2001]



Sec. 232.3  Applicability.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
this part applies to all railroads that operate freight or other non-
passenger train service on standard gage track which is part of the 
general railroad system of transportation. This includes the operation 
of circus trains and private cars when hauled on such railroads.
    (b) Subpart E of this part, ``End-of-Train Devices,'' applies to all 
trains operating on track which is part of the general railroad system 
of transportation unless specifically excepted in that subpart.
    (c) Except as provided in Sec. 232.1(d) and paragraph (b) of this 
section, this part does not apply to:
    (1) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation.
    (2) Intercity or commuter passenger train operations on standard 
gage track which is part of the general railroad system of 
transportation;
    (3) Commuter or other short-haul rail passenger train operations in 
a metropolitan or suburban area (as described by 49 U.S.C. 20102(1)), 
including public authorities operating passenger train service;
    (4) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation;
    (5) Tourist, scenic, historic, or excursion operations, whether on 
or off the general railroad system;
    (6) Freight and other non-passenger trains of four-wheel coal cars;
    (7) Freight and other non-passenger trains of eight-wheel standard 
logging cars if the height of each car from the top of the rail to the 
center of the coupling is not more than 25 inches; or
    (8) A locomotive used in hauling a train referred to in paragraph 
(c)(7) of this subsection when the locomotive and cars of the train are 
used only to transport logs.
    (d) The provisions formerly contained in Interstate Commerce 
Commission Order 13528, of May 30, 1945, as amended, now revoked, are 
codified in this paragraph. This part is not applicable to the following 
equipment:
    (1) Scale test weight cars.
    (2) Locomotive cranes, steam shovels, pile drivers, and machines of 
similar construction, and maintenance machines built prior to September 
21, 1945.
    (3) Export, industrial, and other cars not owned by a railroad which 
are not to be used in service, except for movement as shipments on their 
own wheels to given destinations. Such cars shall be properly identified 
by a card attached to each side of the car, signed by the shipper, 
stating that such movement is being made under the authority of this 
paragraph.
    (4) Industrial and other than railroad-owned cars which are not to 
be used in service except for movement within the limits of a single 
switching district (i.e., within the limits of an industrial facility).
    (5) Narrow-gage cars.
    (6) Cars used exclusively in switching operations and not used in 
train movements within the meaning of the Federal safety appliance laws 
(49 U.S.C. 20301-20306).

[[Page 441]]



Sec. 232.5  Definitions.

    The definitions in this section are intended to clarify the meaning 
of terms used in this part as it becomes applicable pursuant to 
Sec. 232.1(b) and (c).
    AAR means the Association of American Railroads.
    Air brake means a combination of devices operated by compressed air, 
arranged in a system, and controlled manually, electrically, 
electronically, or pneumatically, by means of which the motion of a 
railroad car or locomotive is retarded or arrested.
    Air Flow Indicator, AFM means a specific air flow indicator required 
by the air flow method of qualifying train air brakes (AFM). The AFM Air 
Flow Indicator is a calibrated air flow measuring device which is 
clearly visible and legible in daylight and darkness from the engineer's 
normal operating position. The indicator face displays:
    (1) Markings from 10 cubic feet per minute (CFM) to 80 CFM, in 
increments of 10 CFM or less; and
    (2) Numerals indicating 20, 40, 60, and 80 CFM for continuous 
monitoring of air flow.
    Bind means restrict the intended movement of one or more brake 
system components by reduced clearance, by obstruction, or by increased 
friction.
    Brake, dynamic means a train braking system whereby the kinetic 
energy of a moving train is used to generate electric current at the 
locomotive traction motors, which is then dissipated through resistor 
grids or into the catenary or third rail system.
    Brake, effective means a brake that is capable of producing its 
nominally designed retarding force on the train. A car's air brake is 
not considered effective if it is not capable of producing its nominally 
designed retarding force or if its piston travel exceeds:
    (1) 10\1/2\ inches for cars equipped with nominal 12-inch stroke 
brake cylinders; or
    (2) The piston travel limit indicated on the stencil, sticker, or 
badge plate for that brake cylinder.
    Brake, hand means a brake that can be applied and released by hand 
to prevent or retard the movement of a locomotive.
    Brake indicator means a device which indicates the brake application 
range and indicates whether brakes are applied and released.
    Brake, inoperative means a primary brake that, for any reason, no 
longer applies or releases as intended.
    Brake, inoperative dynamic means a dynamic brake that, for any 
reason, no longer provides its designed retarding force on the train.
    Brake, parking means a brake that can be applied by means other than 
by hand, such as spring, hydraulic, or air pressure when the brake pipe 
air is depleted, or by an electrical motor.
    Brake pipe means the system of piping (including branch pipes, angle 
cocks, cutout cocks, dirt collectors, hoses, and hose couplings) used 
for connecting locomotives and all railroad cars for the passage of 
compressed air.
    Brake, primary means those components of the train brake system 
necessary to stop the train within the signal spacing distance without 
thermal damage to friction braking surfaces.
    Brake, secondary means those components of the train brake system 
which develop supplemental brake retarding force that is not needed to 
stop the train within signal spacing distances or to prevent thermal 
damage to wheels.
    Emergency application means an irretrievable brake application 
resulting in the maximum retarding force available from the train brake 
system.
    End-of-train device, one-way means two pieces of equipment linked by 
radio that meet the requirements of Sec. 232.403.
    End-of-train device, two-way means two pieces of equipment linked by 
radio that meet the requirements of Secs. 232.403 and 232.405.
    Foul means any condition which restricts the intended movement of 
one or more brake system components because the component is snagged, 
entangled, or twisted.
    Freight car means a vehicle designed to carry freight, or railroad 
personnel, by rail and a vehicle designed for use in a work or wreck 
train or other non-passenger train.
    Initial terminal means the location where a train is originally 
assembled.
    Locomotive means a piece of railroad on-track equipment, other than 
hi-rail, specialized maintenance, or other similar equipment, which may 
consist of

[[Page 442]]

one or more units operated from a single control stand--
    (1) With one or more propelling motors designed for moving other 
railroad equipment;
    (2) With one or more propelling motors designed to transport freight 
or passenger traffic or both; or
    (3) Without propelling motors but with one or more control stands.
    Locomotive cab means that portion of the superstructure designed to 
be occupied by the crew operating the locomotive.
    Locomotive, controlling means the locomotive from which the engineer 
exercises control over the train.
    Off air means not connected to a continuous source of compressed air 
of at least 60 pounds per square inch (psi).
    Ordered date or date ordered means the date on which notice to 
proceed is given by a procuring railroad to a contractor or supplier for 
new equipment.
    Piston travel means the amount of linear movement of the air brake 
hollow rod (or equivalent) or piston rod when forced outward by movement 
of the piston in the brake cylinder or actuator and limited by the brake 
shoes being forced against the wheel or disc.
    Pre-revenue service acceptance testing plan means a document, as 
further specified in Sec. 232.505, prepared by a railroad that explains 
in detail how pre-revenue service tests of certain equipment demonstrate 
that the equipment meets Federal safety standards and the railroad's own 
safety design requirements.
    Previously tested equipment means equipment that has received a 
Class I brake test pursuant to Sec. 232.205 and has not been off air for 
more than four hours.
    Primary responsibility means the task that a person performs at 
least 50 percent of the time. The totality of the circumstances will be 
considered on a case-by-case basis in circumstances where an individual 
does not spend 50 percent of the day engaged in any one readily 
identifiable type of activity.
    Qualified mechanical inspector means a qualified person who has 
received, as a part of the training, qualification, and designation 
program required under Sec. 232.203, instruction and training that 
includes ``hands-on'' experience (under appropriate supervision or 
apprenticeship) in one or more of the following functions: 
troubleshooting, inspection, testing, maintenance or repair of the 
specific train brake components and systems for which the person is 
assigned responsibility. This person shall also possess a current 
understanding of what is required to properly repair and maintain the 
safety-critical brake components for which the person is assigned 
responsibility. Further, the qualified mechanical inspector shall be a 
person whose primary responsibility includes work generally consistent 
with the functions listed in this definition.
    Qualified person means a person who has received, as a part of the 
training, qualification, and designation program required under 
Sec. 232.203, instruction and training necessary to perform one or more 
functions required under this part. The railroad is responsible for 
determining that the person has the knowledge and skills necessary to 
perform the required function for which the person is assigned 
responsibility. The railroad determines the qualifications and 
competencies for employees designated to perform various functions in 
the manner set forth in this part. Although the rule uses the term 
``qualified person'' to describe a person responsible for performing 
various functions required under this part, a person may be deemed 
qualified to perform some functions but not qualified to perform other 
functions. For example, although a person may be deemed qualified to 
perform the Class II/intermediate brake test required by this part, that 
same person may or may not be deemed qualified to perform the Class I/
initial Terminal brake test or authorize the movement of defective 
equipment under this part. The railroad will determine the required 
functions for which an individual will be deemed a ``qualified person'' 
based upon the instruction and training the individual has received 
pursuant to Sec. 232.203 concerning a particular function.
    Railroad means any form of non-highway ground transportation that 
runs on rails or electromagnetic guideways, including:

[[Page 443]]

    (1) Commuter or short-haul railroad passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979; and
    (2) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads. The term 
``railroad'' is also intended to mean a person that provides 
transportation by railroad, whether directly or by contracting out 
operation of the railroad to another person. The term does not include 
rapid transit operations in an urban area that are not connected to the 
general railroad system of transportation.
    Rebuilt equipment means equipment that has undergone overhaul 
identified by the railroad as a capital expense under the Surface 
Transportation Board's accounting standards.
    Refresher training means periodic retraining required for employees 
or contractors to remain qualified to perform specific equipment 
troubleshooting, inspection, testing, maintenance, or repair functions.
    Respond as intended means to produce the result that a device or 
system is designed to produce.
    ``Roll-by'' inspection means an inspection performed while equipment 
is moving.
    Service application means a brake application that results from one 
or more service reductions or the equivalent.
    Service reduction means a decrease in brake pipe pressure, usually 
from 5 to 25 psi at a rate sufficiently rapid to move the operating 
valve to service position, but at a rate not rapid enough to move the 
operating valve to emergency position.
    Solid block of cars means two or more freight cars coupled together 
and added to or removed from a train as a single unit.
    State inspector means an inspector of a participating State rail 
safety program under part 212 of this chapter.
    Switching service means the classification of freight cars according 
to commodity or destination; assembling of cars for train movements; 
changing the position of cars for purposes of loading, unloading, or 
weighing; placing of locomotives and cars for repair or storage; or 
moving of rail equipment in connection with work service that does not 
constitute a train movement.
    Tourist, scenic, historic, or excursion operations are railroad 
operations that carry passengers, often using antiquated equipment, with 
the conveyance of the passengers to a particular destination not being 
the principal purpose.
    Train means one or more locomotives coupled with one or more freight 
cars, except during switching service.
    Train line means the brake pipe or any non-pneumatic system used to 
transmit the signal that controls the locomotive and freight car brakes.
    Train, unit or train, cycle means a train that, except for the 
changing of locomotive power and the removal or replacement of defective 
equipment, remains coupled as a consist and continuously operates from 
location A to location B and back to location A.
    Transfer train means a train that travels between a point of origin 
and a point of final destination not exceeding 20 miles. Such trains may 
pick up or deliver freight equipment while en route to destination.
    Yard air means a source of compressed air other than from a 
locomotive.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17580, Apr. 10, 2002]



Sec. 232.7  Waivers.

    (a) Any person subject to a requirement of this part may petition 
the Administrator for a waiver of compliance with such requirement. The 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for waiver must be filed in the manner and contain 
the information required by part 211 of this chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary. If a waiver is granted, the Administrator

[[Page 444]]

publishes a notice in the Federal Register containing the reasons for 
granting the waiver.



Sec. 232.9  Responsibility for compliance.

    (a) A railroad subject to this part shall not use, haul, permit to 
be used or hauled on its line, offer in interchange, or accept in 
interchange any train, railroad car, or locomotive with one or more 
conditions not in compliance with this part; however, a railroad shall 
not be liable for a civil penalty for such action if such action is in 
accordance with Sec. 232.15. For purposes of this part, a train, 
railroad car, or locomotive will be considered in use prior to departure 
but after it has received, or should have received, the inspection 
required for movement and is deemed ready for service.
    (b) Although many of the requirements of this part are stated in 
terms of the duties of a railroad, when any person performs any function 
required by this part, that person (whether or not a railroad) is 
required to perform that function in accordance with this part.
    (c) Any person performing any function or task required by this part 
shall be deemed to have consented to FRA inspection of the person's 
operation to the extent necessary to determine whether the function or 
task is being performed in accordance with the requirements of this 
part.



Sec. 232.11  Penalties.

    (a) Any person (including but not limited to a railroad; any 
manager, supervisor, official, or other employee or agent of a railroad; 
any owner, manufacturer, lessor, or lessee of railroad equipment, track, 
or facilities; any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500, but not more than $11,000 per violation, 
except that: Penalties may be assessed against individuals only for 
willful violations, and, where a grossly negligent violation or a 
pattern of repeated violations has created an imminent hazard of death 
or injury to persons, or has caused death or injury, a penalty not to 
exceed $22,000 per violation may be assessed. Each day a violation 
continues shall constitute a separate offense. Appendix A to this part 
contains a schedule of civil penalty amounts used in connection with 
this rule.
    (b) Any person who knowingly and willfully falsifies a record or 
report required by this part is subject to criminal penalties under 49 
U.S.C. 21311.



Sec. 232.13  Preemptive effect.

    (a) Under 49 U.S.C. 20106, issuance of the regulations in this part 
preempts any State law, rule, regulation, order, or standard covering 
the same subject matter, except for a provision necessary to eliminate 
or reduce a local safety hazard if that provision is not incompatible 
with this part and does not impose an undue burden on interstate 
commerce.
    (b) Preemption should also be considered pursuant to the Locomotive 
Boiler Inspection Act (now codified at 49 U.S.C. 20701-20703), the 
Safety Appliance Acts (now codified at 49 U.S.C. 20301-20304), and the 
Commerce Clause based on the relevant case law pertaining to preemption 
under those provisions.
    (c) FRA does not intend by issuance of the regulations in this part 
to preempt provisions of State criminal law that impose sanctions for 
reckless conduct that leads to actual loss of life, injury, or damage to 
property, whether such provisions apply specifically to railroad 
employees or generally to the public at large.



Sec. 232.15  Movement of defective equipment.

    (a) General provision. Except as provided in paragraph (c) of this 
section, a railroad car or locomotive with one or more conditions not in 
compliance with this part may be used or hauled without civil penalty 
liability under this part only if all of the following conditions are 
met:
    (1) The defective car or locomotive is properly equipped in 
accordance with the applicable provisions of 49 U.S.C. chapter 203 and 
the requirements of this part.
    (2) The car or locomotive becomes defective while it is being used 
by the

[[Page 445]]

railroad on its line or becomes defective on the line of a connecting 
railroad and is properly accepted in interchange for repairs in 
accordance with paragraph (a)(7) of this section.
    (3) The railroad first discovers the defective condition of the car 
or locomotive prior to moving it for repairs.
    (4) The movement of the defective car or locomotive for repairs is 
from the location where the car or locomotive is first discovered 
defective by the railroad.
    (5) The defective car or locomotive cannot be repaired at the 
location where the railroad first discovers it to be defective.
    (6) The movement of the car or locomotive is necessary to make 
repairs to the defective condition.
    (7) The location to which the car or locomotive is being taken for 
repair is the nearest available location where necessary repairs can be 
performed on the line of the railroad where the car or locomotive was 
first found to be defective or is the nearest available location where 
necessary repairs can be performed on the line of a connecting railroad 
if:
    (i) The connecting railroad elects to accept the defective car or 
locomotive for such repair; and
    (ii) The nearest available location where necessary repairs can be 
performed on the line of the connecting railroad is no farther than the 
nearest available location where necessary repairs can be performed on 
the line of the railroad where the car or locomotive was found 
defective.
    (8) The movement of the defective car or locomotive for repairs is 
not by a train required to receive a Class I brake test at that location 
pursuant to Sec. 232.205.
    (9) The movement of the defective car or locomotive for repairs is 
not in a train in which less than 85 percent of the cars have operative 
and effective brakes.
    (10) The defective car or locomotive is tagged, or information is 
recorded, as prescribed in paragraph (b) of this section.
    (11) Except for cars or locomotives with brakes cut out en route, 
the following additional requirements are met:
    (i) A qualified person shall determine--
    (A) That it is safe to move the car or locomotive; and
    (B) The maximum safe speed and other restrictions necessary for 
safely conducting the movement.
    (ii) The person in charge of the train in which the car or 
locomotive is to be moved shall be notified in writing and inform all 
other crew members of the presence of the defective car or locomotive 
and the maximum speed and other restrictions determined under paragraph 
(a)(11)(i)(B) of this section. A copy of the tag or card described in 
paragraph (b) of this section may be used to provide the notification 
required by this paragraph.
    (iii) The defective car or locomotive is moved in compliance with 
the maximum speed and other restrictions determined under paragraph 
(a)(11)(i)(B) of this section.
    (12) The defective car or locomotive is not subject to a Special 
Notice for Repair under part 216 of this chapter, unless the movement of 
the defective car is made in accordance with the restrictions contained 
in the Special Notice.
    (b) Tagging of defective equipment. (1) At the place where the 
railroad first discovers the defect, a tag or card shall be placed on 
both sides of the defective equipment, except that defective locomotives 
may have the tag or card placed in the cab of the locomotive. In lieu of 
a tag or card, an automated tracking system approved for use by FRA 
shall be provided. The tag, card, or automated tracking system shall 
contain the following information about the defective equipment:
    (i) The reporting mark and car or locomotive number;
    (ii) The name of the inspecting railroad;
    (iii) The name and job title of the inspector;
    (iv) The inspection location and date;
    (v) The nature of each defect;
    (vi) A description of any movement restrictions;
    (vii) The destination where the equipment will be repaired; and
    (viii) The signature, or electronic identification, of the person 
reporting the defective condition.

[[Page 446]]

    (2) The tag or card required by paragraph (b)(1) of this section 
shall remain affixed to the defective equipment until the necessary 
repairs have been performed.
    (3) An electronic or written record or a copy of each tag or card 
attached to or removed from a car or locomotive shall be retained for 90 
days and, upon request, shall be made available within 15 calendar days 
for inspection by FRA or State inspectors.
    (4) Each tag or card removed from a car or locomotive shall contain 
the date, location, reason for its removal, and the signature of the 
person who removed it from the piece of equipment.
    (5) Any automated tracking system approved by FRA to meet the 
tagging requirements contained in paragraph (b)(1) of this section shall 
be capable of being reviewed and monitored by FRA at any time to ensure 
the integrity of the system. FRA's Associate Administrator for Safety 
may prohibit or revoke a railroad's authority to utilize an approved 
automated tracking system in lieu of tagging if FRA finds that the 
automated tracking system is not properly secure, is inaccessible to FRA 
or a railroad's employees, or fails to adequately track and monitor the 
movement of defective equipment. FRA will record such a determination in 
writing, include a statement of the basis for such action, and provide a 
copy of the document to the railroad.
    (c) Movement for unloading or purging of defective cars. If a 
defective car is loaded with a hazardous material or contains residue of 
a hazardous material, the car may not be placed for unloading or purging 
unless unloading or purging is consistent with determinations made and 
restrictions imposed under paragraph (a)(11)(i) of this section and the 
unloading or purging is necessary for the safe repair of the car.
    (d) Computation of percent operative power brakes. (1) The 
percentage of operative power brakes in a train shall be based on the 
number of control valves in the train. The percentage shall be 
determined by dividing the number of control valves that are cut-in by 
the total number of control valves in the train. A control valve shall 
not be considered cut-in if the brakes controlled by that valve are 
inoperative. Both cars and locomotives shall be considered when making 
this calculation.
    (2) The following brake conditions not in compliance with this part 
are not considered inoperative power brakes for purposes of this 
section:
    (i) Failure or cutting out of secondary brake systems;
    (ii) Inoperative or otherwise defective handbrakes or parking 
brakes;
    (iii) Piston travel that is in excess of the Class I brake test 
limits required in Sec. 232.205 but that does not exceed the outside 
limits contained on the stencil, sticker, or badge plate required by 
Sec. 232.103(g) for considering the power brakes to be effective; and
    (iv) Power brakes overdue for inspection, testing, maintenance, or 
stenciling under this part.
    (e) Placement of equipment with inoperative brakes. (1) A freight 
car or locomotive with inoperative brakes shall not be placed as the 
rear car of the train.
    (2) No more than two freight cars with either inoperative brakes or 
not equipped with power brakes shall be consecutively placed in the same 
train.
    (3) Multi-unit articulated equipment shall not be placed in a train 
if the equipment has more than two consecutive individual control valves 
cut-out or if the brakes controlled by the valves are inoperative.
    (f) Guidelines for determining locations where necessary repairs can 
be performed. The following guidelines will be considered by FRA when 
determining whether a location is a location where repairs to a car's 
brake system or components can be performed and whether a location is 
the nearest location where the needed repairs can be effectuated.
    (1) The following general factors and guidelines will be considered 
when making determinations as to whether a location is a location where 
brake repairs can be performed:
    (i) The accessibility of the location to persons responsible for 
making repairs;
    (ii) The presence of hazardous conditions that affect the ability to 
safely make repairs of the type needed at the location;
    (iii) The nature of the repair necessary to bring the car into 
compliance;

[[Page 447]]

    (iv) The need for railroads to have in place an effective means to 
ensure the safe and timely repair of equipment;
    (v) The relevant weather conditions at the location that affect 
accessibility or create hazardous conditions;
    (vi) A location need not have the ability to effectuate every type 
of brake system repair in order to be considered a location where some 
brake repairs can be performed;
    (vii) A location need not be staffed continuously in order to be 
considered a location where brake repairs can be performed;
    (viii) The ability of a railroad to perform repair track brake tests 
or single car tests at a location shall not be considered; and
    (ix) The congestion of work at a location shall not be considered
    (2) The general factors and guidelines outlined in paragraph (f)(1) 
of this section should be applied to the following locations:
    (i) A location where a mobile repair truck is used on a regular 
basis;
    (ii) A location where a mobile repair truck originates or is 
permanently stationed;
    (iii) A location at which a railroad performs mechanical repairs 
other than brake system repairs; and
    (iv) A location that has an operative repair track or repair shop;
    (3) In determining whether a location is the nearest location where 
the necessary brake repairs can be made, the distance to the location is 
a key factor but should not be considered the determining factor. The 
distance to a location must be considered in conjunction with the 
factors and guidance outlined in paragraphs (f)(1) and (f)(2) of this 
section. In addition, the following safety factors must be considered in 
order to optimize safety:
    (i) The safety of the employees responsible for getting the 
equipment to or from a particular location; and
    (ii) The potential safety hazards involved with moving the equipment 
in the direction of travel necessary to get the equipment to a 
particular location.
    (g) Designation of repair locations. Based on the guidance detailed 
in paragraph (f) of this section and consistent with other requirements 
contained in this part, a railroad may submit a detailed petition, 
pursuant to the special approval procedures contained in Sec. 232.17, 
containing a plan designating locations where brake system repairs will 
be performed. Approval of such plans shall be made accordance with the 
procedures contained in Sec. 232.17, and shall be subject to any 
modifications determined by FRA to be necessary to ensure consistency 
with the requirements and guidance contained in this part.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17580, Apr. 10, 2002]



Sec. 232.17  Special approval procedure.

    (a) General. The following procedures govern consideration and 
action upon requests for special approval of a plan under 
Sec. 232.15(g), an alternative standard under Sec. 232.305, and for 
special approval of pre-revenue service acceptance testing plans under 
subpart F of this part.
    (b) Petitions for special approval of a plan or an alternative 
standard. Each petition for special approval of a plan under 
Sec. 232.15(g) or an alternative standard shall contain:
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the petition;
    (2) The proposed plan pursuant to Sec. 232.15(g) or the proposed 
alternative standard, in detail, to be substituted for the particular 
requirement of this part;
    (3) Appropriate data or analysis, or both, for FRA to consider in 
determining whether the plan is consistent with the guidance contained 
in Sec. 232.15(f) and the requirements of this part or whether the 
alternative standard will provide at least an equivalent level of 
safety; and
    (4) A statement affirming that the railroad has served a copy of the 
petition on designated representatives of its employees, together with a 
list of the names and addresses of the persons served.
    (c) Petitions for special approval of pre-revenue service acceptance 
testing plan. Each petition for special approval of a pre-revenue 
service acceptance testing plan shall contain:
    (1) The name, title, address, and telephone number of the primary 
person to

[[Page 448]]

be contacted with regard to review of the petition; and
    (2) The elements prescribed in Sec. 232.505.
    (d) Service. (1) Each petition for special approval under paragraph 
(b) or (c) of this section shall be submitted in triplicate to the 
Associate Administrator for Safety, Federal Railroad Administration, 400 
7th Street, SW., Washington, DC 20590.
    (2) Service of each petition for special approval of a plan or an 
alternative standard submitted under paragraph (b) of this section shall 
be made on the following:
    (i) Designated representatives of the employees of the railroad 
submitting a plan pursuant to Sec. 232.15(g) or designated 
representatives of the employees responsible for the equipment's 
operation, inspection, testing, and maintenance under this part;
    (ii) Any organizations or bodies that either issued the standard 
incorporated in the section(s) of the rule to which the special approval 
pertains or issued the alternative standard that is proposed in the 
petition; and
    (iii) Any other person who has filed with FRA a current statement of 
interest in reviewing special approvals under the particular requirement 
of this part at least 30 days but not more than 5 years prior to the 
filing of the petition. If filed, a statement of interest shall be filed 
with FRA's Associate Administrator for Safety and shall reference the 
specific section(s) of this part in which the person has an interest.
    (e) Federal Register notice. FRA will publish a notice in the 
Federal Register concerning each petition under paragraph (b) of this 
section.
    (f) Comment. Not later than 30 days from the date of publication of 
the notice in the Federal Register concerning a petition under paragraph 
(b) of this section, any person may comment on the petition.
    (1) A comment shall set forth specifically the basis upon which it 
is made, and contain a concise statement of the interest of the 
commenter in the proceeding.
    (2) The comment shall be submitted in triplicate to the Associate 
Administrator for Safety, Federal Railroad Administration, 400 7th 
Street, SW., Washington, DC 20590.
    (3) The commenter shall certify that a copy of the comment was 
served on each petitioner.
    (g) Disposition of petitions. (1) If FRA finds that the petition 
complies with the requirements of this section and that the proposed 
plan under Sec. 232.15(g), the alternative standard, or the pre-revenue 
service plan is acceptable and justified, the petition will be granted, 
normally within 90 days of its receipt. If the petition is neither 
granted nor denied within 90 days, the petition remains pending for 
decision. FRA may attach special conditions to the approval of any 
petition. Following the approval of a petition, FRA may reopen 
consideration of the petition for cause.
    (2) If FRA finds that the petition does not comply with the 
requirements of this section and that the proposed plan under 
Sec. 232.15(g), the alternative standard, or the pre-revenue service 
plan is not acceptable or justified, the petition will be denied, 
normally within 90 days of its receipt.
    (3) When FRA grants or denies a petition, or reopens consideration 
of the petition, written notice is sent to the petitioner and other 
interested parties.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17580, Apr. 10, 2002]



Sec. 232.19  Availability of records.

    Except as otherwise provided, the records and plans required by this 
part shall be made available to representatives of FRA and States 
participating under part 212 of this chapter for inspection and copying 
upon request.



Sec. 232.21  Information Collection.

    (a) The information collection requirements of this part were 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) and are 
assigned OMB control number 2130-0008.
    (b) The information collection requirements are found in the 
following sections: Secs. 229.27, 231.31, 232.1, 232.3, 232.7, 232.11, 
232.15, 232.17, 232.103, 232.105, 232.107, 232.109, 232.111, 232.203, 
232.205, 232.207, 232.209, 232.211, 232.213,

[[Page 449]]

232.303, 232.307, 232.309, 232.403, 232.405, 232.407, 232.409, 232.503, 
232.505.



                     Subpart B--General Requirements



Sec. 232.101  Scope.

    This subpart contains general operating, performance, and design 
requirements for each railroad that operates freight or other non-
passenger trains and for specific equipment used in those operations.



Sec. 232.103  General requirements for all train brake systems.

    (a) The primary brake system of a train shall be capable of stopping 
the train with a service application from its maximum operating speed 
within the signal spacing existing on the track over which the train is 
operating.
    (b) If the integrity of the train line of a train brake system is 
broken, the train shall be stopped. If a train line uses other than 
solely pneumatic technology, the integrity of the train line shall be 
monitored by the brake control system.
    (c) A train brake system shall respond as intended to signals from 
the train line.
    (d) One hundred percent of the brakes on a train shall be effective 
and operative brakes prior to use or departure from any location where a 
Class I brake test is required to be performed on the train pursuant to 
Sec. 232.205.
    (e) A train shall not move if less than 85 percent of the cars in 
that train have operative and effective brakes.
    (f) Each car in a train shall have its air brakes in effective 
operating condition unless the car is being moved for repairs in 
accordance with Sec. 232.15. The air brakes on a car are not in 
effective operating condition if its brakes are cut-out or otherwise 
inoperative or if the piston travel exceeds:
    (1) 10\1/2\ inches for cars equipped with nominal 12-inch stroke 
brake cylinders; or
    (2) The piston travel limits indicated on the stencil, sticker, or 
badge plate for the brake cylinder with which the car is equipped.
    (g) Except for cars equipped with nominal 12-inch stroke (8\1/2\ and 
10-inch diameters) brake cylinders, all cars shall have a legible decal, 
stencil, or sticker affixed to the car or shall be equipped with a badge 
plate displaying the permissible brake cylinder piston travel range for 
the car at Class I brake tests and the length at which the piston travel 
renders the brake ineffective, if different from Class I brake test 
limits. The decal, stencil, sticker, or badge plate shall be located so 
that it may be easily read and understood by a person positioned safely 
beside the car.
    (h) All equipment ordered on or after August 1, 2002, or placed in 
service for the first time on or after April 1, 2004, shall have train 
brake systems designed so that an inspector can observe from a safe 
position either the piston travel, an accurate indicator which shows 
piston travel, or any other means by which the brake system is actuated. 
The design shall not require the inspector to place himself or herself 
on, under, or between components of the equipment to observe brake 
actuation or release.
    (i) All trains shall be equipped with an emergency application 
feature that produces an irretrievable stop, using a brake rate 
consistent with prevailing adhesion, train safety, and brake system 
thermal capacity. An emergency application shall be available at all 
times, and shall be initiated by an unintentional parting of the train 
line or loss of train brake communication.
    (j) A railroad shall set the maximum main reservoir working 
pressure.
    (k) The maximum brake pipe pressure shall not be greater than 15 psi 
less than the air compressor governor starting or loading pressure.
    (l) Except as otherwise provided in this part, all equipment used in 
freight or other non-passenger trains shall, at a minimum, meet the 
Association of American Railroads (AAR) Standard S-469-47, ``Performance 
Specification for Freight Brakes,'' contained in the AAR Manual of 
Standards and Recommended Practices, Section E (April 1, 1999). The 
incorporation by reference of this AAR standard was approved by the 
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. You may obtain a copy of the incorporated document from 
the Association of American Railroads, 50 F Street, NW, Washington, DC. 
20001. You may

[[Page 450]]

inspect a copy of the document at the Federal Railroad Administration, 
Docket Clerk, 1120 Vermont Avenue, NW, Suite 7000, Washington, DC or at 
the Office of the Federal Register, 800 North Capitol Street, NW, Suite 
700, Washington, DC 20408.
    (m) If a train qualified by the Air Flow Method as provided for in 
subpart C of this part experiences a brake pipe air flow of greater than 
60 CFM or brake pipe gradient of greater than 15 psi while en route and 
the movable pointer does not return to those limits within a reasonable 
time, the train shall be stopped at the next available location and be 
inspected for leaks in the brake system.
    (n) Securement of unattended equipment. A train's air brake shall 
not be depended upon to hold equipment standing unattended on a grade 
(including a locomotive, a car, or a train whether or not locomotive is 
attached). For purposes of this section, ``unattended equipment'' means 
equipment left standing and unmanned in such a manner that the brake 
system of the equipment cannot be readily controlled by a qualified 
person. Unattended equipment shall be secured in accordance with the 
following requirements:
    (1) A sufficient number of hand brakes shall be applied to hold the 
equipment. Railroads shall develop and implement a process or procedure 
to verify that the applied hand brakes will sufficiently hold the 
equipment with the air brakes released.
    (2) Except for equipment connected to a source of compressed air 
(e.g., locomotive or ground air source), prior to leaving equipment 
unattended, the brake pipe shall be reduced to zero at a rate that is no 
less than a service rate reduction, and the brake pipe vented to 
atmosphere by leaving the angle cock in the open position on the first 
unit of the equipment left unattended.
    (3) Except for distributed power units, the following requirements 
apply to unattended locomotives:
    (i) All hand brakes shall be fully applied on all locomotives in the 
lead consist of an unattended train.
    (ii) All hand brakes shall be fully applied on all locomotives in an 
unattended locomotive consist outside of yard limits.
    (iii) At a minimum, the hand brake shall be fully applied on the 
lead locomotive in an unattended locomotive consist within yard limits.
    (iv) A railroad shall develop, adopt, and comply with procedures for 
securing any unattended locomotive required to have a hand brake applied 
pursuant to paragraph (n)(3)(i) through (n)(3)(iii) when the locomotive 
is not equipped with an operative hand brake.
    (4) A railroad shall adopt and comply with a process or procedures 
to verify that the applied hand brakes will sufficiently hold an 
unattended locomotive consist. A railroad shall also adopt and comply 
with instructions to address throttle position, status of the reverse 
lever, position of the generator field switch, status of the independent 
brakes, position of the isolation switch, and position of the automatic 
brake valve on all unattended locomotives. The procedures and 
instruction required in this paragraph shall take into account winter 
weather conditions as they relate to throttle position and reverser 
handle.
    (5) Any hand brakes applied to hold unattended equipment shall not 
be released until it is known that the air brake system is properly 
charged.
    (o) Air pressure regulating devices shall be adjusted for the 
following pressures:

------------------------------------------------------------------------
                       Locomotives                              PSI
------------------------------------------------------------------------
(1) Minimum brake pipe air pressure:
    Road Service........................................              90
    Switch Service......................................              60
(2) Minimum differential between brake pipe and main                  15
 reservoir air pressures, with brake valve in running
 position...............................................
(3) Safety valve for straight air brake.................           30-55
(4) Safety valve for LT, ET, No. 8-EL, No. 14 EI, No. 6-           30-68
 DS, No. 6-BL and No. 6-SL equipment....................
(5) Safety valve for HSC and No. 24-RL equipment........           30-75
(6) Reducing valve for independent or straight air brake           30-50
(7) Self-lapping portion for electro-pneumatic brake                  50
 (minimum full application pressure)....................
(8) Self-lapping portion for independent air brake (full           30-50
 application pressure)..................................
(9) Reducing valve for high-speed brake (minimum).......              50
------------------------------------------------------------------------


[[Page 451]]


[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17581, Apr. 10, 2002]



Sec. 232.105  General requirements for locomotives.

    (a) The air brake equipment on a locomotive shall be in safe and 
suitable condition for service.
    (b) All locomotives ordered on or after August 1, 2002, or placed in 
service for the first time on or after April 1, 2004, shall be equipped 
with a hand or parking brake that is:
    (1) Capable of application or activation by hand;
    (2) Capable of release by hand; and
    (3) Capable of holding the unit on a three (3) percent grade.
    (c) On locomotives so equipped, the hand or parking brake as well as 
its parts and connections shall be inspected, and necessary repairs 
made, as often as service requires but no less frequently than every 368 
days. The date of the last inspection shall be either entered on Form 
FRA F 6180-49A or suitably stenciled or tagged on the locomotive.
    (d) The amount of leakage from the equalizing reservoir on 
locomotives and related piping shall be zero, unless the system is 
capable of maintaining the set pressure at any service application with 
the brakes control valve in the freight position. If such leakage is 
detected en route, the train may be moved only to the nearest forward 
location where the equalizing-reservoir leakage can be corrected. On 
locomotives equipped with electronic brakes, if the system logs or 
displays a fault related to equalizing reservoir leakage, the train may 
be moved only to the nearest forward location where the necessary 
repairs can be made.
    (e) Use of the feed or regulating valve to control braking is 
prohibited.
    (f) The passenger position on the locomotive brake control stand 
shall be used only if the trailing equipment is designed for graduated 
brake release or if equalizing reservoir leakage occurs en route and its 
use is necessary to safely control the movement of the train until it 
reaches the next forward location where the reservoir leakage can be 
corrected.
    (g) When taking charge of a locomotive or locomotive consist, an 
engineer must know that the brakes are in operative condition.



Sec. 232.107  Air source requirements and cold weather operations.

    (a) Monitoring plans for yard air sources. (1)A railroad shall adopt 
and comply with a written plan to monitor all yard air sources, other 
than locomotives, to determine that they operate as intended and do not 
introduce contaminants into the brake system of freight equipment.
    (2) This plan shall require the railroad to:
    (i) Inspect each yard air source at least two times per calendar 
year, no less than five months apart, to determine it operates as 
intended and does not introduce contaminants into the brake system of 
the equipment it services.
    (ii) Identify yard air sources found not to be operating as intended 
or found introducing contaminants into the brake system of the equipment 
it services.
    (iii) Repair or take other remedial action regarding any yard air 
source identified under paragraph (a)(2)(ii) of this section.
    (3) A railroad shall maintain records of the information and actions 
required by paragraph (a)(2). These records shall be maintained for a 
period of at least one year from the date of creation and may be 
maintained either electronically or in writing.
    (b) Condensation and other contaminants shall be blown from the pipe 
or hose from which compressed air is taken prior to connecting the yard 
air line or motive power to the train.
    (c) No chemicals which are known to degrade or harm brake system 
components shall be placed in the train air brake system.
    (d) Yard air reservoirs shall either be equipped with an operable 
automatic drain system or be manually drained at least once each day 
that the devices are used or more often if moisture is detected in the 
system.
    (e) A railroad shall adopt and comply with detailed written 
operating procedures tailored to the equipment and territory of that 
railroad to cover safe train operations during cold weather. For 
purposes of this provision, ``cold

[[Page 452]]

weather'' means when the ambient temperature drops below 10 degrees 
Fahrenheit (F) (minus 12.2 degrees Celsius).



Sec. 232.109  Dynamic brake requirements.

    (a) Except as provided in paragraph (i) of this section, a 
locomotive engineer shall be informed of the operational status of the 
dynamic brakes on all locomotive units in the consist at the initial 
terminal for a train and at other locations where a locomotive engineer 
first begins operation of a train. The information required by this 
paragraph may be provided to the locomotive engineer by any means 
determined to be appropriate by the railroad; however, a written or 
electronic record of the information shall be maintained in the cab of 
the controlling locomotive.
    (b) Except as provided in paragraph (e) of this section, all 
inoperative dynamic brakes shall be repaired within 30 calendar days of 
becoming inoperative or at the locomotive's next periodic inspection 
pursuant to Sec. 229.23 of this chapter, whichever occurs first.
    (c) Except as provided in paragraph (e) of this section, a 
locomotive discovered with inoperative dynamic brakes shall have a tag 
bearing the words ``inoperative dynamic brake'' securely attached and 
displayed in a conspicuous location in the cab of the locomotive. This 
tag shall contain the following information:
    (1) The locomotive number;
    (2) The name of the discovering carrier;
    (3) The location and date where condition was discovered; and
    (4) The signature of the person discovering the condition.
    (d) An electronic or written record of repairs made to a 
locomotive's dynamic brakes shall be retained for 92 days.
    (e) A railroad may elect to declare the dynamic brakes on a 
locomotive deactivated without removing the dynamic brake components 
from the locomotive, only if all of the following conditions are met:
    (1) The locomotive is clearly marked with the words ``dynamic brake 
deactivated'' in a conspicuous location in the cab of the locomotive; 
and
    (2) The railroad has taken appropriate action to ensure that the 
deactivated locomotive is incapable of utilizing dynamic brake effort to 
retard or control train speed.
    (f) If a locomotive consist is intended to have its dynamic brakes 
used while in transit, a locomotive with inoperative or deactivated 
dynamic brakes or a locomotive not equipped with dynamic brakes shall 
not be placed in the controlling (lead) position of a consist unless the 
locomotive has the capability of:
    (1) Controlling the dynamic braking effort in trailing locomotives 
in the consist that are so equipped; and
    (2) Displaying to the locomotive engineer the deceleration rate of 
the train or the total train dynamic brake retarding force.
    (g) All locomotives equipped with dynamic brakes and ordered on or 
after April 1, 2006, or placed in service for the first time on or after 
October 1, 2007, shall be designed to:
    (1) Conduct an electrical integrity test of the dynamic brake to 
determine if electrical current is being received at the grids on the 
system; and
    (2) Display in real-time in the cab of the controlling (lead) 
locomotive the total train dynamic brake retarding force available in 
the train.
    (h) All rebuilt locomotives equipped with dynamic brakes and placed 
in service on or after April 1, 2004, shall be designed to:
    (1) Conduct an electrical integrity test of the dynamic brake to 
determine if electrical current is being received at the grids on the 
system; and
    (2) Display either the train deceleration rate or in real-time in 
the cab of the controlling (lead) locomotive the total train dynamic 
brake retarding force available in the train.
    (i) The information required by paragraph (a) of this section is not 
required to be provided to the locomotive engineer if all of the 
locomotives in the lead consist of a train are equipped in accordance 
with paragraph (g) of this section.
    (j) A railroad operating a train with a brake system that includes 
dynamic brakes shall adopt and comply with

[[Page 453]]

written operating rules governing safe train handling procedures using 
these dynamic brakes under all operating conditions, which shall be 
tailored to the specific equipment and territory of the railroad. The 
railroad's operating rules shall:
    (1) Ensure that the friction brakes are sufficient by themselves, 
without the aid of dynamic brakes, to stop the train safely under all 
operating conditions.
    (2) Include a ``miles-per-hour-overspeed-stop'' rule. At a minimum, 
this rule shall require that any train when descending a section of 
track with an average grade of one percent or greater over a distance of 
three continuous miles shall be immediately brought to a stop, by an 
emergency brake application if necessary, when the train's speed exceeds 
the maximum authorized speed for that train by more than 5 miles per 
hour. A railroad shall reduce the 5-miles-per-hour-overspeed-stop 
restriction if validated research indicates the need for such a 
reduction. A railroad may increase the 5-miles-per-hour-overspeed 
restriction only with approval of FRA and based upon verifiable data and 
research.
    (k) A railroad operating a train with a brake system that includes 
dynamic brakes shall adopt and comply with specific knowledge, skill, 
and ability criteria to ensure that its locomotive engineers are fully 
trained in the operating rules prescribed by paragraph (j) of this 
section. The railroad shall incorporate such criteria into its 
locomotive engineer certification program pursuant to Part 240 of this 
chapter.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17581, Apr. 10, 2002]



Sec. 232.111  Train handling information.

    (a) A railroad shall adopt and comply with written procedures to 
ensure that a train crew employed by the railroad is given accurate 
information on the condition of the train brake system and train factors 
affecting brake system performance and testing when the crew takes over 
responsibility for the train. The information required by this paragraph 
may be provided to the locomotive engineer by any means determined 
appropriate by the railroad; however, a written or electronic record of 
the information shall be maintained in the cab of the controlling 
locomotive.
    (b) The procedures shall require that each train crew taking charge 
of a train be informed of:
    (1) The total weight and length of the train, based on the best 
information available to the railroad;
    (2) Any special weight distribution that would require special train 
handling procedures;
    (3) The number and location of cars with cut-out or otherwise 
inoperative brakes and the location where they will be repaired;
    (4) If a Class I or Class IA brake test is required prior to the 
next crew change point, the location at which that test shall be 
performed; and
    (5) Any train brake system problems encountered by the previous crew 
of the train.



             Subpart C--Inspection and Testing Requirements



Sec. 232.201  Scope.

    This subpart contains the inspection and testing requirements for 
brake systems used in freight and other non-passenger trains. This 
subpart also contains general training requirements for railroad and 
contract personnel used to perform the required inspections and tests.



Sec. 232.203  Training requirements.

    (a) Each railroad and each contractor shall adopt and comply with a 
training, qualification, and designation program for its employees that 
perform brake system inspections, tests, or maintenance. For purposes of 
this section, a ``contractor'' is defined as a person under contract 
with the railroad or car owner. The records required by this section may 
be maintained either electronically or in writing.
    (b) As part of this program, the railroad or contractor shall:
    (1) Identify the tasks related to the inspection, testing, and 
maintenance of the brake system required by this part that must be 
performed by the railroad or contractor and identify the skills and 
knowledge necessary to perform each task.

[[Page 454]]

    (2) Develop or incorporate a training curriculum that includes both 
classroom and ``hands-on'' lessons designed to impart the skills and 
knowledge identified as necessary to perform each task. The developed or 
incorporated training curriculum shall specifically address the Federal 
regulatory requirements contained in this part that are related to the 
performance of the tasks identified.
    (3) Require all employees to successfully complete a training 
curriculum that covers the skills and knowledge the employee will need 
to possess in order to perform the tasks required by this part that the 
employee will be responsible for performing, including the specific 
Federal regulatory requirements contained in this part related to the 
performance of a task for which the employee will be responsible;
    (4) Require all employees to pass a written or oral examination 
covering the skills and knowledge the employee will need to possess in 
order to perform the tasks required by this part that the employee will 
be responsible for performing, including the specific Federal regulatory 
requirements contained in this part related to the performance of a task 
for which the employee will be responsible for performing;
    (5) Require all employees to individually demonstrate ``hands-on'' 
capability by successfully applying the skills and knowledge the 
employee will need to possess in order to perform the tasks required by 
this part that the employee will be responsible for performing to the 
satisfaction of the employee's supervisor or designated instructor;
    (6) An employee hired or working prior to June 1, 2001, for a 
railroad or contractor covered by this part will be considered to have 
met the requirements, or a portion of the requirements, contained in 
paragraphs (b)(3) through (b)(5) of this section if the employee 
receives training and testing on the specific Federal regulatory 
requirements contained in this part related to the performance of the 
tasks which the employee will be responsible for performing; and if:
    (i) The training or testing, including efficiency testing, 
previously received by the employee is determined by the railroad or 
contractor to meet the requirements, or a portion of the requirements, 
contained in paragraphs (b)(3) through (b)(5) of this section and such 
training or testing can be documented as required in paragraphs (e)(1) 
through (e)(4) of this section;
    (ii) The employee passes an oral, written, or practical, ``hands-
on'' test developed or adopted by the railroad or contractor which is 
determined by the railroad or contractor to ensure that the employee 
possesses the skills and knowledge, or a portion of the skills or 
knowledge, required in paragraphs (b)(3) through (b)(5) of this section 
and the test is documented as required in paragraph (e) of this section; 
or
    (iii) The railroad or contractor certifies that a group or segment 
of its employees has previously received training or testing determined 
by the railroad or contractor to meet the requirements, or a portion of 
the requirements, contained in paragraphs (b)(3) through (b)(5) of this 
section and complete records of such training are not available, 
provided the following conditions are satisfied:
    (A) The certification is placed in the employee's training records 
required in paragraph (e) of this section;
    (B) The certification contains a brief description of the training 
provided and the approximate date(s) on which the training was provided; 
and
    (C) Any employee determined to be trained pursuant to this paragraph 
is given a diagnostic oral, written, or ``hands-on'' test covering that 
training for which this paragraph is relied upon at the time the 
employee receives his or her first periodic refresher training under 
paragraph (b)(8) of this section.
    (iv) Any combination of the training or testing contained in 
paragraphs (b)(6)(i) through (b)(6)(iii) of this section and paragraphs 
(b)(3) through (b)(5) of this section.
    (7) Require supervisors to exercise oversight to ensure that all the 
identified tasks are performed in accordance with the railroad's written 
procedures and the specific Federal regulatory requirements contained in 
this part;
    (8) Require periodic refresher training, at an interval not to 
exceed three years, that includes classroom and ``hands-on'' training, 
as well as testing;

[[Page 455]]

except that employees that have completed their initial training under 
paragraphs (b)(3) through (b)(6) of this part prior to April 1, 2004, 
shall not be required to complete their first periodic refresher 
training until four years after the completion of their initial 
training, and every three years thereafter. Observation and evaluation 
of actual performance of duties may be used to meet the ``hands-on'' 
portion of this requirement, provided that such testing is documented as 
required in paragraph (e) of this section; and
    (9) Add new brake systems to the training, qualification and 
designation program prior to its introduction to revenue service.
    (c) A railroad that operates trains required to be equipped with a 
two-way end-of-train telemetry device pursuant to Subpart E of this 
part, and each contractor that maintains such devices shall adopt and 
comply with a training program which specifically addresses the testing, 
operation, and maintenance of two-way end-of-train devices for employees 
who are responsible for the testing, operation, and maintenance of the 
devices.
    (d) A railroad that operates trains under conditions that require 
the setting of air brake pressure retaining valves shall adopt and 
comply with a training program which specifically addresses the proper 
use of retainers for employees who are responsible for using or setting 
retainers.
    (e) A railroad or contractor shall maintain adequate records to 
demonstrate the current qualification status of all of its personnel 
assigned to inspect, test, or maintain a train brake system. The records 
required by this paragraph may be maintained either electronically or in 
writing and shall be provided to FRA upon request. These records shall 
include the following information concerning each such employee:
    (1) The name of the employee;
    (2) The dates that each training course was completed;
    (3) The content of each training course successfully completed;
    (4) The employee's scores on each test taken to demonstrate 
proficiency;
    (5) A description of the employee's ``hands-on'' performance 
applying the skills and knowledge the employee needs to possess in order 
to perform the tasks required by this part that the employee will be 
responsible for performing and the basis for finding that the skills and 
knowledge were successfully demonstrated;
    (6) The tasks required to be performed under this part which the 
employee is deemed qualified to perform; and
    (7) Identification of the person(s) determining that the employee 
has successfully completed the training necessary to be considered 
qualified to perform the tasks identified in paragraph (e)(7) of this 
section.
    (8) The date that the employee's status as qualified to perform the 
tasks identified in paragraph (e)(7) of this section expires due to the 
need for refresher training.
    (f) A railroad or contractor shall adopt and comply with a plan to 
periodically assess the effectiveness of its training program. One 
method of validation and assessment could be through the use of 
efficiency tests or periodic review of employee performance.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17581, Apr. 10, 2002]



Sec. 232.205  Class I brake test-initial terminal inspection.

    (a) Each train and each car in the train shall receive a Class I 
brake test as described in paragraph (c) of this section by a qualified 
person, as defined in Sec. 232.5, at the following points:
    (1) The location where the train is originally assembled (``initial 
terminal'');
    (2) A location where the train consist is changed other than by:
    (i) Adding a single car or a solid block of cars, except as provided 
in paragraph (b)(2) of this section;
    (ii) Removing a single car or a solid block of cars;
    (iii) Removing cars determined to be defective under this chapter; 
or
    (iv) A combination of the changes listed in paragraphs (a)(2)(i) 
through (a)(2)(iii) of this section (See Secs. 232.209 and 232.211 for 
requirements related to the pick-up of cars and solid blocks of cars en 
route.);

[[Page 456]]

    (3) A location where the train is off air for a period of more than 
four hours;
    (4) A location where a unit or cycle train has traveled 3,000 miles 
since its last Class I brake test; and
    (5) A location where the train is received in interchange if the 
train consist is changed other than by:
    (i) Removing a car or a solid block of cars from the train;
    (ii) Adding a previously tested car or a previously tested solid 
block of cars to the train;
    (iii) Changing motive power;
    (iv) Removing or changing the caboose; or
    (v) Any combination of the changes listed in paragraphs (a)(5) of 
this section.
    (A) If changes other than those contained in paragraph (a)(5)(i)-
(a)(5)(v) of this section are made to the train consist when it is 
received in interchange and the train will move 20 miles or less, then 
the railroad may conduct a brake test pursuant to Sec. 232.209 on those 
cars added to the train.
    (B) [Reserved]
    (b) Except as provided in Sec. 232.209, each car and each solid 
block of cars added to a train shall receive a Class I brake test as 
described in paragraph (c) of this section at the location where it is 
added to a train unless:
    (1) The solid block of cars is comprised of cars from a single 
previous train, the cars of which have previously received a Class I 
brake test and have remained continuously and consecutively coupled 
together with the train line remaining connected, other than for 
removing defective equipment, since being removed from its previous 
train and have not been off air for more than four hours; or
    (2) The solid block of cars is comprised of cars from a single 
previous train, the cars of which were required to be separated into 
multiple solid blocks of cars due to space or trackage constraints at a 
particular location when removed from the previous train, provided the 
cars have previously received a Class I brake test, have not been off 
air more than four hours, and the cars in each of the multiple blocks of 
cars have remained continuously and consecutively coupled together with 
the train line remaining connected, except for the removal of defective 
equipment. Furthermore, these multiple solid blocks of cars shall be 
added to a train in the same relative order (no reclassification) as 
when removed from the previous train, except for the removal of 
defective equipment.
    (c) A Class I brake test of a train shall consist of the following 
tasks and requirements:
    (1) Brake pipe leakage shall not exceed 5 psi per minute or air flow 
shall not exceed 60 cubic feet per minute (CFM).
    (i) Leakage Test. The brake pipe leakage test shall be conducted as 
follows:
    (A) Charge the air brake system to the pressure at which the train 
will be operated, and the pressure at the rear of the train shall be 
within 15 psi of the pressure at which the train will be operated, but 
not less than 75 psi, as indicated by an accurate gauge or end-of-train 
device at the rear end of train;
    (B) Upon receiving the signal to apply brakes for test, make a 20-
psi brake pipe service reduction;
    (C) If the locomotive used to perform the leakage test is equipped 
with a means for maintaining brake pipe pressure at a constant level 
during a 20-psi brake pipe service reduction, this feature shall be cut 
out during the leakage test; and
    (D) With the brake valve lapped and the pressure maintaining feature 
cut out (if so equipped) and after waiting 45-60 seconds, note the brake 
pipe leakage as indicated by the brake-pipe gauge in the locomotive, 
which shall not exceed 5 psi per minute.
    (ii) Air Flow Method Test. When a locomotive is equipped with a 26-L 
brake valve or equivalent pressure maintaining locomotive brake valve, a 
railroad may use the Air Flow Method Test as an alternate to the brake 
pipe leakage test. The Air Flow Method (AFM) Test shall be performed as 
follows:
    (A) Charge the air brake system to the pressure at which the train 
will be operated, and the pressure at the rear of the train shall be 
within 15 psi of the pressure at which the train will be operated, but 
not less than 75 psi, as indicated by an accurate gauge or end-of-train 
device at the rear end of train; and

[[Page 457]]

    (B) Measure air flow as indicated by a calibrated AFM indicator, 
which shall not exceed 60 cubic feet per minute (CFM).
    (iii) The AFM indicator shall be calibrated for accuracy at periodic 
intervals not to exceed 92 days. The AFM indicator calibration test 
orifices shall be calibrated at temperatures of not less than 20 degrees 
Fahrenheit. AFM indicators shall be accurate to within [plusmn] 3 
standard cubic feet per minute (CFM).
    (2) The inspector(s) shall take a position on each side of each car 
sometime during the inspection process so as to be able to examine and 
observe the functioning of all moving parts of the brake system on each 
car in order to make the determinations and inspections required by this 
section. A ``roll-by'' inspection of the brake release as provided for 
in paragraph (b)(8) of this section shall not constitute an inspection 
of that side of the train for purposes of this requirement;
    (3) The train brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall be within 15 psi of the pressure at which the train will be 
operated, but not less than 75 psi, angle cocks and cutout cocks shall 
be properly positioned, air hoses shall be properly coupled and shall 
not kink, bind, or foul or be in any other condition that restricts air 
flow. An examination must be made for leaks and necessary repairs made 
to reduce leakage to the required minimum. Retaining valves and 
retaining valve pipes shall be inspected and known to be in proper 
condition for service;
    (4) The brakes on each car shall apply in response to a 20-psi brake 
pipe service reduction and shall remain applied until a release of the 
air brakes has been initiated by the controlling locomotive or yard test 
device. The brakes shall not be applied or released until the proper 
signal is given. A car found with brakes that fail to apply or remain 
applied may be retested and remain in the train if the retest is 
conducted at an air pressure that is within 15 psi of the air pressure 
at which the train will be operated. The retest may be conducted from 
either the controlling locomotive, the head-end of the consist, or with 
a suitable test device, as described in Sec. 232.217(a), positioned at 
one end of the car(s) being retested, and the brakes shall remain 
applied until a release is initiated after a period which is no less 
than three minutes. If the retest is performed at the car(s) being 
retested with a suitable device, the compressed air in the car(s) shall 
be depleted prior to disconnecting the hoses between the car(s) to 
perform the retest;
    (5) For cars equipped with 8\1/2\-inch or 10-inch diameter brake 
cylinders, piston travel shall be within 7 to 9 inches. If piston travel 
is found to be less than 7 inches or more than 9 inches, it must be 
adjusted to nominally 7\1/2\ inches. For cars not equipped with 8\1/2\-
inch or 10-inch diameter brake cylinders, piston travel shall be within 
the piston travel stenciled or marked on the car or badge plate. Minimum 
brake cylinder piston travel of truck-mounted brake cylinders must be 
sufficient to provide proper brake shoe clearance when the brakes are 
released. Piston travel must be inspected on each freight car while the 
brakes are applied;
    (6) Brake rigging shall be properly secured and shall not bind or 
foul or otherwise adversely affect the operation of the brake system;
    (7) All parts of the brake equipment shall be properly secured. On 
cars where the bottom rod passes through the truck bolster or is secured 
with cotter keys equipped with a locking device to prevent their 
accidental removal, bottom rod safety supports are not required; and
    (8) When the release is initiated by the controlling locomotive or 
yard test device, the brakes on each freight car shall be inspected to 
verify that it did release; this may be performed by a ``roll-by'' 
inspection. If a ``roll-by'' inspection of the brake release is 
performed, train speed shall not exceed 10 MPH and the qualified person 
performing the ``roll-by'' inspection shall communicate the results of 
the inspection to the operator of the train. The operator of the train 
shall note successful completion of the release portion of the 
inspection on the record required in paragraph (d) of this section.

[[Page 458]]

    (d) Where a railroad's collective bargaining agreement provides that 
a carman is to perform the inspections and tests required by this 
section, a carman alone will be considered a qualified person. In these 
circumstances, the railroad shall ensure that the carman is properly 
trained and designated as a qualified person or qualified mechanical 
inspector pursuant to the requirements of this part.
    (e) A railroad shall notify the locomotive engineer that the Class I 
brake test was satisfactorily performed and provide the information 
required in this paragraph to the locomotive engineer or place the 
information in the cab of the controlling locomotive following the test. 
The information required by this paragraph may be provided to the 
locomotive engineer by any means determined appropriate by the railroad; 
however, a written or electronic record of the information shall be 
retained in the cab of the controlling locomotive until the train 
reaches its destination. The written or electronic record shall contain 
the date, time, number of freight cars inspected, and identify the 
qualified person(s) performing the test and the location where the Class 
I brake test was performed.
    (f) Before adjusting piston travel or working on brake rigging, 
cutout cock in brake pipe branch must be closed and air reservoirs must 
be voided of all compressed air. When cutout cocks are provided in brake 
cylinder pipes, these cutout cocks only may be closed and air reservoirs 
need not be voided of all compressed air.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17582, Apr. 10, 2002]



Sec. 232.207  Class IA brake tests--1,000-mile inspection.

    (a) Except as provided in Sec. 232.213, each train shall receive a 
Class IA brake test performed by a qualified person, as defined in 
Sec. 232.5, at a location that is not more than 1,000 miles from the 
point where any car in the train last received a Class I or Class IA 
brake test. The most restrictive car or block of cars in the train shall 
determine the location of this test.
    (b) A Class IA brake test of a train shall consist of the following 
tasks and requirements:
    (1) Brake pipe leakage shall not exceed 5 psi per minute, or air 
flow shall not exceed 60 cubic feet per minute (CFM). The brake pipe 
leakage test or air flow method test shall be conducted pursuant to the 
requirements contained in Sec. 232.205(c)(1);
    (2) The inspector shall position himself/herself, taking positions 
on each side of each car sometime during the inspection process, so as 
to be able to examine and observe the functioning of all moving parts of 
the brake system on each car in order to make the determinations and 
inspections required by this section;
    (3) The air brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall be within 15 psi of the pressure at which the train will be 
operated, but not less than 75 psi, as indicated by an accurate gauge or 
end-of-train device at rear end of train;
    (4) The brakes on each car shall apply in response to a 20-psi brake 
pipe service reduction and shall remain applied until the release is 
initiated by the controlling locomotive. A car found with brakes that 
fail to apply or remain applied may be retested and remain in the train 
if the retest is conducted as prescribed in Sec. 232.205(c)(4); 
otherwise, the defective equipment may only be moved pursuant to the 
provisions contained in Sec. 232.15, if applicable;
    (5) Brake rigging shall be properly secured and shall not bind or 
foul or otherwise adversely affect the operation of the brake system; 
and
    (6) All parts of the brake equipment shall be properly secured.
    (c) A railroad shall designate the locations where Class IA brake 
tests will be performed, and the railroad shall furnish to the Federal 
Railroad Administration upon request a description of each location 
designated. A railroad shall notify FRA's Associate Administrator for 
Safety in writing 30 days prior to any change in the locations 
designated for such tests and inspections.

[[Page 459]]

    (1) Failure to perform a Class IA brake test on a train at a 
location designated pursuant to this paragraph constitutes a failure to 
perform a proper Class IA brake test if the train is due for such a test 
at that location.
    (2) In the event of an emergency that alters normal train 
operations, such as a derailment or other unusual circumstance that 
adversely affects the safe operation of the train, the railroad is not 
required to provide prior written notification of a change in the 
location where a Class IA brake test is performed to a location not on 
the railroad's list of designated locations for performing Class IA 
brake tests, provided that the railroad notifies FRA's Associate 
Administrator for Safety and the pertinent FRA Regional Administrator 
within 24 hours after the designation has been changed and the reason 
for that change.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17582, Apr. 10, 2002]



Sec. 232.209  Class II brake tests--intermediate inspection.

    (a) At a location other than the initial terminal of a train, a 
Class II brake test shall be performed by a qualified person, as defined 
in Sec. 232.5, on the following equipment when added to a train:
    (1) Each car or solid block of cars, as defined in Sec. 232.5, that 
has not previously received a Class I brake test or that has been off 
air for more than four hours;
    (2) Each solid block of cars, as defined in Sec. 232.5, that is 
comprised of cars from more than one previous train; and
    (3) Except as provided in paragraph (a)(4) of this section, each 
solid block of cars that is comprised of cars from only one previous 
train, the cars of which have not remained continuously and 
consecutively coupled together with the train line remaining connected 
since being removed from the previous train. A solid block of cars is 
considered to have remained continuously and consecutively coupled 
together with the train line remaining connected since being removed 
from the previous train if it has been changed only by removing 
defective equipment.
    (4) Each solid block of cars that is comprised of cars from a single 
previous train, the cars of which were required to be separated into 
multiple solid blocks of cars due to space or trackage constraints at a 
particular location when removed from the previous train, if they are 
not added in the same relative order as when removed from the previous 
train or if the cars in each of the multiple blocks of cars have not 
remained continuously and consecutively coupled together with the train 
line remaining connected, except for the removal of defective equipment.
    (b) A Class II brake test shall consist of the following tasks and 
requirements:
    (1) Brake pipe leakage shall not exceed 5 psi per minute, or air 
flow shall not exceed 60 cubic feet per minute (CFM). The brake pipe 
leakage test or air flow method test shall be conducted on the entire 
train pursuant to the requirements contained in Sec. 232.205(c)(1);
    (2) The air brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall be within 15 psi of the pressure at which the train will be 
operated, but not less than 75 psi, as indicated by an accurate gauge or 
end-of-train device at the rear end of train;
    (3) The brakes on each car added to the train and on the rear car of 
the train shall be inspected to ensure that they apply in response to a 
20-psi brake pipe service reduction and remain applied until the release 
is initiated from the controlling locomotive. A car found with brakes 
that fail to apply or remain applied may be retested and remain in the 
train if the retest is conducted as prescribed in Sec. 232.205(c)(4); 
otherwise, the defective equipment may only be moved pursuant to the 
provisions of Sec. 232.15, if applicable;
    (4) When the release is initiated, the brakes on each car added to 
the train and on the rear car of the train shall be inspected to verify 
that they did release; this may be performed by a ``roll-by'' 
inspection. If a ``roll-by'' inspection of the brake release is 
performed, train speed shall not exceed 10 MPH, and the qualified person 
performing the ``roll-by'' inspection shall

[[Page 460]]

communicate the results of the inspection to the operator of the train; 
and
    (5) Before the train proceeds the operator of the train shall know 
that the brake pipe pressure at the rear of the train is being restored.
    (c) As an alternative to the rear car brake application and release 
portion of the test, the operator of the train shall determine that 
brake pipe pressure of the train is being reduced, as indicated by a 
rear car gauge or end-of-train telemetry device, and then that the brake 
pipe pressure of the train is being restored, as indicated by a rear car 
gauge or end-of-train telemetry device. (When an end-of-train telemetry 
device is used to comply with any test requirement in this part, the 
phrase ``brake pipe pressure of the train is being reduced'' means a 
pressure reduction of at least 5 psi, and the phrase ``brake pipe 
pressure of the train is being restored'' means a pressure increase of 
at least 5 psi). If an electronic communication link between a 
controlling locomotive and a remotely controlled locomotive attached to 
the rear end of a train is utilized to determine that brake pipe 
pressure is being restored, the operator of the train shall know that 
the air brakes function as intended on the remotely controlled 
locomotive.
    (d) Each car or solid block of cars that receives a Class II brake 
test pursuant to this section when added to the train shall receive a 
Class I brake test at the next forward location where facilities are 
available for performing such a test.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]



Sec. 232.211  Class III brake tests-trainline continuity inspection.

    (a) A Class III brake test shall be performed on a train by a 
qualified person, as defined in Sec. 232.5, to test the train brake 
system when the configuration of the train has changed in certain ways. 
In particular, a Class III brake test shall be performed at the location 
where any of the following changes in the configuration of the train 
occur:
    (1) Where a locomotive or a caboose is changed;
    (2) Where a car or a block of cars is removed from the train with 
the consist otherwise remaining intact;
    (3) At a point other than the initial terminal for the train, where 
a car or a solid block of cars that is comprised of cars from only one 
previous train the cars of which have remained continuously and 
consecutively coupled together with the trainline remaining connected, 
other than for removing defective equipment, since being removed from 
its previous train that has previously received a Class I brake test and 
that has not been off air for more than four hours is added to a train;
    (4) At a point other than the initial terminal for the train, where 
a solid block of cars that is comprised of cars from a single previous 
train is added to a train, provided that the solid block of cars was 
required to be separated into multiple solid blocks of cars due to space 
or trackage constraints at a particular location when removed from the 
previous train, and the cars have previously received a Class I brake 
test, have not been off air more than four hours, and the cars in each 
of the multiple blocks of cars have remained continuously and 
consecutively coupled together with the train line remaining connected, 
except for the removal of defective equipment. Furthermore, these 
multiple solid blocks of cars must be added to the train in the same 
relative order (no reclassification) as when removed from the previous 
train, except for the removal of defective equipment; or
    (5) At a point other than the initial terminal for the train, where 
a car or a solid block of cars that has received a Class I or Class II 
brake test at that location, prior to being added to the train, and that 
has not been off air for more than four hours is added to a train.
    (b) A Class III brake test shall consist of the following tasks and 
requirements:
    (1) The train brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall not be less than 60 psi, as indicated at the rear of the train by 
an accurate gauge or end-of-train device;

[[Page 461]]

    (2) The brakes on the rear car of the train shall apply in response 
to a 20-psi brake pipe service reduction and shall remain applied until 
the release is initiated by the controlling locomotive;
    (3) When the release is initiated, the brakes on the rear car of the 
train shall be inspected to verify that it did release; and
    (4) Before proceeding the operator of the train shall know that the 
brake pipe pressure at the rear of freight train is being restored.
    (c) As an alternative to the rear car brake application and release 
portion of the test, it shall be determined that the brake pipe pressure 
of the train is being reduced, as indicated by a rear car gauge or end-
of-train telemetry device, and then that the brake pipe pressure of the 
train is being restored, as indicated by a rear car gauge or end-of-
train telemetry device. If an electronic or radio communication link 
between a controlling locomotive and a remotely controlled locomotive 
attached to the rear end of a train is utilized to determine that brake 
pipe pressure is being restored, the operator of the train shall know 
that the air brakes function as intended on the remotely controlled 
locomotive.
    (d) Whenever the continuity of the brake pipe is broken or 
interrupted with the train consist otherwise remaining unchanged, it 
must be determined that the brake pipe pressure of the train is being 
restored as indicated by a rear car gauge or end-of-train device prior 
to proceeding. In the absence of an accurate rear car gauge or end-of-
train telemetry device, it must be determined that the brakes on the 
rear car of the train apply and release in response to air pressure 
changes made in the controlling locomotive.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]



Sec. 232.213  Extended haul trains.

    (a) A railroad may be permitted to move a train up to, but not 
exceeding, 1,500 miles between brake tests and inspections if the 
railroad designates a train as an extended haul train. In order for a 
railroad to designate a train as an extended haul train, all of the 
following requirements must be met:
    (1) The railroad must designate the train in writing to FRA's 
Associate Administrator for Safety. This designation must include the 
following:
    (i) The train identification symbol or identification of the 
location where extended haul trains will originate and a description of 
the trains that will be operated as extended haul trains from those 
locations;
    (ii) The origination and destination points for the train;
    (iii) The type or types of equipment the train will haul; and
    (iv) The locations where all train brake and mechanical inspections 
and tests will be performed.
    (2) A Class I brake test pursuant to Sec. 232.205 shall be performed 
at the initial terminal for the train by a qualified mechanical 
inspector as defined in Sec. 232.5.
    (3) A freight car inspection pursuant to part 215 of this chapter 
shall be performed at the initial terminal for the train and shall be 
performed by an inspector designated under Sec. 215.11 of this chapter.
    (4) All cars having conditions not in compliance with part 215 of 
this chapter at the initial terminal for the train shall be either 
repaired or removed from the train. Except for a car developing such a 
condition en route, no car shall be moved pursuant to the provisions of 
Sec. 215.9 of this chapter in the train.
    (5) The train shall have no more than one pick-up and one set-out en 
route, except for the set-out of defective equipment pursuant to the 
requirements of this chapter.
    (i) Cars added to the train en route shall be inspected pursuant to 
the requirements contained in paragraphs (a)(2) through (a)(5) of this 
section at the location where they are added to the train.
    (ii) Cars set out of the train en route shall be inspected pursuant 
to the requirements contained in paragraph (a)(6) of this section at the 
location where they are set out of the train.
    (6) At the point of destination, if less than 1,500 miles from the 
train's initial terminal, or at the point designated by the railroad 
pursuant to paragraph (a)(1)(iv) of this section, not to exceed 1,500 
miles, an inbound inspection of

[[Page 462]]

the train shall be conducted by a qualified mechanical inspector to 
identify any defective, inoperative, or ineffective brakes or any other 
condition not in compliance with this part as well as any conditions not 
in compliance with part 215 and part 231 of this chapter. After April 1, 
2007, the inbound inspection described in this paragraph shall not be 
required unless FRA provides notification to the industry extending the 
requirement to perform inbound inspections on extended haul trains. 
FRA's determination to extend the inbound inspection requirement will be 
based on the records required to be maintained pursuant to paragraph 
(a)(7) of this section and any other relevant safety data. FRA's 
notification will be published in the Federal Register and will contain 
the basis of any determination.
    (7) The railroad shall maintain a record of all defective, 
inoperative, or ineffective brakes as well as any conditions not in 
compliance with part 215 and part 231 of this chapter discovered at 
anytime during the movement of the train. These records shall be 
retained for a period of one year and made available to FRA upon 
request. The records required by this section may be maintained either 
electronically or in writing. After April 1, 2007, the records described 
in this paragraph need not be maintained unless FRA provides the 
notification required in paragraph (a)(6) of this section extending the 
requirement to conduct inbound inspections on extended haul trains.
    (8) In order for an extended haul train to proceed beyond 1,500 
miles, the following requirements shall be met:
    (i) If the train will move 1,000 miles or less from that location 
before receiving a Class IA brake test or reaching destination, a Class 
I brake test shall be conducted pursuant to Sec. 232.205 to ensure 100 
percent effective and operative brakes. The inbound inspection required 
by paragraph (a)(6) of this section may be used to meet this requirement 
provided it encompasses all the inspection elements contained in 
Sec. 232.205.
    (ii) If the train will move greater than 1,000 miles from that 
location without another brake inspection, the train must be identified 
as an extended haul train for that movement and shall meet all the 
requirements contained in paragraphs (a)(1) through (a)(7) of this 
section. Such trains shall receive a Class I brake test pursuant to 
Sec. 232.205 by a qualified mechanical inspector to ensure 100 percent 
effective and operative brakes, a freight car inspection pursuant to 
part 215 of this chapter by an inspector designated under Sec. 215.11 of 
this chapter, and all cars containing non-complying conditions under 
part 215 of this chapter shall either be repaired or removed from the 
train. The inbound inspection required by paragraph (a)(6) of this 
section may be used to meet these inspection requirements provided it 
encompasses all the inspection elements contained paragraphs (a)(2) 
through (a)(4) of this section.
    (9) FRA inspectors shall have physical access to visually observe 
all brake and freight car inspections and tests required by this 
section.
    (b) Failure to comply with any of the requirements contained in 
paragraph (a) of this section will be considered an improper movement of 
a designated priority train for which appropriate civil penalties may be 
assessed as outlined in Appendix A to this part. Furthermore, FRA's 
Associate Administrator for Safety may revoke a railroad's ability to 
designate any or all trains as extended haul trains for repeated or 
willful noncompliance with any of the requirements contained in this 
section. Such a determination will be made in writing and will state the 
basis for such action.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]



Sec. 232.215  Transfer train brake tests.

    (a) A transfer train, as defined in Sec. 232.5, shall receive a 
brake test performed by a qualified person, as defined in Sec. 232.5, 
that includes the following:
    (1) The air brake hoses shall be coupled between all freight cars;
    (2) After the brake system is charged to not less than 60 psi as 
indicated by an accurate gauge or end-of-train device at the rear of the 
train, a 15-psi service brake pipe reduction shall be made; and
    (3) An inspection shall be made to determine that the brakes on each 
car

[[Page 463]]

apply and remain applied until the release is initiated by the 
controlling locomotive. A car found with brakes that fail to apply or 
remain applied may be retested and remain in the train if the retest is 
conducted as prescribed in Sec. 232.205(c)(4); otherwise, the defective 
equipment may be moved only pursuant to the provisions contained in 
Sec. 232.15, if applicable;
    (b) Cars added to transfer trains en route shall be inspected 
pursuant to the requirements contained in paragraph (a) of this section 
at the location where the cars are added to the train.
    (c) If a train's movement will exceed 20 miles or is not a transfer 
train as defined in Sec. 232.5, the train shall receive a Class I brake 
test in accordance with Sec. 232.205 prior to departure.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]



Sec. 232.217  Train brake tests conducted using yard air.

    (a) When a train air brake system is tested from a yard air source, 
an engineer's brake valve or a suitable test device shall be used to 
provide any increase or reduction of brake pipe air pressure at the 
same, or slower, rate as an engineer's brake valve.
    (b) The yard air test device must be connected to the end of the 
train or block of cars that will be nearest to the controlling 
locomotive. However, if the railroad adopts and complies with written 
procedures to ensure that potential overcharge conditions to the train 
brake system are avoided, the yard air test device may be connected to 
other than the end nearest to the controlling locomotive.
    (c) Except as provided in this section, when yard air is used the 
train air brake system must be charged and tested as prescribed by 
Sec. 232.205(c) and when practicable should be kept charged until road 
motive power is coupled to train, after which, a Class III brake test 
shall be performed as prescribed by Sec. 232.211.
    (1) If the cars are off air for more than four hours, the cars shall 
be retested in accordance with Sec. 232.205(c) through (f).
    (2) At a minimum, yard air pressure shall be 60 psi at the end of 
the consist or block of cars opposite from the yard test device and 
shall be within 15 psi of the regulator valve setting on yard test 
device.
    (3) If the air pressure of the yard test device is less than 80 psi, 
then a brake pipe leakage or air flow test shall be conducted at the 
operating pressure of the train when the locomotives are attached in 
accordance with Sec. 232.205(c)(1).
    (d) Mechanical yard air test devices and gauges shall be calibrated 
every 92 days. Electronic yard test devices and gauges shall be 
calibrated annually. Mechanical and electronic yard air test devices and 
gauges shall be calibrated so that they are accurate to within [plusmn] 
3 psi.
    (e) If used to test a train, a yard air test device and any yard air 
test equipment shall be accurate and function as intended.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]



Sec. 232.219  Double heading and helper service.

    (a) When more than one locomotive is attached to a train, the 
engineer of the controlling locomotive shall operate the brakes. In case 
it becomes necessary for the controlling locomotive to give up control 
of the train short of the destination of the train, a Class III brake 
test pursuant to Sec. 232.211 shall be made to ensure that the brakes 
are operative from the automatic brake valve of the locomotive taking 
control of the train.
    (b) When one or more helper locomotives are placed in a train, a 
visual inspection shall be made of each helper locomotive brake system 
to determine that the brake system operates as intended in response to a 
20-psi reduction initiated from the controlling locomotive of the train. 
A helper locomotive with inoperative or ineffective brakes shall be 
repaired prior to use or removed from the train.
    (c) If a helper locomotive utilizes a Helper Link device or a 
similar technology, the locomotive and device shall be equipped, 
designed, and maintained as follows:
    (1) The locomotive engineer shall be notified by a distinctive alarm 
of any

[[Page 464]]

loss of communication between the device and the two-way end-of-train 
device of more than 25 seconds;
    (2) A method to reset the device shall be provided in the cab of the 
helper locomotive that can be operated from the engineer's usual 
position during operation of the locomotive. Alternatively, the helper 
locomotive or the device shall be equipped with a means to automatically 
reset the device, provided that the automatic reset occurs within the 
period time permitted for manual reset of the device; and
    (3) The device shall be tested for accuracy and calibrated if 
necessary according to the manufacturer's specifications and procedures 
every 365 days. This shall include testing radio frequencies and 
modulation of the device. A legible record of the date and location of 
the last test or calibration shall be maintained with the device.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17584, Apr. 10, 2002]



        Subpart D--Periodic Maintenance and Testing Requirements



Sec. 232.301  Scope.

    This subpart contains the periodic brake system maintenance and 
testing requirements for equipment used in freight and other non-
passenger trains.



Sec. 232.303  General requirements.

    (a) Definitions. The following definitions are intended solely for 
the purpose of identifying what constitutes a shop or repair track under 
this subpart.
    (1) Shop or repair track means:
    (i) A fixed repair facility or track designated by the railroad as a 
shop or repair track;
    (ii) A fixed repair facility or track which is regularly and 
consistently used to perform major repairs;
    (iii) track which is used at a location to regularly and 
consistently perform both minor and major repairs where the railroad has 
not designated a certain portion of that trackage as a repair track;
    (iv) A track designated by a railroad as a track where minor repairs 
will be conducted or used by a railroad to regularly and consistently 
perform minor repairs during the period when the track is used to 
conduct major repairs; however, such trackage is considered a shop or 
repair track only for each car receiving major repairs on such trackage 
and not for a car receiving only minor repairs; and
    (v) The facilities and tracks identified in paragraphs (a)(1)(i) 
through (a)(1)(iv) shall be considered shop or repair tracks regardless 
of whether a mobile repair vehicle is used to conduct the repairs.
    (2) Major repair means a repair that normally would require greater 
than four person-hours to accomplish or would involve the use of 
specialized tools and equipment. Major repairs include such activities 
as coupler replacement, draft gear repair, and repairs requiring the use 
of an air jack but exclude changing wheels on intermodal loading ramps 
either with or without an air jack.
    (3) Minor repair means repairs, other than major repairs, that can 
be accomplished in a short period of time with limited tools and 
equipment. Minor repairs would include such things as safety appliance 
straightening, handhold replacement, air hose replacement, lading 
adjustment, and coupler knuckle or knuckle pin replacement.
    (b) A car on a shop or repair track shall be tested to determine 
that the air brakes apply and remain applied until a release is 
initiated.
    (c) A car on a shop or repair track shall have its piston travel 
inspected. For cars equipped with 8\1/2\-inch or 10-inch diameter brake 
cylinders, piston travel shall be within 7 to 9 inches. If piston travel 
is found to be less than 7 inches or more than 9 inches, it must be 
adjusted to nominally 7\1/2\ inches. For cars not equipped with 8\1/2\-
inch or 10-inch diameter brake cylinders, piston travel shall be within 
the piston travel stenciled or marked on the car or badge plate.
    (d) Before a car is released from a shop or repair track, a 
qualified person shall ensure:
    (1) The brake pipe is securely clamped;
    (2) Angle cocks are properly located with suitable clearance and 
properly positioned to allow maximum air flow;

[[Page 465]]

    (3) Valves, reservoirs, and cylinders are tight on supports and the 
supports are securely attached to the car;
    (4) Hand brakes are tested, inspected, and operate as intended; and
    (5) Brake indicators, on cars so equipped, are accurate and operate 
as intended.
    (e) If the single car air brake test required by Sec. 232.305 cannot 
be conducted at the point where repairs can be made to the car, the car 
may be moved after the repairs are made to the next forward location 
where the test can be performed. Inability to perform a single car air 
brake test does not constitute an inability to make the necessary 
repairs.
    (1) If it is necessary to move a car from the location where the 
repairs are performed in order to perform a single car air brake test 
required by this part, a tag or card shall be placed on both sides of 
the equipment, or an automated tracking system approved for use by FRA, 
shall contain the following information about the equipment:
    (i) The reporting mark and car number;
    (ii) The name of the inspecting railroad;
    (iii) The location where repairs were performed and date;
    (iv) Indication whether the car requires a single car air brake 
test;
    (v) The location where the appropriate test is to be performed; and
    (vi) The name, signature, if possible, and job title of the 
qualified person approving the move.
    (2) The tag or card required by paragraph (e)(1) of this section 
shall remain affixed to the equipment until the necessary test has been 
performed.
    (3) An electronic or written record or copy of each tag or card 
attached to or removed from a car or locomotive shall be retained for 90 
days and, upon request, shall be made available within 15 calendar days 
for inspection by FRA or State inspectors.
    (4) The record or copy of each tag or card removed from a car or 
locomotive shall contain the date, location, and the signature or 
identification of the qualified person removing it from the piece of 
equipment.
    (f) The location and date of the last single car air brake test 
required by Sec. 232.305 shall be clearly stenciled, marked, or labeled 
in two-inch high letters or numerals on the side of the equipment. 
Alternatively, the railroad industry may use an electronic or automated 
tracking system to track the required information and the performance of 
the test required by Sec. 232.305.
    (1) Electronic or automated tracking systems used to meet the 
requirement contained in this paragraph shall be capable of being 
reviewed and monitored by FRA at any time to ensure the integrity of the 
system. FRA's Associate Administrator for Safety may prohibit or revoke 
the railroad industry's authority to utilize an electronic or automated 
tracking system in lieu of stenciling or marking if FRA finds that the 
electronic or automated tracking system is not properly secure, is 
inaccessible to FRA or railroad employees, or fails to adequately track 
and monitor the equipment. FRA will record such a determination in 
writing, include a statement of the basis for such action, and will 
provide a copy of the document to the affected railroads.
    (2) [Reserved]

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 39687, Aug. 1, 2001; 67 
FR 17584, Apr. 10, 2002]



Sec. 232.305  Single car air brake tests.

    (a) Single car air brake tests shall be performed by a qualified 
person in accordance with either Section 3.0, ``Tests-Standard Freight 
Brake Equipment,'' and Section 4.0, ``Special Tests,'' of the 
Association of American Railroads Standard S-486-01, ``Code of Air Brake 
System Tests for Freight Equipment,'' contained in the AAR Manual of 
Standards and Recommended Practices, Section E (January 1, 2001); an 
alternative procedure approved by FRA pursuant to Sec. 232.17; or a 
modified procedure approved in accordance with the provisions contained 
in Sec. 232.307. The incorporation by reference of these two sections of 
this AAR standard was approved by the Director of the Federal Register 
in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a 
copy of the incorporated document from the Association of American

[[Page 466]]

Railroads, 50 F Street, NW., Washington, DC 20001. You may inspect a 
copy of the document at the Federal Railroad Administration, Docket 
Clerk, 1120 Vermont Avenue, NW., Suite 7000, Washington, DC or at the 
Office of the Federal Register, 800 North Capitol Street, NW., Suite 
700, Washington, DC.
    (b) Except as provided in Sec. 232.303(e), a railroad shall perform 
a single car air brake test on a car when:
    (1) A car has its brakes cut-out or inoperative when removed from a 
train or when placed on a shop or repair track, as defined in 
Sec. 232.303(a);
    (2) A car is on a shop or repair track, as defined in 
Sec. 232.303(a), for any reason and has not received a single car air 
brake test within the previous 12-month period;
    (3) A car is found with missing or incomplete single car air brake 
test information;
    (4) One or more of the following conventional air brake equipment 
items is removed, repaired, or replaced:
    (i) Brake reservoir;
    (ii) Control valve mounting gasket;
    (iii) Pipe bracket stud;
    (iv) Service portion;
    (v) Emergency portion; or
    (vi) Pipe bracket.
    (5) A car is found with one or more of the following wheel defects:
    (i) Built-up tread, unless known to be caused by hand brake left 
applied;
    (ii) Slid flat wheel, unless known to be caused by hand brake left 
applied; or
    (iii) Thermal cracks.
    (c) Except as provided in paragraph (d) of this section, each car 
shall receive a single car air brake test no less than every 5 years.
    (d) Each car shall receive a single car air brake test no less than 
8 years from the date the car was built or rebuilt.
    (e) A single car air brake test shall be performed on each new or 
rebuilt car prior to placing or using the car in revenue service.
    (f) For purposes of paragraphs (b)(2), (b)(3), and (c) of this 
section, if a single car test or repair track air brake test is 
conducted on a car prior to January 1, 2001, pursuant to the then 
existing AAR standards, it shall be considered the last single car air 
brake test for that car, if necessary.

[66 FR 39688, Aug. 1, 2001]



Sec. 232.307  Modification of the single car air brake test procedures.

    (a) Request. The AAR or other authorized representative of the 
railroad industry may seek modification of the single car air brake test 
procedures prescribed in Sec. 232.305(a). The request for modification 
shall be submitted in triplicate to the Associate Administrator for 
Safety, Federal Railroad Administration, 400 7th Street, S.W., 
Washington, D.C. 20590 and shall contain:
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the modification;
    (2) The modification, in detail, to be substituted for a particular 
procedure prescribed in Sec. 232.305(a);
    (3) Appropriate data or analysis, or both, for FRA to consider in 
determining whether the modification will provide at least an equivalent 
level of safety; and
    (4) A statement affirming that the railroad industry has served a 
copy of the request on the designated representatives of the employees 
responsible for the equipment's operation, inspection, testing, and 
maintenance under this part, together with a list of the names and 
addresses of the persons served.
    (b) Federal Register document. Upon receipt of a request for 
modification, FRA will publish a document in the Federal Register 
containing the requested modification. The document will permit 
interested parties 60 days to comment on any requested modification.
    (c) FRA review. During the 60 days provided for public comment, FRA 
will review the petition. If FRA objects to the requested modification, 
written notification will be provided, within this 60-day period, to the 
party requesting the modification detailing FRA's objection.
    (d) Disposition. (1) If no comment objecting to the requested 
modification is received during the 60-day comment period, provided by 
paragraph (b) of this section, or if FRA does not issue a

[[Page 467]]

written objection to the requested modification, the modification will 
become effective 15 days after the close of the 60-day comment period.
    (2) If an objection is raised by an interested party, during the 60-
day comment period, or if FRA issues a written objection to the 
requested modification, the requested modification will be handled as 
follows:
    (i) If FRA finds that the request complies with the requirements of 
this section and that the proposed modification is acceptable and 
justified, the request will be granted, normally within 90 days of its 
receipt. If the request for modification is neither granted nor denied 
within 90 days, the request remains pending for decision. FRA may attach 
special conditions to the approval of any request for modification. 
Following the approval of a request for modification, FRA may reopen 
consideration of the request for cause.
    (ii) If FRA finds that the request does not comply with the 
requirements of this section and that the proposed modification is not 
acceptable or justified, the requested modification will be denied, 
normally within 90 days of its receipt.
    (iii) When FRA grants or denies a request for modification, or 
reopens consideration of the request, written notice is sent to the 
requesting party and other interested parties.

[66 FR 39688, Aug. 1, 2001]



Sec. 232.309  Equipment and devices used to perform single car air brake tests.

    (a) Equipment and devices used to perform single car air brake tests 
shall be tested for correct operation at least once each calendar day of 
use.
    (b) Except for single car test devices, mechanical test devices such 
as pressure gauges, flow meters, orifices, etc. shall be calibrated once 
every 92 days.
    (c) Electronic test devices shall be calibrated at least once every 
365 days.
    (d) Test equipment and single car test devices placed in service 
shall be tagged or labeled with the date its next calibration is due.
    (e) Each single car test device shall be tested not less frequently 
than every 92 days after being placed in service and may not continue in 
service if more than one year has passed since its last 92-day test.
    (f) Each single car test device shall be disassembled and cleaned 
not less frequently than every 365 days after being placed in service.

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 39689, Aug. 1, 2001]



                     Subpart E--End-of-Train Devices



Sec. 232.401  Scope.

    This subpart contains the requirements related to the performance, 
operation, and testing of end-of-train devices. Unless expressly 
excepted in this subpart, the requirements of this subpart apply to all 
trains operating on track which is part of the general railroad system 
of transportation.



Sec. 232.403  Design standards for one-way end-of-train devices.

    (a) General. A one-way end-of-train device shall be comprised of a 
rear-of-train unit (rear unit) located on the last car of a train and a 
front-of-train unit (front unit) located in the cab of the locomotive 
controlling the train.
    (b) Rear unit. The rear unit shall be capable of determining the 
brake pipe pressure on the rear car and transmitting that information to 
the front unit for display to the locomotive engineer. The rear unit 
shall be--
    (1) Capable of measuring the brake pipe pressure on the rear car 
with an accuracy of [plusmn]3 pounds per square inch (psig) and brake 
pipe pressure variations of [plusmn]1 psig;
    (2) Equipped with a ``bleeder valve'' that permits the release of 
any air under pressure from the rear of train unit or the associated air 
hoses prior to detaching the rear unit from the brake pipe;
    (3) Designed so that an internal failure will not cause an undesired 
emergency brake application;
    (4) Equipped with either an air gauge or a means of visually 
displaying the rear unit's brake pipe pressure measurement; and
    (5) Equipped with a pressure relief safety valve to prevent 
explosion from a high pressure air leak inside the rear unit.
    (c) Reporting rate. Multiple data transmissions from the rear unit 
shall

[[Page 468]]

occur immediately after a variation in the rear car brake pipe pressure 
of [plusmn]2 psig and at intervals of not greater than 70 seconds when 
the variation in the rear car brake pipe pressure over the 70-second 
interval is less than [plusmn]2 psig.
    (d) Operating environment. The rear unit shall be designed to meet 
the performance requirements of paragraphs (b) and (c) of this section 
under the following environmental conditions:
    (1) At temperatures from -40 [deg]C to 60 [deg]C;
    (2) At a relative humidity of 95% noncondensing at 50 [deg]C;
    (3) At altitudes of zero to 12,000 feet mean sea level;
    (4) During vertical and lateral vibrations of 1 to 15 Hz., with 0.5 
g. peak to peak, and 15 to 500 Hz., with 5 g. peak to peak;
    (5) During the longitudinal vibrations of 1 to 15 Hz., with 3 g. 
peak to peak, and 15 to 500 Hz., with 5 g. peak to peak; and
    (6) During a shock of 10 g. peak for 0.1 second in any axis.
    (e) Unique code. Each rear unit shall have a unique and permanent 
identification code that is transmitted along with the pressure message 
to the front-of-train unit. A code obtained from the Association of 
American Railroads, 50 F Street, NW., Washington, DC 20036 shall be 
deemed to be a unique code for purposes of this section. A unique code 
also may be obtained from the Office of Safety Assurance and Compliance 
(RRS-10), Federal Railroad Administration, Washington, DC 20590.
    (f) Front unit. (1) The front unit shall be designed to receive data 
messages from the rear unit and shall be capable of displaying the rear 
car brake pipe pressure in increments not to exceed one pound.
    (2) The display shall be clearly visible and legible in daylight and 
darkness from the engineer's normal operating position.
    (3) The front device shall have a means for entry of the unique 
identification code of the rear unit being used. The front unit shall be 
designed so that it will display a message only from the rear unit with 
the same code as entered into the front unit.
    (4) The front unit shall be designed to meet the requirements of 
paragraphs (d)(2), (3), (4), and (5) of this section. It shall also be 
designed to meet the performance requirements in this paragraph under 
the following environmental conditions:
    (i) At temperatures from 0 [deg]C to 60 [deg]C;
    (ii) During a vertical or lateral shock of 2 g. peak for 0.1 second; 
and
    (iii) During a longitudinal shock of 5 g. peak for 0.1 second.
    (g) Radio equipment. (1) The radio transmitter in the rear unit and 
the radio receiver in the front unit shall comply with the applicable 
regulatory requirements of the Federal Communications Commission (FCC) 
and use of a transmission format acceptable to the FCC.
    (2) If power is supplied by one or more batteries, the operating 
life shall be a minimum of 36 hours at 0 [deg]C.



Sec. 232.405  Design and performance standards for two-way end-of-train devices.

    Two-way end-of-train devices shall be designed and perform with the 
features applicable to one-way end-of-train devices described in 
Sec. 232.403, except those included in Sec. 232.403(b)(3). In addition, 
a two-way end-of-train device shall be designed and perform with the 
following features:
    (a) An emergency brake application command from the front unit of 
the device shall activate the emergency air valve at the rear of the 
train within one second.
    (b) The rear unit of the device shall send an acknowledgment message 
to the front unit immediately upon receipt of an emergency brake 
application command. The front unit shall listen for this acknowledgment 
and repeat the brake application command if the acknowledgment is not 
correctly received.
    (c) The rear unit, on receipt of a properly coded command, shall 
open a valve in the brake line and hold it open for a minimum of 15 
seconds. This opening of the valve shall cause the brake line to vent to 
the exterior.
    (d) The valve opening shall have a minimum diameter of \3/4\ inch 
and the internal diameter of the hose shall be

[[Page 469]]

\5/8\ inch to effect an emergency brake application.
    (e) The front unit shall have a manually operated switch which, when 
activated, shall initiate an emergency brake transmission command to the 
rear unit or the locomotive shall be equipped with a manually operated 
switch on the engineer control stand designed to perform the equivalent 
function. The switch shall be labeled ``Emergency'' and shall be 
protected so that there will exist no possibility of accidental 
activation.
    (f) All locomotives ordered on or after August 1, 2001, or placed in 
service for the first time on or after August 1, 2003, shall be designed 
to automatically activate the two-way end-of-train device to effectuate 
an emergency brake application whenever it becomes necessary for the 
locomotive engineer to place the train air brakes in emergency.
    (g) The availability of the front-to-rear communications link shall 
be checked automatically at least every 10 minutes.
    (h) Means shall be provided to confirm the availability and proper 
functioning of the emergency valve.
    (i) Means shall be provided to arm the front and rear units to 
ensure the rear unit responds to an emergency command only from a 
properly associated front unit.



Sec. 232.407  Operations requiring use of two-way end-of-train devices; prohibition on purchase of nonconforming devices.

    (a) Definitions. The following definitions are intended solely for 
the purpose of identifying those operations subject to the requirements 
for the use of two-way end-of-train devices.
    (1) Heavy grade means: (i) For a train operating with 4,000 trailing 
tons or less, a section of track with an average grade of two percent or 
greater over a distance of two continuous miles; and
    (ii) For a train operating with greater than 4,000 trailing tons, a 
section of track with an average grade of one percent or greater over a 
distance of three continuous miles.
    (2) Train means one or more locomotives coupled with one or more 
rail cars, except during switching operations or where the operation is 
that of classifying cars within a railroad yard for the purpose of 
making or breaking up trains.
    (3) Local train means a train assigned to perform switching en route 
which operates with 4,000 trailing tons or less and travels between a 
point of origin and a point of final destination, for a distance that is 
no greater than that which can normally be operated by a single crew in 
a single tour of duty.
    (4) Work train means a non-revenue service train of 4,000 trailing 
tons or less used for the administration and upkeep service of the 
railroad.
    (5) Trailing tons means the sum of the gross weights--expressed in 
tons--of the cars and the locomotives in a train that are not providing 
propelling power to the train.
    (b) General. All trains not specifically excepted in paragraph (e) 
of this section shall be equipped with and shall use either a two-way 
end-of-train device meeting the design and performance requirements 
contained in Sec. 232.405 or a device using an alternative technology to 
perform the same function.
    (c) New devices. Each newly manufactured end-of-train device 
purchased by a railroad after January 2, 1998 shall be a two-way end-of-
train device meeting the design and performance requirements contained 
in Sec. 232.405 or a device using an alternative technology to perform 
the same function.
    (d) Grandfathering. Each two-way end-of-train device purchased by 
any person prior to July 1, 1997 shall be deemed to meet the design and 
performance requirements contained in Sec. 232.405.
    (e) Exceptions. The following types of trains are excepted from the 
requirement for the use of a two-way end-of-train device:
    (1) Trains with a locomotive or locomotive consist located at the 
rear of the train that is capable of making an emergency brake 
application, through a command effected by telemetry or by a crew member 
in radio contact with the controlling locomotive;
    (2) Trains operating in the push mode with the ability to effectuate 
an emergency brake application from the rear of the train;

[[Page 470]]

    (3) Trains with an operational caboose placed at the rear of the 
train, carrying one or more crew members in radio contact with the 
controlling locomotive, that is equipped with an emergency brake valve;
    (4) Trains operating with a secondary, fully independent braking 
system capable of safely stopping the train in the event of failure of 
the primary system;
    (5) Trains that do not operate over heavy grades and do not exceed 
30 mph;
    (6) Local trains, as defined in paragraph (a)(3) of this section, 
that do not operate over heavy grades;
    (7) Work trains, as defined in paragraph (a)(4) of this section, 
that do not operate over heavy grades;
    (8) Trains that operate exclusively on track that is not part of the 
general railroad system;
    (9) Trains that must be divided into two sections in order to 
traverse a grade (e.g., doubling a hill). This exception applies only to 
the extent necessary to traverse the grade and only while the train is 
divided in two for such purpose;
    (10) Passenger trains in which all of the cars in the train are 
equipped with an emergency brake valve readily accessible to a crew 
member;
    (11) Passenger trains that have a car at the rear of the train, 
readily accessible to one or more crew members in radio contact with the 
engineer, that is equipped with an emergency brake valve readily 
accessible to such a crew member; and
    (12) Passenger trains that have twenty-four (24) or fewer cars (not 
including locomotives) in the consist and that are equipped and operated 
in accordance with the following train-configuration and operating 
requirements:
    (i) If the total number of cars in a passenger train consist is 
twelve (12) or fewer, a car located no less than halfway through the 
consist (counting from the first car in the train) must be equipped with 
an emergency brake valve readily accessible to a crew member;
    (ii) If the total number of cars in a passenger train consist is 
thirteen (13) to twenty-four (24), a car located no less than two-thirds 
(\2/3\) of the way through the consist (counting from the first car in 
the train) must be equipped with an emergency brake valve readily 
accessible to a crew member;
    (iii) Prior to descending a section of track with an average grade 
of two percent or greater over a distance of two continuous miles, the 
engineer of the train shall communicate with the conductor, to ensure 
that a member of the crew with a working two-way radio is stationed in 
the car with the rearmost readily accessible emergency brake valve on 
the train when the train begins its descent; and
    (iv) While the train is descending a section of track with an 
average grade of two percent or greater over a distance of two 
continuous miles, a member of the train crew shall occupy the car that 
contains the rearmost readily accessible emergency brake valve on the 
train and be in constant radio communication with the locomotive 
engineer. The crew member shall remain in this car until the train has 
completely traversed the heavy grade.
    (f) Specific requirements for use. If a train is required to use a 
two-way end-of-train device:
    (1) That device shall be armed and operable from the time the train 
departs from the point where the device is installed until the train 
reaches its destination. If a loss of communication occurs at the 
location where the device is installed, the train may depart the 
location at restricted speed for a distance of no more than one mile in 
order to establish communication. When communication is established, the 
quantitative values of the head and rear unit shall be compared pursuant 
to Sec. 232.409(b) and the device tested pursuant to Sec. 232.409(c), 
unless the test was performed prior to installation.
    (2) The rear unit batteries shall be sufficiently charged at the 
initial terminal or other point where the device is installed and 
throughout the train's trip to ensure that the end-of-train device will 
remain operative until the train reaches its destination.
    (3) The device shall be activated to effectuate an emergency brake 
application either by using the manual toggle switch or through 
automatic activation, whenever it becomes necessary for the locomotive 
engineer to initiate an emergency application of the air

[[Page 471]]

brakes using either the automatic brake valve or the conductor's 
emergency brake valve.
    (g) En route failure of device on a freight or other non-passenger 
train. Except on passenger trains required to be equipped with a two-way 
end-of-train device (which are provided for in paragraph (h) of this 
section), en route failures of a two-way end-of-train device shall be 
handled in accordance with this paragraph. If a two-way end-of-train 
device or equivalent device fails en route (i.e., is unable to initiate 
an emergency brake application from the rear of the train due to certain 
losses of communication (front to rear) or due to other reasons, the 
speed of the train on which it is installed shall be limited to 30 mph 
until the ability of the device to initiate an emergency brake 
application from the rear of the train is restored. This limitation 
shall apply to a train using a device that uses an alternative 
technology to serve the purpose of a two-way end-of-train device. With 
regard to two-way end-of-train devices, a loss of communication between 
the front and rear units is an en route failure only if the loss of 
communication is for a period greater than 16 minutes and 30 seconds. 
Based on the existing design of the devices, the display to an engineer 
of a message that there is a communication failure indicates that 
communication has been lost for 16 minutes and 30 seconds or more.
    (1) If a two-way end-of-train device fails en route, the train on 
which it is installed, in addition to observing the 30-mph speed 
limitation, shall not operate over a section of track with an average 
grade of two percent or greater for a distance of two continuous miles, 
unless one of the following alternative measures is provided:
    (i) Use of an occupied helper locomotive at the end of the train. 
This alternative may be used only if the following requirements are met:
    (A) The helper locomotive engineer shall initiate and maintain two-
way voice radio communication with the engineer on the head end of the 
train; this contact shall be verified just prior to passing the crest of 
the grade.
    (B) If there is a loss of communication prior to passing the crest 
of the grade, the helper locomotive engineer and the head-end engineer 
shall act immediately to stop the train until voice communication is 
resumed, in accordance with the railroad's operating rules.
    (C) If there is a loss of communication once the descent has begun, 
the helper locomotive engineer and the head-end engineer shall act to 
stop the train, in accordance with the railroad's operating rules, if 
the train has reached a predetermined rate of speed that indicates the 
need for emergency braking.
    (D) The brake pipe of the helper locomotive shall be connected and 
cut into the train line and tested to ensure operation.
    (ii) Use of an occupied caboose at the end of the train with a 
tested, functioning brake valve capable of initiating an emergency brake 
application from the caboose. This alternative may be used only if the 
train service employee in the caboose and the engineer on the head end 
of the train establish and maintain two-way voice radio communication 
and respond appropriately to the loss of such communication in the same 
manner as prescribed for helper locomotives in paragraph (g)(1)(i) of 
this section.
    (iii) Use of a radio-controlled locomotive at the rear of the train 
under continuous control of the engineer in the head end by means of 
telemetry, but only if such radio-controlled locomotive is capable of 
initiating an emergency application on command from the lead 
(controlling) locomotive.
    (2) If a two-way end-of-train device fails en route while the train 
on which it is installed is operating over a section of track with an 
average grade of two percent or greater for a distance of two continuous 
miles, the train shall be brought safely to a stop at the first 
available location in accordance with the railroad's operating rule, 
except the train may continue in operation if the railroad provides one 
of the alternative measures detailed in paragraph (g)(1) of this 
section.
    (h) En route failure of device on a passenger train. (1) A passenger 
train required to be equipped with a two-way end-of-train device that 
develops an en route failure of the device (as explained

[[Page 472]]

in paragraph (g) of this section) shall not operate over a section of 
track with an average grade of two percent or greater over a distance of 
two continuous miles until an operable two-way end-of-train device is 
installed on the train or an alternative method of initiating an 
emergency brake application from the rear of the train is achieved.
    (2) Except as provided in paragraph (h)(1) of this section, a 
passenger train required to be equipped with a two-way end-of-train 
device that develops an en route failure of the device (as explained in 
paragraph (g) of this section) shall be operated in accordance with the 
following:
    (i) A member of the train crew shall be immediately positioned in 
the car which contains the rearmost readily accessible emergency brake 
valve on the train and shall be equipped with an operable two-way radio 
that communicates with the locomotive engineer; and
    (ii) The locomotive engineer shall periodically make running tests 
of the train's air brakes until the failure is corrected; and
    (3) Each en route failure shall be corrected at the next location 
where the necessary repairs can be conducted or at the next location 
where a required brake test is to be performed, whichever is reached 
first.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17584, Apr. 10, 2002]



Sec. 232.409  Inspection and testing of end-of-train devices.

    (a) After each installation of either the front or rear unit of an 
end-of-train device, or both, on a train and before the train departs, 
the railroad shall determine that the identification code entered into 
the front unit is identical to the unique identification code on the 
rear unit.
    (b) After each installation of either the front or rear unit of an 
end-of-train device, or both, on a train and before the train departs, 
the functional capability of the device shall be determined, after 
charging the train, by comparing the quantitative value of the air 
pressure displayed on the front unit with the quantitative value of the 
air pressure displayed on the rear unit or on a properly calibrated air 
gauge. The end-of-train device shall not be used if the difference 
between the two readings exceeds three pounds per square inch.
    (c) A two-way end-of-train device shall be tested at the initial 
terminal or other point of installation to determine that the device is 
capable of initiating an emergency power brake application from the rear 
of the train. If this test is conducted by a person other than a member 
of the train crew, the locomotive engineer shall be notified that a 
successful test was performed. The notification required by this 
paragraph may be provided to the locomotive engineer by any means 
determined appropriate by the railroad; however, a written or electronic 
record of the notification shall be maintained in the cab of the 
controlling locomotive and shall include the date and time of the test, 
the location where the test was performed, and the name of the person 
conducting the test.
    (d) The telemetry equipment shall be tested for accuracy and 
calibrated if necessary according to the manufacturer's specifications 
and procedures at least every 368 days. The 368 days shall not include a 
shelf-life of up to 92 days prior to placing the unit in service. This 
test shall include testing radio frequencies and modulation of the 
device. The date and location of the last calibration or test as well as 
the name of the person performing the calibration or test shall be 
legibly displayed on a weather-resistant sticker or other marking device 
affixed to the outside of both the front unit and the rear unit; 
however, if the front unit is an integral part of the locomotive or is 
inaccessible, then the information may recorded on Form FRA F6180-49A 
instead, provided that the serial number of the unit is recorded.

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 29502, May 31, 2001; 67 
FR 17584, Apr. 10, 2002]



         Subpart F--Introduction of New Brake System Technology



Sec. 232.501  Scope.

    This subpart contains general requirements for introducing new brake 
system technologies. This subpart is

[[Page 473]]

intended to facilitate the introduction of new complete brake system 
technologies or major upgrades to existing systems which the current 
regulations do not adequately address (i.e., electronic brake systems). 
This subpart is not intended for use in the introduction of a new brake 
component or material.



Sec. 232.503  Process to introduce new brake system technology.

    (a) Pursuant to the procedures contained in Sec. 232.17, each 
railroad shall obtain special approval from the FRA Associate 
Administrator for Safety of a pre-revenue service acceptance testing 
plan, developed pursuant to Sec. 232.505, for the new brake system 
technology, prior to implementing the plan.
    (b) Each railroad shall complete a pre-revenue service demonstration 
of the new brake system technology in accordance with the approved plan, 
shall fulfill all of the other requirements prescribed in Sec. 232.505, 
and shall obtain special approval from the FRA Associate Administrator 
for Safety under the procedures of Sec. 232.17 prior to using such brake 
system technology in revenue service.



Sec. 232.505  Pre-revenue service acceptance testing plan.

    (a) General; submission of plan. Except as provided in paragraph (f) 
of this section, before using a new brake system technology for the 
first time on its system the operating railroad or railroads shall 
submit a pre-revenue service acceptance testing plan containing the 
information required by paragraph (e) of this section and obtain the 
approval of the FRA Associate Administrator for Safety, under the 
procedures specified in Sec. 232.17.
    (b) Compliance with plan. After receiving FRA approval of the pre-
revenue service testing plan and before introducing the new brake system 
technology into revenue service, the operating railroad or railroads 
shall:
    (1) Adopt and comply with such FRA-approved plan, including fully 
executing the tests required by the plan;
    (2) Report to the FRA Associate Administrator for Safety the results 
of the pre-revenue service acceptance tests;
    (3) Correct any safety deficiencies identified by FRA in the design 
of the equipment or in the inspection, testing, and maintenance 
procedures or, if safety deficiencies cannot be corrected by design or 
procedural changes, agree to comply with any operational limitations 
that may be imposed by the Associate Administrator for Safety on the 
revenue service operation of the equipment; and
    (4) Obtain FRA approval to place the new brake system technology in 
revenue service.
    (c) Compliance with limitations. The operating railroad shall comply 
with each operational limitation, if any, imposed by the Associate 
Administrator for Safety.
    (d) Availability of plan. The plan shall be made available to FRA 
for inspection and copying upon request.
    (e) Elements of plan. The plan shall include all of the following 
elements:
    (1) An identification of each waiver, if any, of FRA or other 
Federal safety regulations required for the tests or for revenue service 
operation of the equipment.
    (2) A clear statement of the test objectives. One of the principal 
test objectives shall be to demonstrate that the equipment meets the 
safety design and performance requirements specified in this part when 
operated in the environment in which it is to be used.
    (3) A planned schedule for conducting the tests.
    (4) A description of the railroad property or facilities to be used 
to conduct the tests.
    (5) A detailed description of how the tests are to be conducted. 
This description shall include:
    (i) An identification of the equipment to be tested;
    (ii) The method by which the equipment is to be tested;
    (iii) The criteria to be used to evaluate the equipment's 
performance; and
    (iv) The means by which the test results are to be reported to FRA.
    (6) A description of any special instrumentation to be used during 
the tests.
    (7) A description of the information or data to be obtained.

[[Page 474]]

    (8) A description of how the information or data obtained is to be 
analyzed or used.
    (9) A description of any criteria to be used as safety limits during 
the testing.
    (10) A description of the criteria to be used to measure or 
determine the success or failure of the tests. If acceptance is to be 
based on extrapolation of less than full level testing results, the 
analysis to be done to justify the validity of the extrapolation shall 
be described.
    (11) A description of any special safety precautions to be observed 
during the testing.
    (12) A written set of standard operating procedures to be used to 
ensure that the testing is done safely.
    (13) Quality control procedures to ensure that the inspection, 
testing, and maintenance procedures are followed.
    (14) Criteria to be used for the revenue service operation of the 
equipment.
    (15) A description of all testing of the equipment that has 
previously been performed, if any.
    (f) Exception. For brake system technologies that have previously 
been used in revenue service in the United States, the railroad shall 
test the equipment on its system, prior to placing it in revenue 
service, to ensure the compatibility of the equipment with the operating 
system (track, signals, etc.) of the railroad. A description of such 
testing shall be retained by the railroad and made available to FRA for 
inspection and copying upon request.

         Appendix A to Part 232--Schedule of Civil Penalties \1\

 
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
              Subpart A--General
 
232.15 Movement of power brake defects:
    (a) Improper movement, general............          (1)          (1)
        (11) Failure to make determinations          $2,500       $5,000
         and provide notification of en route
         defect...............................
    (b) Complete failure to tag...............        2,500        5,000
        (1) Insufficient tag or record........        1,000        2,000
        (2), (4) Improper removal of tag......        2,000        4,000
        (3) Failure to retain record of tag...        2,000        4,000
    (c) Improper loading or purging...........        2,500        5,000
    (e) Improper placement of defective               2,500        5,000
     equipment................................
232.19 Availability of records................          (1)          (1)
 
        Subpart B--General Requirements
 
232.103 All train brake systems:
    (a)-(c), (h)-(i) Failure to meet general          2,500        5,000
     design requirements......................
    (d) Failure to have proper percentage of          5,000        7,500
     operative brakes from Class I brake test.
    (e) Operating with less than 85 percent           5,000        7,500
     operative brakes.........................
    (f) Improper use of car with inoperative          2,500        5,000
     or ineffective brakes....................
    (g) Improper display of piston travel.....        2,500        5,000
    (m) Failure to stop train with excess air         2,500        5,000
     flow or gradient.........................
    (n) Securement of unattended equipment:...
        (1) Failure to apply sufficient number        5,000        7,500
         of hand brakes; failure to develop or
         implement procedure to verify number
         applied..............................
        (2) Failure to initiate emergency.....        2,500        5,000
        (3) Failure to apply hand brakes on           2,500        5,000
         locomotives..........................
        (4) Failure to adopt or comply with           5,000        7,500
         procedures for securing unattended
         locomotive...........................
    (o) Improper adjustment of air regulating         2,500        5,000
     devices..................................
232.105 Locomotives:
    (a) Air brakes not in safe and suitable          1,000-       2,000-
     condition................................        5,000        7,500
    (b) Not equipped with proper hand or              5,000        7,500
     parking brake............................
    (c)(1) Failure to inspect/repair hand or          2,500        5,000
     parking brake............................
        (2) Failure to properly stencil, tag,         2,000        4,000
         or record............................
    (d) Excess leakage from equalizing                2,500        5,000
     reservoir................................
    (e) Improper use of feed or regulating            2,500        5,000
     valve braking............................
    (f) Improper use of passenger position....        2,500        5,000
    (g) Brakes in operative condition.........        2,500        5,000

[[Page 475]]

 
232.107 Air sources/cold weather operations:
    (a)(1), (2) Failure to adopt or comply            5,000        7,500
     with monitoring program for yard air
     sources..................................
        (3) Failure to maintain records.......        2,500        5,000
    (b) Failure to blow condensation..........        2,500        5,000
    (c) Use of improper chemicals.............        5,000        7,500
    (d) Failure to equip or drain yard air            2,500        5,000
     reservoirs...............................
    (e) Failure to adopt or comply cold               5,000        7,500
     weather operating procedures.............
232.109 Dynamic brakes:
    (a) Failure to provide information........        5,000        7,500
    (b) Failure to make repairs...............        5,000        7,500
    (c) Failure to properly tag...............        2,500        5,000
    (d) Failure to maintain record of repair..        2,000        4,000
    (e) Improper deactivation.................        2,500        5,000
    (f) Improper use of locomotive as                 2,500        5,000
     controlling unit.........................
    (g) Locomotive not properly equipped with         2,500        5,000
     indicator................................
    (h) Rebuilt locomotive not properly               2,500        5,000
     equipped.................................
    (j) Failure to adopt or comply with               5,000        7,500
     dynamic brake operating rules............
    (k) Failure to adopt or comply with               5,000        7,500
     training on operating procedures.........
232.111 Train handling information:
    (a) Failure to adopt and comply with              5,000        7,500
     procedures...............................
    (b) Failure to provide specific                   2,500        5,000
     information..............................
 
Subpart C--Inspection and Testing Requirements
 
232.203 Training requirements:
    (a) Failure to develop or adopt program...        7,500       11,000
    (b)(1)-(9) Failure to address or comply           5,000        7,500
     with specific required item or provision
     of program...............................
    (c) Failure to adopt or comply with two-          5,000        7,500
     way EOT program..........................
    (d) Failure to adopt or comply with               5,000        7,500
     retaining valve program..................
    (e) Failure to maintain adequate records..        5,000        7,500
    (f) Failure to adopt and comply with              7,500       11,000
     periodic assessment plan.................
232.205 Class I brake test--initial terminal
 inspection:
    (a) Complete failure to perform inspection     1 10,000       15,000
    (b)(1)-(4), (6)-(8) Partial failure to            5,000        7,500
     perform inspection.......................
    (b)(5) Failure to properly adjust piston          2,500        5,000
     travel (per car).........................
    (c) Failure to use carman when required...        5,000        7,500
    (d) Failure to provide proper notification        2,500        5,000
    (e) Failure to void compressed air........        2,500        5,000
    (f) Failure to perform inspection on cars         5,000        7,500
     added....................................
232.207 Class IA brake tests--1,000-mile
 inspection:
    (a) Complete failure to perform inspection     1 15,000        7,500
    (b)(1)-(6) Partial failure to perform             2,500        5,000
     inspection...............................
    (c) Failure to properly designate location        5,000        7,500
    (c)(1) Failure to perform at designated           5,000        7,500
     location.................................
    (c)(2) Failure to provide notification....        2,500        5,000
232.209 Class II brake tests--intermediate
 inspection:
    (a) Complete failure to perform inspection      1 5,000        7,500
    (b)(1)-(5), (c) Partial failure to perform        2,500        5,000
     inspection...............................
232.211 Class III brake tests--trainline
 continuity inspection:
    (a) Complete failure to perform inspection        5,000        7,500
    (b)(1)-(4), (c) Partial failure to perform        2,500        5,000
     inspection...............................
232.213 Extended haul trains:
    (a)(1) Failure to properly designate an           5,000        7,500
     extended haul train......................
    (a)(2)-(3), (5)(i), (8) Failure to perform          (2)          (2)
     inspections..............................
    (a)(4) Failure to remove defective car            2,000        4,000
     (per car)................................
    (a)(5)(ii), (6) Failure to conduct inbound        5,000        7,500
     inspection...............................
    (a)(7) Failure to maintain record of              2,000        4,000
     defects (per car)........................
232.215 Transfer train brake tests:
    (a) Failure to perform inspection.........        5,000        7,500
    (b) Failure to perform on cars added......        2,500        5,000
232.217 Train brake system tests conducted
 using yard air:
    (a) Failure to use suitable device........        2,500        5,000
    (b) Improper connection of air test device        5,000        7,500
    (c) Failure to properly perform inspection          (2)          (2)
    (d) Failure to calibrate test device......        2,500        5,000
    (e) Failure to use accurate device........        2,500        5,000
232.219 Double heading and helper service:
    (a) Failure to perform inspection or              2,500        5,000
     inability to control brakes..............

[[Page 476]]

 
    (b) Failure to make visual inspection.....        2,500        5,000
    (c) Use of improper helper link device....        2,500        5,000
 
  Subpart D--Periodic Maintenance and Testing
                 Requirements
 
232.303 General requirements:
    (b)-(d) Failure to conduct inspection or          2,500        5,000
     test when car on repair track............
    (e) Improper movement of equipment for            2,500        5,000
     testing..................................
    (e)(1) Failure to properly tag equipment          2,000        5,000
     for movement.............................
    (e)(2)-(4) Failure to retain record or            2,000        4,000
     improper removal of tag or card..........
    (f) Failure to stencil or track test              2,500        5,000
     information..............................
232.305 Single car air brake tests:
    (a) Failure to test in accord with                2,500        5,000
     required procedure.......................
    (b)-(e) Failure to perform test...........        2,500        5,000
232.309 Repair track air brake test and single
 car test equipment and devices:
    (a)-(f) Failure to properly test or               2,500        5,000
     calibrate................................
 
        Subpart E--End-of-Train Devices
 
232.403 Design standards for one-way devices:
    (a)-(g) Failure to meet standards.........        2,500        5,000
232.405 Design standards for two-way devices:
    (a)-(i) Failure to meet standards.........        2,500        5,000
232.407 Operating requirements for two-way
 devices:
    (b) Failure to equip a train..............        5,000        7,500
    (c) Improper purchase.....................        2,500        5,000
    (f)(1) Failure of device to be armed and          5,000        7,500
     operable.................................
    (f)(2) Insufficient battery charge........        2,500        5,000
    (f)(3) Failure to activate the device.....        2,500        5,000
    (g) Improper handling of en route failure,        5,000        7,500
     freight or other non-passenger...........
    (h) Improper handling of en route failure,        5,000        7,500
     passenger................................
232.409 Inspection and testing of devices:
    (a) Failure to have unique code...........        2,500        5,000
    (b) Failure to compare quantitative values        2,500        5,000
    (c) Failure to test emergency capability..        5,000        7,500
    (d) Failure to properly calibrate.........        2,500        5,000
 
  Subpart F--Introduction of New Brake System
                  Technology
 
232.503 Process to introduce new technology:
    (b) Failure to obtain FRA approval........       10,000       15,000
232.505 Pre-revenue service acceptance testing
 plan:
    (a) Failure to obtain FRA approval........        5,000        7,500
    (b) Failure to comply with plan...........        2,500        5,000
    (f) Failure to test previously used               5,000       7,500
     technology...............................
------------------------------------------------------------------------
1 A penalty may be assessed against an individual only for a willful
  violation. Generally when two or more violations of these regulations
  are discovered with respect to a single unit of equipment that is
  placed or continued in service by a railroad, the appropriate
  penalties set forth above are aggregated up to a maximum of $11,000
  per day. An exception to this rule is the $15,000 penalty for willful
  violation of Sec.  232.503 (failure to get FRA approval before
  introducing new technology) with respect to a single unit of
  equipment; if the unit has additional violative conditions, the
  penalty may routinely be aggregated to $15,000. Although the penalties
  listed for failure to perform the brake inspections and tests under
  Sec.  232.205 through Sec.  232.209 may be assessed for each train
  that is not properly inspected, failure to perform any of the
  inspections and tests required under those sections will be treated as
  a violation separate and distinct from, and in addition to, any
  substantive violative conditions found on the equipment contained in
  the train consist. Moreover, the Administrator reserves the right to
  assess a penalty of up to $22,000 for any violation where
  circumstances warrant. See 49 CFR part 209, appendix A.
Failure to observe any condition for movement of defective equipment set
  forth in Sec.  232.15(a) will deprive the railroad of the benefit of
  the movement-for-repair provision and make the railroad and any
  responsible individuals liable for penalty under the particular
  regulatory section(s) concerning the substantive defect(s) present on
  the equipment at the time of movement.
Failure to provide any of the records or plans required by this part
  pursuant to Sec.  232.19 will be considered a failure to maintain or
  develop the record or plan and will make the railroad liable for
  penalty under the particular regulatory section(s) concerning the
  retention or creation of the document involved.
Failure to properly perform any of the inspections specifically
  referenced in Sec.  232.213 and Sec.  232.217 may be assessed under
  each section of this part or this chapter, or both, that contains the
  requirements for performing the referenced inspection.


[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 39689, Aug. 1, 2001; 67 
FR 17584, Apr. 10, 2002]

  Appendix B to Part 232--Part 232 Prior to May 31, 2001 as Clarified 
                        Effective April 10, 2002

              PART 232--RAILROAD POWER BRAKES AND DRAWBARS

Sec.
232.0 Applicability and penalties.
232.1 Power brakes; minimum percentage.
232.2 Drawbars; standard height.
232.3 Power brakes and appliances for operating power-brake systems.

[[Page 477]]

232.10 General rules; locomotives.
232.11 Train air brake system tests.
232.12 Initial terminal road train airbrake tests.
232.13 Road train and intermediate terminal train air brake tests.
232.14 Inbound brake equipment inspection.
232.15 Double heading and helper service.
232.16 Running tests.
232.17 Freight and passenger train car brakes.
232.19 End of train device.
Appendix A to Part 232
Appendix B to Part 232

Authority: 45 U.S.C. 1, 3, 5, 6, 8-12, and 16, as amended; 45 U.S.C. 
431, 438, as amended; 49 app. U.S.C. 1655(e), as amended; Pub. L. 100-
342; and 49 CFR 1.49(c), (g), and (m).

                   I. Part 232 prior to May 31, 2001.

                 Sec. 232.0 Applicability and penalties.

    (a) Except as provided in paragraph (b), this part applies to all 
standard gage railroads.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (c) As used in this part, carrier means ``railroad,'' as that term 
is defined below.
    (d) Railroad means all forms of non-highway ground transportation 
that run on rails or electromagnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    (e) Any person (including a railroad and any manager, supervisor, 
official, or other employee or agent of a railroad) who violates any 
requirement of this part or causes the violation of any such requirement 
is subject to a civil penalty of at least $250 and not more than $10,000 
per violation, except that: Penalties may be assessed against 
individuals only for willful violations, and, where a grossly negligent 
violation or a pattern of repeated violations has created an imminent 
hazard of death or injury to persons, or has caused death or injury, a 
penalty not to exceed $20,000 per violation may be assessed. Each day a 
violation continues shall constitute a separate offense.

              Sec. 232.1 Power brakes; minimum percentage.

    On and after September 1, 1910, on all railroads used in interstate 
commerce, whenever, as required by the Safety Appliance Act as amended 
March 2, 1903, any train is operated with power or train brakes, not 
less than 85 percent of the cars of such train shall have their brakes 
used and operated by the engineer of the locomotive drawing such train, 
and all power-brake cars in every such train which are associated 
together with the 85 percent shall have their brakes so used and 
operated.

                  Sec. 232.2 Drawbars; standard Height.

    Not included in this Appendix. Moved to 49 CFR part 231.

    Sec. 232.3 Power brakes and appliances for operating power-brake 
                                systems.

    (a) The specifications and requirement for power brakes and 
appliances for operating power-brake systems for freight service set 
forth in the appendix to the report on further hearing, of May 30, 1945, 
are hereby adopted and prescribed. (See appendix to this part for order 
in Docket 13528.)

  Rules for Inspection, Testing and Maintenance of Air Brake Equipment

                 Sec. 232.10 General rules; locomotives.

    (a) Air brake and hand brake equipment on locomotives including 
tender must be inspected and maintained in accordance with the 
requirements of the Locomotive Inspection and United States Safety 
Appliance Acts and related orders and regulations of the Federal 
Railroad Administrator (FRA).
    (b) It must be known that air brake equipment on locomotives is in a 
safe and suitable condition for service.
    (c) Compressor or compressors must be tested for capacity by orifice 
test as often as conditions require but not less frequently than 
required by law and orders of the FRA.
    (d) Main reservoirs shall be subjected to tests periodically as 
required by law and orders of the FRA.
    (e) Air gauges must be tested periodically as required by law and 
orders of the FRA, and whenever any irregularity is reported. They shall 
be compared with an accurate deadweight tester, or test gauge. Gauges 
found inaccurate or defective must be repaired or replaced.
    (f)(1) All operating portions of air brake equipment together with 
dirt collectors and filters must be cleaned, repaired and tested as 
often as conditions require to maintain them in a safe and suitable 
condition for service, and not less frequently than required by law and 
orders of the FRA.
    (2) On locomotives so equipped, hand brakes, parts, and connections 
must be inspected, and necessary repairs made as often

[[Page 478]]

as the service requires, with date being suitably stenciled or tagged.
    (g) The date of testing or cleaning of air brake equipment and the 
initials of the shop or station at which the work was done shall be 
placed on a card displayed under transparent covering in the cab of each 
locomotive unit.
    (h)(1) Minimum brake cylinder piston travel must be sufficient to 
provide proper brake shoe clearance when brakes are released.
    (2) Maximum brake cylinder piston travel when locomotive is standing 
must not exceed the following:

------------------------------------------------------------------------
                                                                Inches
------------------------------------------------------------------------
Steam locomotives:
    Cam type of driving wheel brake........................       3\1/2\
    Other types of driving wheel brakes....................            6
    Engine truck brake.....................................            8
    Engine trailer truck brake.............................            8
    Tender brake (truck mounted and tender bed mounted)....            8
    Tender brake (body mounted)............................            9
Locomotives other than steam:
    Driving wheel brake....................................            6
    Swivel type truck brake with brakes on more than one               7
     truck operated by one brake cylinder..................
    Swivel type truck brake equipped with one brake                    8
     cylinder..............................................
    Swivel type truck brake equipped with two or more brake            6
     cylinders.............................................
------------------------------------------------------------------------

    (i)(1) Foundation brake rigging, and safety supports, where used, 
must be maintained in a safe and suitable condition for service. Levers, 
rods, brake beams, hangars and pins must be of ample strength and must 
not bind or foul in any way that will affect proper operation of brakes. 
All pins must be properly applied and secured in place with suitable 
locking devices. Brake shoes must be properly applied and kept 
approximately in line with treads of wheels or other braking surfaces.
    (2) No part of the foundation brake rigging and safety supports 
shall be closer to the rails than specified by law and orders of the 
FRA.
    (j)(1) Main reservoir leakage: Leakage from main air reservoir and 
related piping shall not exceed an average of 3 pounds per minute in a 
test of three minutes' duration, made after the pressure has been 
reduced 40 percent below maximum pressure.
    (2) Brake pipe leakage: Brake pipe leakage must not exceed 5 pounds 
per minute after a reduction of 10 pounds has been made from brake pipe 
air pressure of not less than 70 pounds.
    (3) Brake cylinder leakage: With a full service application of 
brakes, and with communication to the brake cylinders closed, brakes 
must remain applied not less than five minutes.
    (4) The main reservoir system of each unit shall be equipped with at 
least one safety valve, the capacity of which shall be sufficient to 
prevent an accumulation of pressure of more than 10 pounds per square 
inch above the maximum setting of the compressor governor fixed by the 
chief mechanical officer of the carrier operating the locomotive.
    (5) A suitable governor shall be provided that will stop and start 
the air compressor within 5 pounds above or below the pressures fixed.
    (6) Compressor governor when used in connection with the automatic 
air brake system shall be so adjusted that the compressor will start 
when the main reservoir pressure is not less than 15 pounds above the 
maximum brake-pipe pressure fixed by the rules of the carrier and will 
not stop the compressor until the reservoir pressure has increased not 
less than 10 pounds.
    (k) The communicating signal system on locomotives when used in 
passenger service must be tested and known to be in a safe and suitable 
condition for service before each trip.
    (l) Enginemen when taking charge of locomotives must know that the 
brakes are in operative condition.
    (m) In freezing weather drain cocks on air compressors of steam 
locomotives must be left open while compressors are shut off.
    (n) Air pressure regulating devices must be adjusted for the 
following pressures:

------------------------------------------------------------------------
                                                                Pounds
------------------------------------------------------------------------
Locomotives:
    (1) Minimum brake pipe air pressure:
        Road Service.......................................           70
        Switch Service.....................................           60
    (2) Minimum differential between brake pipe and main              15
     reservoir air pressures, with brake valve in running
     position..............................................
    (3) Safety valve for straight air brake................        30-55
    (4) Safety valve for LT, ET, No. 8-EL, No. 14 El, No. 6-       30-68
     DS, No. 6-BL and No. 6-SL equipment...................
    (5) Safety valve for HSC and No. 24-RL equipment.......        30-75
    (6) Reducing valve for independent or straight air             30-50
     brake.................................................
    (7) Self-lapping portion for electro-pneumatic brake              50
     (minimum full application pressure)...................
    (8) Self-lapping portion for independent air brake             30-50
     (full application pressure)...........................
    (9) Reducing valve for air signal......................        40-60
    (10) Reducing valve for high-speed brake (minimum).....           50
Cars:
    (11) Reducing valve for high-speed brake...............        58-62
    (12) Safety valve for PS, LN, UC, AML, AMU and AB-1-B          58-62
     air brakes............................................
    (13) Safety valve for HSC air brake....................        58-77
    (14) Governor valve for water raising system...........           60
    (15) Reducing valve for water raising system...........        20-30
------------------------------------------------------------------------


[[Page 479]]

                Sec. 232.11 Train Air Brake System Tests.

    (a) Supervisors are jointly responsible with inspectors, enginemen 
and trainmen for condition of train air brake and air signal equipment 
on motive power and cars to the extent that it is possible to detect 
defective equipment by required air tests.
    (b) Communicating signal system on passenger equipment trains must 
be tested and known to be in a suitable condition for service before 
leaving terminal.
    (c) Each train must have the air brakes in effective operating 
condition, and at no time shall the number and location of operative air 
brakes be less than permitted by Federal requirements. When piston 
travel is in excess of 10\1/2\ inches, the air brakes cannot be 
considered in effective operating condition.
    (d) Condensation must be blown from the pipe from which air is taken 
before connecting yard line or motive power to train.

         Sec. 232.12 Initial Terminal Road Train Airbrake Tests.

    (a)(1) Each train must be inspected and tested as specified in this 
section by a qualified person at points--
    (i) Where the train is originally made up (initial terminal);
    (ii) Where train consist is changed, other than by adding or 
removing a solid block of cars, and the train brake system remains 
charged; and
    (iii) Where the train is received in interchange if the train 
consist is changed other than by--
    (A) Removing a solid block of cars from the head end or rear end of 
train;
    (B) Changing motive power;
    (C) Removing or changing the caboose; or
    (D) Any combination of the changes listed in (A), (B), and (C) of 
this subparagraph.
    Where a carman is to perform the inspection and test under existing 
or future collective bargaining agreement, in those circumstances a 
carman alone will be considered a qualified person.
    (2) A qualified person participating in the test and inspection or 
who has knowledge that it was made shall notify the engineer that the 
initial terminal road train air brake test has been satisfactorily 
performed. The qualified person shall provide the notification in 
writing if the road crew will report for duty after the qualified person 
goes off duty. The qualified person also shall provide the notification 
in writing if the train that has been inspected is to be moved in excess 
of 500 miles without being subjected to another test pursuant to either 
this section or Sec. 232.13 of this part.
    (b) Each carrier shall designate additional inspection points not 
more than 1,000 miles apart where intermediate inspection will be made 
to determine that--
    (1) Brake pipe pressure leakage does not exceed five pounds per 
minute;
    (2) Brakes apply on each car in response to a 20-pound service brake 
pipe pressure reduction; and
    (3) Brake rigging is properly secured and does not bind or foul.
    (c) Train airbrake system must be charged to required air pressure, 
angle cocks and cutout cocks must be properly positioned, air hose must 
be properly coupled and must be in condition for service. An examination 
must be made for leaks and necessary repairs made to reduce leakage to a 
minimum. Retaining valves and retaining valve pipes must be inspected 
and known to be in condition for service. If train is to be operated in 
electro-pneumatic brake operation, brake circuit cables must be properly 
connected.
    (d)(1) After the airbrake system on a freight train is charged to 
within 15 pounds of the setting of the feed valve on the locomotive, but 
to not less than 60 pounds, as indicated by an accurate gauge at rear 
end of train, and on a passenger train when charged to not less than 70 
pounds, and upon receiving the signal to apply brakes for test, a 15-
pound brake pipe service reduction must be made in automatic brake 
operations, the brake valve lapped, and the number of pounds of brake 
pipe leakage per minute noted as indicated by brake pipe guage, after 
which brake pipe reduction must be increased to full service. Inspection 
of the train brakes must be made to determine that angle cocks are 
properly positioned, that the brakes are applied on each car, that 
piston travel is correct, that brake rigging does not bind or foul, and 
that all parts of the brake equipment are properly secured. When this 
inspection has been completed, the release signal must be given and 
brakes released and each brake inspected to see that all have released.
    (2) When a passenger train is to be operated in electro-pneumatic 
brake operation and after completion of test of brakes as prescribed by 
paragraph (d)(1) of this section the brake system must be recharged to 
not less than 90 pounds air pressure, and upon receiving the signal to 
apply brakes for test, a minimum 20 pounds electro-pneumatic brake 
application must be made as indicated by the brake cylinder gage. 
Inspection of the train brakes must then be made to determine if brakes 
are applied on each car. When this inspection has been completed, the 
release signal must be given and brakes released and each brake 
inspected to see that all have released.
    (3) When the locomotive used to haul the train is provided with 
means for maintaining brake pipe pressure at a constant level during 
service application of the train brakes, this feature must be cut out 
during train airbrake tests.

[[Page 480]]

    (e) Brake pipe leakage must not exceed 5 pounds per minute.
    (f)(1) At initial terminal piston travel of body-mounted brake 
cylinders which is less than 7 inches or more than 9 inches must be 
adjusted to nominally 7 inches.
    (2) Minimum brake cylinder piston travel of truck-mounted brake 
cylinders must be sufficient to provide proper brake shoe clearance when 
brakes are released. Maximum piston travel must not exceed 6 inches.
    (3) Piston travel of brake cylinders on freight cars equipped with 
other than standard single capacity brake, must be adjusted as indicated 
on badge plate or stenciling on car located in a conspicuous place near 
the brake cylinder.
    (g) When test of airbrakes has been completed the engineman and 
conductor must be advised that train is in proper condition to proceed.
    (h) During standing test, brakes must not be applied or released 
until proper signal is given.
    (i)(1) When train airbrake system is tested from a yard test plant, 
an engineer's brake valve or an appropriate test device shall be used to 
provide increase and reduction of brake pipe air pressure or electro-
pneumatic brake application and release at the same or a slower rate as 
with engineer's brake valve and yard test plant must be connected to the 
end which will be nearest to the hauling road locomotive.
    (2) When yard test plant is used, the train airbrakes system must be 
charged and tested as prescribed by paragraphs (c) to (g) of this 
section inclusive, and when practicable should be kept charged until 
road motive power is coupled to train, after which, an automatic brake 
application and release test of airbrakes on rear car must be made. If 
train is to be operated in electro-pneumatic brake operation, this test 
must also be made in electro-pneumatic brake operation before 
proceeding.
    (3) If after testing the brakes as prescribed in paragraph (i)(2) of 
this section the train is not kept charged until road motive power is 
attached, the brakes must be tested as prescribed by paragraph (d)(1) of 
this section and if train is to be operated in electro-pneumatic brake 
operation as prescribed by paragraph (d)(2) of this section.
    (j) Before adjusting piston travel or working on brake rigging, 
cutout cock in brake pipe branch must be closed and air reservoirs must 
be drained. When cutout cocks are provided in brake cylinder pipes, 
these cutout cocks only may be closed and air reservoirs need not be 
drained.

 Sec. 232.13 Road train and intermediate terminal train air brake tests.

    (a) Passenger trains. Before motive power is detached or angle cocks 
are closed on a passenger train operated in either automatic or electro-
pneumatic brake operation, except when closing angle cocks for cutting 
off one or more cars from the rear end of train, automatic air brake 
must be applied. After recouping, brake system must be recharged to 
required air pressure and before proceeding and upon receipt of proper 
request or signal, application and release tests of brakes on rear car 
must be made from locomotive in automatic brake operation. If train is 
to be operated in electro-pneumatic brake operation, this test must also 
be made in electro-pneumatic brake operation before proceeding. 
Inspector or trainman must determine if brakes on rear car of train 
properly apply and release.
    (b) Freight trains. Before motive power is detached or angle cocks 
are closed on a freight train, brakes must be applied with not less than 
a 20-pound brake pipe reduction. After recoupling, and after angle cocks 
are opened, it must be known that brake pipe air pressure is being 
restored as indicated by a rear car gauge or device. In the absence of a 
rear car gauge or device, an air brake test must be made to determine 
that the brakes on the rear car apply and release.
    (c)(1)At a point other than an initial terminal where a locomotive 
or caboose is changed, or where one or more consecutive cars are cut off 
from the rear end or head end of a train with the consist otherwise 
remaining intact, after the train brake system is charged to within 15 
pounds of the feed valve setting on the locomotive, but not less than 60 
pounds as indicated at the rear of a freight train and 70 pounds on a 
passenger train, a 20-pound brake pipe reduction must be made and it 
must be determined that the brakes on the rear car apply and release. As 
an alternative to the rear car brake application and release test, it 
shall be determined that brake pipe pressure of the train is being 
reduced as indicated by a rear car gauge or device and then that brake 
pipe pressure of the train is being restored as indicated by a rear car 
gauge or device.
    (2) Before proceeding it must be known that brake pipe pressure as 
indicated at rear of freight train is being restored.
    (3) On trains operating with electro-pneumatic brakes, with brake 
system charged to not less than 70 pounds, test must be made to 
determine that rear brakes apply and release properly from a minimum 20 
pounds electro-pneumatic brake application as indicated by brake 
cylinder gauge.
    (d)(1) At a point other than a terminal where one or more cars are 
added to a train, after the train brake system is charged to not less 
than 60 pounds as indicated by a gauge or device at the rear of a 
freight train and 70 pounds on a passenger train. A brake test must be 
made by a designated person as described in Sec. 232.12 (a)(1) to 
determine that brake pipe leakage does not exceed five (5) pounds per 
minute as indicated by the brake

[[Page 481]]

pipe gauge after a 20-pound brake pipe reduction has been made. After 
the test is completed, it must be determined that piston travel is 
correct, and the train airbrakes of these cars and on the rear car of 
the train apply and remain applied, until the release signal is given. 
As an alternative to the rear car brake application and release portion 
of the test, it shall be determined that brake pipe pressure of the 
train is being reduced as indicated by a rear car gauge or device and 
then that brake pipe pressure of the train is being restored as 
indicated by a rear car gauge or device. Cars added to a train that have 
not been inspected in accordance with Sec. 232.12 (c) through (j) must 
be so inspected and tested at the next terminal where facilities are 
available for such attention.
    (d)(2)(i) At a terminal where a solid block of cars, which has been 
previously charged and tested as prescribed by Sec. 232.13 (c) through 
(j), is added to a train, it must be determined that the brakes on the 
rear car of the train apply and release. As an alternative to the rear 
car application and release test, it shall be determined that brake pipe 
pressure of the train is being reduced as indicated by a rear car gauge 
or device and then that brake pipe pressure of the train is being 
restored as indicated by a rear car gauge or device.
    (d)(2)(ii) When cars which have not been previously charged and 
tested as prescribed by Sec. 232.12 (c) through (j) are added to a 
train, such cars may either be given inspection and tests in accordance 
with Sec. 232.12 (c) through (j), or tested as prescribed by paragraph 
(d)(1) of this section prior to departure in which case these cars must 
be inspected and tested in accordance with Sec. 232.12 (c) through (j) 
at next terminal.
    (3) Before proceeding it must be known that the brake pipe pressure 
at the rear of freight train is being restored.
    (e)(1) Transfer train and yard train movements not exceeding 20 
miles, must have the air brake hose coupled between all cars, and after 
the brake system is charged to not less than 60 pounds, a 15 pound 
service brake pipe reduction must be made to determine that the brakes 
are applied on each car before releasing and proceeding.
    (2) Transfer train and yard train movements exceeding 20 miles must 
have brake inspection in accordance with Sec. 232.12 (c)-(j).
    (f) The automatic air brake must not be depended upon to hold a 
locomotive, cars or train, when standing on a grade, whether locomotive 
is attached or detached from cars or train. When required, a sufficient 
number of hand brakes must be applied to hold train, before air brakes 
are released. When ready to start, hand brakes must not be released 
until it is known that the air brake system is properly charged.
    (g) As used in this section, device means a system of components 
designed and inspected in accordance with Sec. 232.19.
    (h) When a device is used to comply with any test requirement in 
this section, the phrase brake pipe pressure of the train is being 
reduced means a pressure reduction of at least five pounds and the 
phrase brake pipe pressure of the train is being restored means a 
pressure increase of at least five pounds.

             Sec. 232.14 Inbound Brake Equipment Inspection.

    (a) At points where inspectors are employed to make a general 
inspection of trains upon arrival at terminals, visual inspection must 
be made of retaining valves and retaining valve pipes, release valves 
and rods, brake rigging, safety supports, hand brakes, hose and position 
of angle cocks and make necessary repairs or mark for repair tracks any 
cars to which yard repairs cannot be promptly made.
    (b) Freight trains arriving at terminals where facilities are 
available and at which special instructions provide for immediate brake 
inspection and repairs, trains shall be left with air brakes applied by 
a service brake pipe reduction of 20 pounds so that inspectors can 
obtain a proper check of the piston travel. Trainmen will not close any 
angle cock or cut the locomotive off until the 20 pound service 
reduction has been made. Inspection of the brakes and needed repairs 
should be made as soon thereafter as practicable.

             Sec. 232.15 Double Heading and Helper Service.

    (a) When more than one locomotive is attached to a train, the 
engineman of the leading locomotive shall operate the brakes. On all 
other motive power units in the train the brake pipe cutout cock to the 
brake valve must be closed, the maximum main reservoir pressure 
maintained and brake valve handles kept in the prescribed position. In 
case it becomes necessary for the leading locomotive to give up control 
of the train short of the destination of the train, a test of the brakes 
must be made to see that the brakes are operative from the automatic 
brake valve of the locomotive taking control of the train.
    (b) The electro-pneumatic brake valve on all motive power units 
other than that which is handling the train must be cut out, handle of 
brake valve kept in the prescribed position, and air compressors kept 
running if practicable.

                       Sec. 232.16 Running Tests.

    When motive power, engine crew or train crew has been changed, angle 
cocks have been closed except for cutting off one or more cars from the 
rear end of train or

[[Page 482]]

electro-pneumatic brake circuit cables between power units and/or cars 
have been disconnected, running test of train air brakes on passenger 
train must be made, as soon as speed of train permits, by use of 
automatic brake if operating in automatic brake operation or by use of 
electro-pneumatic brake if operating in electro-pneumatic brake 
operation. Steam or power must not be shut off unless required and 
running test must be made by applying train air brakes with sufficient 
force to ascertain whether or not brakes are operating properly. If air 
brakes do not properly operate, train must be stopped, cause of failure 
ascertained and corrected and running test repeated.

           Sec. 232.17 Freight and passenger train car brakes.

    (a) Testing and repairing brakes on cars while on shop or repair 
tracks. (1) When a freight car having brake equipment due for periodic 
attention is on shop or repair tracks where facilities are available for 
making air brake repairs, brake equipment must be given attention in 
accordance with the requirements of the currently effective AAR Code of 
Rules for cars in interchange. Brake equipment shall then be tested by 
use of a single car testing device as prescribed by the currently 
effective AAR Code of Tests.
    (2)(i) When a freight car having an air brake defect is on a shop or 
repair track, brake equipment must be tested by use of a single car 
testing device as prescribed by currently effective AAR Code of Tests.
    (ii) All freight cars on shop or repair tracks shall be tested to 
determine that the air brakes apply and release. Piston travel on a 
standard body mounted brake cylinder which is less than 7 inches or more 
than 9 inches must be adjusted to nominally 7 inches. Piston travel of 
brake cylinders on all freight cars equipped with other than standard 
single capacity brake, must be adjusted as indicated on badge plate or 
stenciling on car located in a conspicuous place near brake cylinder. 
After piston travel has been adjusted and with brakes released, 
sufficient brake shoe clearance must be provided.
    (iii) When a car is equipped for use in passenger train service not 
due for periodical air brake repairs, as indicated by stenciled or 
recorded cleaning dates, is on shop or repair tracks, brake equipment 
must be tested by use of single car testing device as prescribed by 
currently effective AAR Code of Tests. Piston travel of brake cylinders 
must be adjusted if required, to the standard travel for that type of 
brake cylinder. After piston travel has been adjusted and with brakes 
released, sufficient brake shoe clearance must be provided.
    (iv) Before a car is released from a shop or repair track, it must 
be known that brake pipe is securely clamped, angle cocks in proper 
position with suitable clearance, valves, reservoirs and cylinders tight 
on supports and supports securely attached to car.
    (b)(1) Brake equipment on cars other than passenger cars must be 
cleaned, repaired, lubricated and tested as often as required to 
maintain it in a safe and suitable condition for service but not less 
frequently than as required by currently effective AAR Code of Rules for 
cars in interchange.
    (2) Brake equipment on passenger cars must be clean, repaired, 
lubricated and tested as often as necessary to maintain it in a safe and 
suitable condition for service but not less frequently than as required 
in Standard S-045 in the Manual of Standards and Recommended Practices 
of the AAR.
    (3) Copies of the materials referred to in this section can be 
obtained from the Association of American Railroads, 1920 L Street, NW., 
Washington, DC 20036.

   Sec. 232.19 through Sec. 232.25 Provisions related to end-of-train 
                                devices.

    Not included in this Appendix as they are contained in Subpart E of 
this rule.

               II. Clarification effective April 10, 2002.

    This subdivision II contains the following clarifications of 49 CFR 
part 232 as it read before May 31, 2001. Section 232.13(d)(2)(i) is 
amended to correct a typographical error made in 1986. See 33 FR 19679, 
51 FR 17303. Section 232.17(a)(2)(iii) is amended to clarify that the 
single car test required to be performed pursuant to this paragraph may 
be conducted in accordance with the applicable AAR Code of Tests or the 
American Public Transportation Association standard referenced in 49 CFR 
238.311(a). Section 232.17(b)(3) is amended by inserting FRA's current 
address as the location where the standards and procedures referenced in 
Sec. 232.17 can be obtained.

 Sec. 232.13 Road train and intermediate terminal train air brake tests.

                                * * * * *

    (d) * * *
    (2)(i) At a terminal where a solid block of cars, which has been 
previously charged and tested as prescribed by Sec. 232.12 (c) through 
(j), is added to a train, it must be determined that the brakes on the 
rear car of the train apply and release. As an alternative to the rear 
car application and release test, it shall be determined that brake pipe 
pressure of the train is being reduced as indicated by a rear car gauge 
or device and then that brake pipe pressure of the train is being 
restored as indicated by a rear car gauge or device.

                                * * * * *

[[Page 483]]

           Sec. 232.17 Freight and passenger train car brakes.

    (a) * * *
    (2) * * *
    (iii) When a car equipped for use in passenger train service not due 
for periodical air brake repairs, as indicated by stenciled or recorded 
cleaning dates, is on shop or repair tracks, brake equipment must be 
tested by use of single car testing device as prescribed by the 
applicable AAR Code of Tests or by the American Public Transportation 
Association (APTA) standard referenced in Sec. 238.311(a) of this 
chapter. Piston travel of brake cylinders must be adjusted if required, 
to the standard travel for that type of brake cylinder. After piston 
travel has been adjusted and with brakes released, sufficient brake shoe 
clearance must be provided.

                                * * * * *

    (b) * * *
    (3) Copies of the materials referred to in this section may be 
obtained from the Federal Railroad Administration, Office of Safety, 
RRS-14, 1120 Vermont Avenue, NW., Stop 25, Washington DC 20590.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17584, Apr. 10, 2002]



PART 233--SIGNAL SYSTEMS REPORTING REQUIREMENTS--Table of Contents




Sec.
233.1 Scope.
233.3 Application.
233.5 Accidents resulting from signal failure.
233.7 Signal failure reports.
233.9 Reports.
233.11 Civil penalties.
233.13 Criminal penalty.

Appendix A to Part 233--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 49 FR 3379, Jan. 26, 1984, unless otherwise noted.



Sec. 233.1  Scope.

    This part prescribed reporting requirements with respect to methods 
of train operation, block signal systems, interlockings, traffic control 
systems, automatic train stop, train control, and cab signal systems, or 
other similar appliances, methods, and systems.



Sec. 233.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate on standard gage track which is part 
of the general railroad system of transportation.
    (b) This part does not apply to rail rapid transit operations 
conducted over track that is used exclusively for that purpose and that 
is not part of the general system of railroad transportation.



Sec. 233.5  Accidents resulting from signal failure.

    Each carrier shall report within 24 hours to the Federal Railroad 
Administration by toll free telephone, number 800-424-0201, whenever it 
learns of the occurrence of an accident/incident arising from the 
failure of an appliance, device, method or system to function or 
indicate as required by part 236 of this title that results in a more 
favorable aspect than intended or other condition hazardous to the 
movement of a train.

    Effective Date Note: At 49 FR 3379, Jan. 26, 1984, part 233 was 
revised. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 233.7  Signal failure reports.

    Each carrier shall report within 15 days each failure of an 
appliance, device, method, or system to function or indicate as required 
by part 236 of this title that results in a more favorable aspect than 
intended or other condition hazardous to the movement of a train. Form 
FRA F6180-14, ``Signal Failure Report,'' shall be used for this purpose 
and completed in accordance with instructions printed on the form.

(Approved by the Office of Management and Budget under control number 
2130-0007)



Sec. 233.9  Reports.

    Not later than April 1, 1997 and every 5 years thereafter, each 
carrier shall file with FRA a signal system status report ``Signal 
System Five-year Report'' on a form to be provided by FRA in accordance 
with instructions and definitions provided on the report.

[61 FR 33872, July 1, 1996]



Sec. 233.11  Civil penalties.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but

[[Page 484]]

not limited to the following: a railroad; a manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[63 FR 11623, Mar. 10, 1998]



Sec. 233.13  Criminal penalty.

    Whoever knowingly and willfully--
    (a) Makes, causes to be made, or participates in the making of a 
false entry in reports required to be filed by this part; or
    (b) Files a false report or other document required to be filed by 
this part is subject to a $5,000 fine and 2 years imprisonment as 
prescribed by 49 U.S.C. 522(a) and section 209(e) of the Federal 
Railroad Safety Act of 1970, as amended (45 U.S.C. 438(e)).

         Appendix A to Part 233--Schedule of Civil Penalties\1\
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $22,000 for any violation where circumstances warrant. 
See 49 CFR part 209, appendix A.

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
233.5 Accidents resulting from signal failure.       $2,500       $5,000
233.7 Signal failure reports..................        5,000        7,500
233.9 Annual reports..........................        1,000        2,000
------------------------------------------------------------------------


[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11623, Mar. 10, 1998]



PART 234--GRADE CROSSING SIGNAL SYSTEM SAFETY--Table of Contents




                           Subpart A--General

Sec.
234.1 Scope.
234.3 Application.
234.4 Preemptive effect.
234.5 Definitions.
234.6 Penalties.

                           Subpart B--Reports

234.7 Accidents involving grade crossing signal failure.
234.9 Grade crossing signal system failure reports.

      Subpart C-- Response to Reports of Warning System Malfunction

234.101 Employee notification rules.
234.103 Timely response to report of malfunction.
234.105 Activation failure.
234.106 Partial activation.
234.107 False activation.
234.109 Recordkeeping.

             Subpart D--Maintenance, Inspection, and Testing

                          Maintenance Standards

234.201 Location of plans.
234.203 Control circuits.
234.205 Operating characteristics of warning system apparatus.
234.207 Adjustment, repair, or replacement of component.
234.209 Interference with normal functioning of system.
234.211 Security of warning system apparatus.
234.213 Grounds.
234.215 Standby power system.

[[Page 485]]

234.217 Flashing light units.
234.219 Gate arm lights and light cable.
234.221 Lamp voltage.
234.223 Gate arm.
234.225 Activation of warning system.
234.227 Train detection apparatus.
234.229 Shunting sensitivity.
234.231 Fouling wires.
234.233 Rail joints.
234.235 Insulated rail joints.
234.237 Reverse switch cut-out circuit.
234.239 Tagging of wires and interference of wires or tags with signal 
          apparatus.
234.241 Protection of insulated wire; splice in underground wire.
234.243 Wire on pole line and aerial cable.
234.245 Signs.

                          Inspections and Tests

234.247 Purpose of inspections and tests; removal from service of relay 
          or device failing to meet test requirements.
234.249 Ground tests.
234.251 Standby power.
234.253 Flashing light units and lamp voltage.
234.255 Gate arm and gate mechanism.
234.257 Warning system operation.
234.259 Warning time.
234.261 Highway traffic signal pre-emption.
234.263 Relays.
234.265 Timing relays and timing devices.
234.267 Insulation resistance tests, wires in trunking and cables.
234.269 Cut-out circuits.
234.271 Insulated rail joints, bond wires, and track connections.
234.273 Results of inspections and tests.

Appendix A to Part 234--Schedule of Civil Penalties
Appendix B to Part 234--Alternate Methods of Protection Under 49 CFR 
          234.105(c), 234.106, and 234.107(c).

    Authority: 49 U.S.C. 20103, 20107, and 49 CFR 1.49.

    Source: 61 FR 31806, June 20, 1996, unless otherwise noted.



                           Subpart A--General



Sec. 234.1  Scope.

    This part imposes minimum maintenance, inspection, and testing 
standards for highway-rail grade crossing warning systems. This part 
also prescribes standards for the reporting of failures of such systems 
and prescribes minimum actions railroads must take when such warning 
systems malfunction. This part does not restrict a railroad from 
adopting and enforcing additional or more stringent requirements not 
inconsistent with this part.



Sec. 234.3  Application.

    This part applies to all railroads except:
    (a) A railroad that exclusively operates freight trains only on 
track which is not part of the general railroad system of 
transportation;
    (b) Rapid transit operations within an urban area that are not 
connected to the general railroad system of transportation; and
    (c) A railroad that operates passenger trains only on track inside 
an installation that is insular; i.e., its operations are limited to a 
separate enclave in such a way that there is no reasonable expectation 
that the safety of the public--except a business guest, a licensee of 
the railroad or an affiliated entity, or a trespasser--would be affected 
by the operation. An operation will not be considered insular if one or 
more of the following exists on its line:
    (1) A public highway-rail crossing that is in use;
    (2) An at-grade rail crossing that is in use;
    (3) A bridge over a public road or waters used for commercial 
navigation; or
    (4) A common corridor with a railroad, i.e., its operations are 
within 30 feet of those of any railroad.



Sec. 234.4  Preemptive effect.

    Under 49 U.S.C. 20106 (formerly Sec. 205 of the Federal Railroad 
Safety Act of 1970 (45 U.S.C. 434)), issuance of these regulations 
preempts any State law, rule, regulation, order, or standard covering 
the same subject matter, except a provision directed at an essentially 
local safety hazard that is consistent with this part and that does not 
impose an undue burden on interstate commerce.



Sec. 234.5  Definitions.

    As used in this part:
    Activation failure means the failure of an active highway-rail grade 
crossing warning system to indicate the approach of a train at least 20 
seconds prior to the train's arrival at the crossing, or to indicate the 
presence of a train occupying the crossing, unless the crossing is 
provided with an alternative means of active warning to highway users of 
approaching trains. (This failure indicates to the motorist

[[Page 486]]

that it is safe to proceed across the railroad tracks when, in fact, it 
is not safe to do so.) A grade crossing signal system does not indicate 
the approach of a train within the meaning of this paragraph if--more 
than 50% of the flashing lights (not gate arm lights) on any approach 
lane to the crossing are not functioning as intended, or in the case of 
an approach lane for which two or more pairs of flashing lights are 
provided, there is not at least one flashing light pair operating as 
intended. Back lights on the far side of the crossing are not considered 
in making these determinations.
    Appropriately equipped flagger means a person other than a train 
crewmember who is equipped with a vest, shirt, or jacket of a color 
appropriate for daytime flagging such as orange, yellow, strong yellow 
green or fluorescent versions of these colors or other generally 
accepted high visibility colors. For nighttime flagging, similar outside 
garments shall be retro reflective. Acceptable hand signal devices for 
daytime flagging include `` STOP/SLOW'' paddles or red flags. For 
nighttime flagging, a flashlight, lantern, or other lighted signal shall 
be used. Inasmuch as Part VI of the Federal Highway Administration's 
Manual on Uniform Traffic Control Devices addresses standards and guides 
for flaggers and flagging equipment for highway traffic control, FRA 
recommends that railroads be aware of the standards and follow them to 
the greatest extent possible. Copies of the latest MUTCD provisions 
regarding flagging will be available from FRA, as well as FMCSA, as 
changes are made in this area.
    Credible report of system malfunction means specific information 
regarding a malfunction at an identified highway-rail crossing, supplied 
by a railroad employee, law enforcement officer, highway traffic 
official, or other employee of a public agency acting in an official 
capacity.
    False activation means the activation of a highway-rail grade 
crossing warning system caused by a condition that requires correction 
or repair of the grade crossing warning system. (This failure indicates 
to the motorist that it is not safe to cross the railroad tracks when, 
in fact, it is safe to do so.)
    Highway-rail grade crossing means a location where a public highway, 
road, street, or private roadway, including associated sidewalks and 
pathways, crosses one or more railroad tracks at grade.
    Partial activation means activation of a highway-rail grade crossing 
warning system indicating the approach of a train, however, the full 
intended warning is not provided due to one of the following conditions:
    (1) At non-gated crossings equipped with one pair of lights designed 
to flash alternately, one of the two lights does not operate properly 
(and approaching motorists can not clearly see flashing back lights from 
the warning lights on the other side of the crossing);
    (2) At gated crossings, the gate arm is not in a horizontal 
position; or
    (3) At gated crossings, any portion of a gate arm is missing if that 
portion normally had a gate arm flashing light attached.
    Train means one or more locomotives, with or without cars.
    Warning system malfunction means an activation failure, a partial 
activation, or a false activation of a highway-rail grade crossing 
warning system.



Sec. 234.6  Penalties.

    (a) Civil penalty. Any person (an entity of any type covered under 1 
U.S.C. 1, including but not limited to the following: a railroad; a 
manager, supervisor, official, or other employee or agent of a railroad; 
any owner, manufacturer, lessor, or lessee of railroad equipment, track, 
or facilities; any independent contractor providing goods or services to 
a railroad; and any employee of such owner, manufacturer, lessor, 
lessee, or independent contractor) who violates any requirement of this 
part or causes the violation of any such requirement is subject to a 
civil penalty of at least $500, but not more than $11,000 per violation, 
except that: penalties may be assessed against individuals only for 
willful violations, and where a grossly negligent violation or a pattern 
of repeated violations has created an imminent hazard of death or injury 
to persons, or has caused death or injury, a penalty not to exceed 
$22,000 per violation may be assessed. Each day a violation continues 
shall

[[Page 487]]

constitute a separate offense. Appendix A to this part contains a 
schedule of civil penalty amounts used in connection with this rule. The 
railroad is not responsible for compliance with respect to any condition 
inconsistent with the technical standards set forth in this part where 
such variance arises as a result of actions beyond the control of the 
railroad and the railroad could not have prevented the variance through 
the exercise of due diligence. The foregoing sentence does not excuse 
any instance of noncompliance resulting from the actions of the 
railroad's employees, agents, or contractors.
    (b) Criminal penalty. Whoever knowingly and willfully makes, causes 
to be made, or participates in the making of a false entry in reports 
required to be filed by this part, or files a false report or other 
document required to be filed by this part is subject to a $5,000 fine 
and 2 years imprisonment as prescribed by 49 U.S.C. 522(a) and section 
209(e) of the Federal Railroad Safety Act of 1970, as amended (45 U.S.C. 
438(e)).

[61 FR 31806, June 20, 1996, as amended at 63 FR 11623, Mar. 10, 1998]



                           Subpart B--Reports



Sec. 234.7  Accidents involving grade crossing signal failure.

    (a) Each railroad shall report to FRA every impact between on-track 
railroad equipment and an automobile, bus, truck, motorcycle, bicycle, 
farm vehicle, or pedestrian at a highway-rail grade crossing involving 
an activation failure. Notification shall be provided to the National 
Response Center within 24 hours of occurrence at (800) 424-0201. 
Complete reports shall thereafter be filed with FRA pursuant to 
Sec. 234.9 of this part (activation failure report) and 49 CFR 225.11 
(accident/ incident report).
    (b) Each telephone report must state the:
    (1) Name of the railroad;
    (2) Name, title, and telephone number of the individual making the 
report;
    (3) Time, date, and location of accident;
    (4) U. S. DOT-AAR Grade Crossing Identification Number;
    (5) Circumstances of the accident, including operating details of 
the grade crossing warning device;
    (6) Number of persons killed or injured, if any;
    (7) Maximum authorized train speed; and
    (8) Posted highway speed limit, if known.



Sec. 234.9  Grade crossing signal system failure reports.

    Each railroad shall report to FRA within 15 days each activation 
failure of a highway-rail grade crossing warning system. FRA Form No. 
6180-83, ``Highway-Rail Grade Crossing Warning System Failure Report,'' 
shall be used for this purpose and completed in accordance with 
instructions printed on the form.



      Subpart C--Response to Reports of Warning System Malfunction



Sec. 234.101  Employee notification rules.

    Each railroad shall issue rules requiring its employees to report to 
persons designated by that railroad, by the quickest means available, 
any warning system malfunction.



Sec. 234.103  Timely response to report of malfunction.

    (a) Upon receipt of a credible report of a warning system 
malfunction, a railroad having maintenance responsibility for the 
warning system shall promptly investigate the report and determine the 
nature of the malfunction. The railroad shall take appropriate action as 
required by Sec. 234.207.
    (b) Until repair or correction of the warning system is completed, 
the railroad shall provide alternative means of warning highway traffic 
and railroad employees in accordance with Secs. 234.105, 234.106 or 
234.107 of this part.
    (c) Nothing in this subpart requires repair of a warning system, if, 
acting in accordance with applicable State law, the railroad proceeds to 
discontinue or dismantle the warning system. However, until repair, 
correction, discontinuance, or dismantling of the warning system is 
completed, the railroad shall comply with this subpart to ensure the 
safety of the traveling public and railroad employees.

[[Page 488]]



Sec. 234.105  Activation failure.

    Upon receipt of a credible report of warning system malfunction 
involving an activation failure, a railroad having maintenance 
responsibility for the warning system shall promptly initiate efforts to 
warn highway users and railroad employees at the subject crossing by 
taking the following actions:
    (a) Prior to any train's arrival at the crossing, notify the train 
crew of the report of activation failure and notify any other railroads 
operating over the crossing;
    (b) Notify the law enforcement agency having jurisdiction over the 
crossing, or railroad police capable of responding and controlling 
vehicular traffic; and
    (c) Provide for alternative means of actively warning highway users 
of approaching trains, consistent with the following requirements (see 
appendix B for a summary chart of alternative means of warning):
    (1)(i) If an appropriately equipped flagger provides warning for 
each direction of highway traffic, trains may proceed through the 
crossing at normal speed.
    (ii) If at least one uniformed law enforcement officer (including a 
railroad police officer) provides warning to highway traffic at the 
crossing, trains may proceed through the crossing at normal speed.
    (2) If an appropriately equipped flagger provides warning for 
highway traffic, but there is not at least one flagger providing warning 
for each direction of highway traffic, trains may proceed with caution 
through the crossing at a speed not exceeding 15 miles per hour. Normal 
speed may be resumed after the locomotive has passed through the 
crossing.
    (3) If there is not an appropriately equipped flagger or uniformed 
law enforcement officer providing warning to highway traffic at the 
crossing, each train must stop before entering the crossing and permit a 
crewmember to dismount to flag highway traffic to a stop. The locomotive 
may then proceed through the crossing, and the flagging crewmember may 
reboard the locomotive before the remainder of the train proceeds 
through the crossing.
    (d) A locomotive's audible warning device shall be activated in 
accordance with railroad rules regarding the approach to a grade 
crossing.



Sec. 234.106  Partial activation.

    Upon receipt of a credible report of a partial activation, a 
railroad having maintenance responsibility for the warning system shall 
promptly initiate efforts to warn highway users and railroad employees 
at the subject crossing in the same manner as required for false 
activations (Sec. 234.107).



Sec. 234.107  False activation.

    Upon receipt of a credible report of a false activation, a railroad 
having maintenance responsibility for the highway-rail grade crossing 
warning system shall promptly initiate efforts to warn highway users and 
railroad employees at the crossing by taking the following actions:
    (a) Prior to a train's arrival at the crossing, notify the train 
crew of the report of false activation and notify any other railroads 
operating over the crossing;
    (b) Notify the law enforcement agency having jurisdiction over the 
crossing, or railroad police capable of responding and controlling 
vehicular traffic; and
    (c) Provide for alternative means of actively warning highway users 
of approaching trains, consistent with the following requirements (see 
Appendix B for a summary chart of alternative means of warning).
    (1)(i) If an appropriately equipped flagger is providing warning for 
each direction of highway traffic, trains may proceed through the 
crossing at normal speed.
    (ii) If at least one uniformed law enforcement officer (including a 
railroad police officer) provides warning to highway traffic at the 
crossing, trains may proceed through the crossing at normal speed.
    (2) If there is not an appropriately equipped flagger providing 
warning for each direction of highway traffic, or if there is not at 
least one uniformed law enforcement officer providing warning, trains 
with the locomotive or cab car leading, may proceed with caution

[[Page 489]]

through the crossing at a speed not exceeding 15 miles per hour. Normal 
speed may be resumed after the locomotive has passed through the 
crossing. In the case of a shoving move, a crewmember shall be on the 
ground to flag the train through the crossing.
    (3) In lieu of complying with paragraphs (c) (1) or (2) of this 
section, a railroad may temporarily take the warning system out of 
service if the railroad complies with all requirements of Sec. 234.105, 
``Activation failure.''
    (d) A locomotive's audible warning device shall be activated in 
accordance with railroad rules regarding the approach to a grade 
crossing.



Sec. 234.109  Recordkeeping.

    (a) Each railroad shall keep records pertaining to compliance with 
this subpart. Records may be kept on forms provided by the railroad or 
by electronic means. Each railroad shall keep the following information 
for each credible report of warning system malfunction:
    (1) Location of crossing (by highway name and DOT/AAR Crossing 
Inventory Number);
    (2) Time and date of receipt by railroad of report of malfunction;
    (3) Actions taken by railroad prior to repair and reactivation of 
repaired system; and
    (4) Time and date of repair.
    (b) Each railroad shall retain for at least one year (from the 
latest date of railroad activity in response to a credible report of 
malfunction) all records referred to in paragraph (a) of this section. 
Records required to be kept shall be made available to FRA as provided 
by 49 U.S.C. 20107 (formerly 208 of the Federal Railroad Safety Act of 
1970 (45 U.S.C. 437)).



             Subpart D--Maintenance, Inspection, and Testing

                          Maintenance Standards



Sec. 234.201  Location of plans.

    Plans required for proper maintenance and testing shall be kept at 
each highway-rail grade crossing warning system location. Plans shall be 
legible and correct.



Sec. 234.203  Control circuits.

    All control circuits that affect the safe operation of a highway-
rail grade crossing warning system shall operate on the fail-safe 
principle.



Sec. 234.205  Operating characteristics of warning system apparatus.

    Operating characteristics of electromagnetic, electronic, or 
electrical apparatus of each highway-rail crossing warning system shall 
be maintained in accordance with the limits within which the system is 
designed to operate.



Sec. 234.207  Adjustment, repair, or replacement of component.

    (a) When any essential component of a highway-rail grade crossing 
warning system fails to perform its intended function, the cause shall 
be determined and the faulty component adjusted, repaired, or replaced 
without undue delay.
    (b) Until repair of an essential component is completed, a railroad 
shall take appropriate action under Sec. 234.105, Activation failure, 
Sec. 234.106, Partial activation, or Sec. 234.107, False activation, of 
this part.



Sec. 234.209  Interference with normal functioning of system.

    (a) The normal functioning of any system shall not be interfered 
with in testing or otherwise without first taking measures to provide 
for safety of highway traffic that depends on normal functioning of such 
system.
    (b) Interference includes, but is not limited to:
    (1) Trains, locomotives or other railroad equipment standing within 
the system's approach circuit, other than normal train movements or 
switching operations, where the warning system is not designed to 
accommodate those activities.
    (2) Not providing alternative methods of maintaining safety for the 
highway user while testing or performing work on the warning systems or 
on track and other railroad systems or structures which may affect the 
integrity of the warning system.

[[Page 490]]



Sec. 234.211  Security of warning system apparatus.

    Highway-rail grade crossing warning system apparatus shall be 
secured against unauthorized entry.



Sec. 234.213  Grounds.

    Each circuit that affects the proper functioning of a highway-rail 
grade crossing warning system shall be kept free of any ground or 
combination of grounds that will permit a current flow of 75 percent or 
more of the release value of any relay or electromagnetic device in the 
circuit. This requirement does not apply to: circuits that include track 
rail; alternating current power distribution circuits that are grounded 
in the interest of safety; and common return wires of grounded common 
return single break circuits.



Sec. 234.215  Standby power system.

    A standby source of power shall be provided with sufficient capacity 
to operate the warning system for a reasonable length of time during a 
period of primary power interruption. The designated capacity shall be 
specified on the plans required by Sec. 234.201 of this part.

[66 FR 49560, Sept. 28, 2001]



Sec. 234.217  Flashing light units.

    (a) Each flashing light unit shall be properly positioned and 
aligned and shall be visible to a highway user approaching the crossing.
    (b) Each flashing light unit shall be maintained to prevent dust and 
moisture from entering the interior of the unit. Roundels and reflectors 
shall be clean and in good condition.
    (c) All light units shall flash alternately. The number of flashes 
per minute for each light unit shall be 35 minimum and 65 maximum.



Sec. 234.219  Gate arm lights and light cable.

    Each gate arm light shall be maintained in such condition to be 
properly visible to approaching highway users. Lights and light wire 
shall be secured to the gate arm.



Sec. 234.221  Lamp voltage.

    The voltage at each lamp shall be maintained at not less than 85 
percent of the prescribed rating for the lamp.



Sec. 234.223  Gate arm.

    Each gate arm, when in the downward position, shall extend across 
each lane of approaching highway traffic and shall be maintained in a 
condition sufficient to be clearly viewed by approaching highway users. 
Each gate arm shall start its downward motion not less than three 
seconds after flashing lights begin to operate and shall assume the 
horizontal position at least five seconds before the arrival of any 
normal train movement through the crossing. At those crossings equipped 
with four quadrant gates, the timing requirements of this section apply 
to entrance gates only.



Sec. 234.225  Activation of warning system.

    A highway-rail grade crossing warning system shall be maintained to 
activate in accordance with the design of the warning system, but in no 
event shall it provide less than 20 seconds warning time for the normal 
operation of through trains before the grade crossing is occupied by 
rail traffic.



Sec. 234.227  Train detection apparatus.

    (a) Train detection apparatus shall be maintained to detect a train 
or railcar in any part of a train detection circuit, in accordance with 
the design of the warning system.
    (b) If the presence of sand, rust, dirt, grease, or other foreign 
matter is known to prevent effective shunting, a railroad shall take 
appropriate action under Sec. 234.105, ``Activation failure,'' to 
safeguard highway users.



Sec. 234.229  Shunting sensitivity.

    Each highway-rail grade crossing train detection circuit shall 
detect the application of a shunt of 0.06 ohm resistance when the shunt 
is connected across the track rails of any part of the circuit.



Sec. 234.231  Fouling wires.

    Each set of fouling wires in a highway-rail grade crossing train 
detection

[[Page 491]]

circuit shall consist of at least two discrete conductors. Each 
conductor shall be of sufficient conductivity and shall be maintained in 
such condition to ensure proper operation of the train detection 
apparatus when the train detection circuit is shunted. Installation of a 
single duplex wire with single plug acting as fouling wires is 
prohibited. Existing installations having single duplex wires with a 
single plug for fouling wires may be continued in use until they require 
repair or replacement.



Sec. 234.233  Rail joints.

    Each non-insulated rail joint located within the limits of a 
highway-rail grade crossing train detection circuit shall be bonded by 
means other than joint bars and the bonds shall be maintained in such 
condition to ensure electrical conductivity.



Sec. 234.235  Insulated rail joints.

    Each insulated rail joint used to separate train detection circuits 
of a highway-rail grade crossing shall be maintained to prevent current 
from flowing between rails separated by the insulation in an amount 
sufficient to cause a failure of the train detection circuit.



Sec. 234.237  Reverse switch cut-out circuit.

    A switch, when equipped with a switch circuit controller connected 
to the point and interconnected with warning system circuitry, shall be 
maintained so that the warning system can only be cut out when the 
switch point is within one-half inch of full reverse position.



Sec. 234.239  Tagging of wires and interference of wires or tags with signal apparatus.

    Each wire shall be tagged or otherwise so marked that it can be 
identified at each terminal. Tags and other marks of identification 
shall be made of insulating material and so arranged that tags and wires 
do not interfere with moving parts of the apparatus. This requirement 
applies to each wire at each terminal in all housings including switch 
circuit controllers and terminal or junction boxes. This requirement 
does not apply to flashing light units, gate arm light units and other 
auxiliary light units. The local wiring on a solid state crossing 
controller rack does not require tags if the wiring is an integral part 
of the solid state equipment.



Sec. 234.241  Protection of insulated wire; splice in underground wire.

    Insulated wire shall be protected from mechanical injury. The 
insulation shall not be punctured for test purposes. A splice in 
underground wire shall have insulation resistance at least equal to that 
of the wire spliced.



Sec. 234.243  Wire on pole line and aerial cable.

    Wire on a pole line shall be securely attached to an insulator that 
is properly fastened to a cross arm or bracket supported by a pole or 
other support. Wire shall not interfere with, or be interfered with by, 
other wires on the pole line. Aerial cable shall be supported by 
messenger wire. An open-wire transmission line operating at voltage of 
750 volts or more shall be placed not less than 4 feet above the nearest 
cross arm carrying active warning system circuits.



Sec. 234.245  Signs.

    Each sign mounted on a highway-rail grade crossing signal post shall 
be maintained in good condition and be visible to the highway user.

                          Inspections and Tests



Sec. 234.247  Purpose of inspections and tests; removal from service of relay or device failing to meet test requirements.

    (a) The inspections and tests set forth in Secs. 234.249 through 
234.271 are required at highway-rail grade crossings located on in 
service railroad tracks and shall be made to determine if the warning 
system and its component parts are maintained in a condition to perform 
their intended function.
    (b) If a railroad elects not to comply with the requirements of 
Secs. 234.249 through 234.271 because all tracks over the grade crossing 
are out of service or the railroad suspends operations during a portion 
of the year, and the grade crossing warning system is also temporarily 
taken out of service, a full inspection and all required tests must be

[[Page 492]]

successfully completed before railroad operations over the grade 
crossing resume.
    (c) Any electronic device, relay, or other electromagnetic device 
that fails to meet the requirements of tests required by this part shall 
be removed from service and shall not be restored to service until its 
operating characteristics are in accordance with the limits within which 
such device or relay is designed to operate.

[61 FR 31806, June 20, 1996, as amended at 66 FR 49560, Sept. 28, 2001]



Sec. 234.249  Ground tests.

    A test for grounds on each energy bus furnishing power to circuits 
that affect the safety of warning system operation shall be made when 
such energy bus is placed in service and at least once each month 
thereafter.



Sec. 234.251  Standby power.

    Standby power shall be tested at least once each month.



Sec. 234.253  Flashing light units and lamp voltage.

    (a) Each flashing light unit shall be inspected when installed and 
at least once every twelve months for proper alignment and frequency of 
flashes in accordance with installation specifications.
    (b) Lamp voltage shall be tested when installed and at least once 
every 12 months thereafter.
    (c) Each flashing light unit shall be inspected for proper 
visibility, dirt and damage to roundels and reflectors at least once 
each month.



Sec. 234.255  Gate arm and gate mechanism.

    (a) Each gate arm and gate mechanism shall be inspected at least 
once each month.
    (b) Gate arm movement shall be observed for proper operation at 
least once each month.
    (c) Hold-clear devices shall be tested for proper operation at least 
once every 12 months.



Sec. 234.257  Warning system operation.

    (a) Each highway-rail crossing warning system shall be tested to 
determine that it functions as intended when it is placed in service. 
Thereafter, it shall be tested at least once each month and whenever 
modified or disarranged.
    (b) Warning bells or other stationary audible warning devices shall 
be tested when installed to determine that they function as intended. 
Thereafter, they shall be tested at least once each month and whenever 
modified or disarranged.



Sec. 234.259  Warning time.

    Each crossing warning system shall be tested for the prescribed 
warning time at least once every 12 months and when the warning system 
is modified because of a change in train speeds. Electronic devices that 
accurately determine actual warning time may be used in performing such 
tests.



Sec. 234.261  Highway traffic signal pre-emption.

    Highway traffic signal pre-emption interconnections, for which a 
railroad has maintenance responsibility, shall be tested at least once 
each month.



Sec. 234.263  Relays.

    (a) Except as stated in paragraph (b) of this section, each relay 
that affects the proper functioning of a crossing warning system shall 
be tested at least once every four years.
    (b)(1) Alternating current vane type relays, direct current polar 
type relays, and relays with soft iron magnetic structure shall be 
tested at least once every two years.
    (2) Alternating current centrifugal type relays shall be tested at 
least once every 12 months.
    (c) Testing of relays requiring testing on four year intervals shall 
be completed in accordance with the following schedule:
    (1) Not less than 50% by the end of calendar year 1996;
    (2) Not less than a total of 75% by the end of calendar year 1997; 
and
    (3) One hundred percent by the end of calendar year 1998.
    (d) Testing of relays requiring testing on two year intervals shall 
be completed by the end of calendar year 1996.

[[Page 493]]



Sec. 234.265  Timing relays and timing devices.

    Each timing relay and timing device shall be tested at least once 
every twelve months. The timing shall be maintained at not less than 90 
percent nor more than 110 percent of the 41 predetermined time interval. 
The predetermined time interval shall be shown on the plans or marked on 
the timing relay or timing device. Timing devices which perform internal 
functions associated with motion detectors, motion sensors, and grade 
crossing predictors are not subject to the requirements of this section.



Sec. 234.267  Insulation resistance tests, wires in trunking and cables.

    (a) Insulation resistance tests shall be made when wires or cables 
are installed and at least once every ten years thereafter.
    (b) Insulation resistance tests shall be made between all conductors 
and ground, between conductors in each multiple conductor cable, and 
between conductors in trunking. Insulation resistance tests shall be 
performed when wires, cables, and insulation are dry.
    (c) Subject to paragraph (d) of this section, when insulation 
resistance of wire or cable is found to be less than 500,000 ohms, 
prompt action shall be taken to repair or replace the defective wire or 
cable. Until such defective wire or cable is replaced, insulation 
resistance tests shall be made annually.
    (d) A circuit with a conductor having an insulation resistance of 
less than 200,000 ohms shall not be used.
    (e) Required insulation resistance testing that does not conform to 
the required testing schedule of this section shall be completed in 
accordance with the following schedule:
    (1) Not less than 50% by the end of calendar year 1996;
    (2) Not less than a total of 75% by the end of calendar year 1997; 
and
    (3) One hundred percent by the end of calendar year 1998.



Sec. 234.269  Cut-out circuits.

    Each cut-out circuit shall be tested at least once every three 
months to determine that the circuit functions as intended. For purposes 
of this section, a cut-out circuit is any circuit which overrides the 
operation of automatic warning systems. This includes both switch cut-
out circuits and devices which enable personnel to manually override the 
operation of automatic warning systems.



Sec. 234.271  Insulated rail joints, bond wires, and track connections.

    Insulated rail joints, bond wires, and track connections shall be 
inspected at least once every three months.



Sec. 234.273  Results of inspections and tests.

    (a) Results of inspections and tests made in compliance with this 
part shall be recorded on forms provided by the railroad, or by 
electronic means, subject to approval by the Associate Administrator for 
Safety. Each record shall show the name of the railroad, AAR/DOT 
inventory number, place and date, equipment tested, results of tests, 
repairs, replacements, adjustments made, and condition in which the 
apparatus was left.
    (b) Each record shall be signed or electronically coded by the 
employee making the test and shall be filed in the office of a 
supervisory official having jurisdiction. Records required to be kept 
shall be made available to FRA as provided by 49 U.S.C. 20107 (formerly 
Sec. 208 of the Federal Railroad Safety Act of 1970 (45 U.S.C. 437)).
    (c) Each record shall be retained until the next record for that 
test is filed but in no case for less than one year from the date of the 
test.

         Appendix A to Part 234--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
              Subpart B--Reports
 
234.7 Accidents involving grade crossing             $5,000       $7,500
 signal failure...............................
234.9 Grade crossing signal system failure            2,500        5,000
 reports......................................
 

[[Page 494]]

 
   Subpart C--Response to Reports of Warning
              System Malfunction
 
Sec.
234.101 Employee notification rules...........        2,500        5,000
234.103 Timely response to report of                  2,500        5,000
 malfunction..................................
    234.105 Activation failure
        (a) Failure to notify--train crews....        5,000        7,500
            Other railroads...................        5,000        7,500
        (b) Failure to notify law enforcement         2,500        5,000
         agency...............................
        (c) Failure to comply with--flagging          5,000        5,000
         requirements.........................
            Speed restrictions................        5,000        7,500
        (d) Failure to activate horn or               5,000        7,500
         whistle..............................
    234.106 Partial activation
        (a) Failure to notify--train crews....        5,000        7,500
            Other railroads...................        5,000        7,500
        (b) Failure to notify law enforcement         2,500        5,000
         agency...............................
        (c) Failure to comply with--flagging          5,000        7,500
         requirements speed restrictions......
        (d) Failure to activate horn or               5,000        7,500
         whistle..............................
    234.107 False activation
        (a) Failure to notify--train crews....        5,000        7,500
            Other railroads...................        5,000        7,500
        (b) Failure to notify law enforcement         2,500        5,000
         agency...............................
        (c) Failure to comply with--flagging          5,000        7,500
         requirements.........................
            Speed restrictions................        5,000        7,500
        (d) Failure to activate horn or               5,000        7,500
         whistle..............................
    234.109 Recordkeeping.....................        1,000        2,000
 
    Subpart D--Maintenance, Inspection, and
                    Testing
 
Maintenance Standards:
    234.201 Location of plans.................        1,000        2,000
    234.203 Control circuits..................        1,000        2,000
    234.205 Operating characteristics of              2,500        5,000
     warning system apparatus.................
    234.207 Adjustment, repair, or replacement        2,500        5,000
     of component.............................
    234.209 Interference with normal                  5,000        7,500
     functioning of system....................
    234.211 Locking of warning system                 1,000        2,000
     apparatus................................
    234.213 Grounds...........................        1,000        2,000
    234.215 Standby power system..............        5,000        7,500
    234.217 Flashing light units..............        1,000        2,000
    234.219 Gate arm lights and light cable...        1,000        2,000
    234.221 Lamp voltage......................        1,000        2,000
    234.223 Gate arm..........................        1,000        2,000
    234.225 Activation of warning system......        5,000        7,500
    234.227 Train detection apparatus.........        2,500        5,000
    234.229 Shunting sensitivity..............        2,500        5,000
    234.231 Fouling wires.....................        1,000        2,000
    234.233 Rail joints.......................        1,000        2,000
    234.235 Insulated rail joints.............        1,000        2,000
    234.237 Switch equipped with circuit              1,000        2,000
     controller...............................
    234.239 Tagging of wires and interference         1,000        2,000
     of wires or tags with signal apparatus...
    234.241 Protection of insulated wire;             1,000        2,000
     splice in underground wire...............
    234.243 Wire on pole line and aerial cable        1,000        2,000
    234.245 Signs.............................        1,000        2,000
Inspections and Tests:
    234.247 Purpose of inspections and tests;         2,500        5,000
     removal from service of relay or device
     failing to meet test requirements........
    234.249 Ground tests......................        2,500        5,000
    234.251 Standby power.....................        5,000        7,500
    234.253 Flashing light units and lamp             1,000        2,000
     voltage..................................
    234.255 Gate arm and gate mechanism.......        1,000        2,000
    234.257 Warning system operation..........        2,500        5,000
    234.259 Warning time......................        1,000        2,000
    234.261 Highway traffic signal pre-emption        1,000        2,000
    234.263 Relays............................        1,000        2,000
    234.265 Timing relays and timing devices..        1,000        2,000
    234.267 Insulation resistance tests, wires        2,500        5,000
     in trunking and cables...................
    234.269 Cut-out circuits..................        1,000        2,000
    234.271 Insulated rail joints, bond wires,        2,500        5,000
     and track connections....................
    234.273 Results of tests..................        1,000        2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  CFR Part 209, Appendix A.


[61 FR 31806, June 20, 1996, as amended at 63 FR 11623, Mar. 10, 1998]

[[Page 495]]

  Appendix B to Part 234--Alternate Methods of Protection Under 49 CFR 
                   234.105(c), 234.106, and 234.107(c)

                         [This is a summary--see body of text for complete requirements]
----------------------------------------------------------------------------------------------------------------
                                                                           Flagger present,
                                   Flagger for each     Police officer      but not one for      No flagger/no
                                     direction of           present        each direction of        police
                                        traffic                                 traffic
----------------------------------------------------------------------------------------------------------------
False Activation................  Normal Speed......  Normal Speed......  Proceed with        Proceed with
                                                                           caution--maximum    caution--maximum
                                                                           speed of 15 mph.    speed of 15 mph.
Partial Activation*.............  Normal Speed......  Normal Speed......  Proceed with        Proceed with
                                                                           caution--maximum    caution--maximum
                                                                           speed of 15 mph.    speed of 15 mph.
Activation Failure**............  Normal Speed......  Normal Speed......  Proceed with        Stop: Crewmember
                                                                           caution--maximum    flag traffic and
                                                                           speed of 15 mph.    reboard.
----------------------------------------------------------------------------------------------------------------
*Partial activiation--full warning not given.
 Non-gated crossing with one pair of lights designed to flash alternatively, one light does not work (and back-
  lights from other side not visible).
 Gated crossing--gate arm not horizontal; or any portion of a gate arm is missing if that portion had held a
  gate arm flashing light.
**Activitation failure includes--if more than 50% of the flashing lights on any approach lane not functioning;
  or if an approach lane has two or more pairs of flashing lights, there is not at least one pair operating as
  intended.



PART 235--INSTRUCTIONS GOVERNING APPLICATIONS FOR APPROVAL OF A 
DISCONTINUANCE OR MATERIAL MODIFICATION OF A SIGNAL SYSTEM OR RELIEF 
FROM THE REQUIREMENTS OF PART 236--Table of Contents




Sec.
235.1 Scope.
235.3 Application.
235.5 Changes requiring filing of application.
235.7 Changes not requiring filing of application.
235.8 Relief from the requirements of part 236 of this title.
235.9 Civil penalty.
235.10 Contents of application.
235.12 Additional required information-prints.
235.13 Filing procedure.
235.14 Notice.
235.20 Protests.

Appendix A to Part 235--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107, and 49 CFR 1.49.

    Source: 49 FR 3380, Jan. 26, 1984, unless otherwise noted.



Sec. 235.1  Scope.

    This part prescribes application for approval to discontinue or 
materially modify block signal systems, interlockings, traffic control 
systems, automatic train stop, train control, or cab signal systems, or 
other similar appliances, devices, methods, or systems, and provides for 
relief from part 236 of this title.



Sec. 235.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate on standard gage track which is part 
of the general railroad system of transportation.
    (b) This part does not apply to rail rapid transit operations 
conducted over track that is used exclusively for that purpose and that 
is not part of the general system of railroad transportation.



Sec. 235.5  Changes requiring filing of application.

    (a) Except as provided in Sec. 235.7, applications shall be filed to 
cover the following:
    (1) The discontinuance of a block signal system, interlocking, 
traffic control system, automatic train stop, train control, or cab 
signal system or other similar appliance or device;
    (2) The decrease of the limits of a block signal system, 
interlocking, traffic control system, automatic train stop, train 
control, or cab signal system; or
    (3) The modification of a block signal system, interlocking, traffic 
control system, automatic train stop, train control, or cab signal 
system.
    (b) [Reserved]

(Approved by the Office of Management and Budget under control number 
2130-0042)



Sec. 235.7  Changes not requiring filing of application.

    (a) It is not necessary to file an application for approval of the 
following discontinuances:

[[Page 496]]

    (1) Removal of block signal system, interlocking, traffic control 
system, automatic train stop, train control, or cab signal system from 
track approved for abandonment by formal proceeding;
    (2) Removal of devices and associated signals used to provide 
protection against unusual contingencies such as landslide, burned 
bridge, high water, high and wide load, or tunnel protection when the 
unusual contingency no longer exists;
    (3) Removal of an interlocking where a drawbridge has been 
permanently closed by the formal approval of another government agency; 
or
    (4) Removal from service not to exceed six months of block signal 
system, interlocking, or traffic control system necessitated by 
catastrophic occurrence such as derailment, flood, fire, or hurricane.
    (b) When the resultant arrangement will comply with part 236 of this 
title, it is not necessary to file for approval to decrease the limits 
of a system as follows:
    (1) Decrease of the limits of an interlocking when interlocked 
switches, derails, or movable-point frogs are not involved;
    (2) Removal of electric or mechanical lock from hand-operated switch 
in automatic block signal or traffic control territory where train speed 
over switch does not excess 20 miles per hour; or
    (3) Removal of electric or mechanical lock from hand-operated switch 
in automatic block signal or traffic control territory where trains are 
not permitted to clear the main track at such switch.
    (c) When the resultant arrangement will comply with part 236 of this 
title, it is not necessary to file an application for approval of the 
following modifications:
    (1) A modification that is required to comply with an order of the 
Federal Railroad Administration or any section of part 236 of this 
title;
    (2) The installation of an automatic block signal or a traffic 
control system to replace manual block or non-signaled territory;
    (3) The installation of a traffic control system to replace a 
roadway automatic block signal system (discontinuance of an automatic 
train stop, train control, or cab signal system is not permitted without 
FRA approval);
    (4) The installation of an automatic train stop, train control, or 
cab signal system in an existing automatic block or traffic control 
system;
    (5) The installation of a continuous inductive automatic train stop 
system to replace an existing intermittent inductive automatic train 
stop system;
    (6) The installation of a continuous inductive automatic train stop 
system to supplement an existing automatic cab signal system;
    (7) The installation of an automatic train control system to replace 
an existing automatic train stop system or to supplement an existing 
automatic cab signal system;
    (8) The installation of an interlocking to replace existing stop 
signs, gates, or pipe-connected derails protecting a railroad crossing 
at grade;
    (9) The installation of all relay type locking to replace existing 
mechanical or electromechanical locking of an interlocking;
    (10) The installation of an additional controlled point in existing 
traffic control system;
    (11) The installation of an interlocking in an existing block signal 
system;
    (12) The conversion of a hand-operated switch, a hand-operated 
switch locked either electrically or mechanically, or a spring switch to 
a power-operated switch;
    (13) The conversion of a spring switch to a hand-operated switch, or 
to a hand-operated switch locked either electrically or mechanically;
    (14) The removal or relocation of signals associated with a spring 
switch converted to hand operation;
    (15) The installation, relocation, or removal of signals to 
specifically provide adequate stopping distance;
    (16) The change of aspects;
    (17) The relocation of a signal to improve preview of signal aspect 
visibility;
    (18) To replace a signal with a signal of another type;
    (19) To change an approach signal to operative or inoperative 
signal, or remove an approach signal not required by Sec. 236.310 of 
this title;

[[Page 497]]

    (20) The change in location of a machine from which an interlocking 
or traffic control system is controlled;
    (21) The closing of a manual block station or the change in hours 
during which a manual block station is attended;
    (22) The change in hours during which a manual interlocking is 
attended provided the interlocking operates for all routes over which 
train movements are permitted;
    (23) The installation of devices used to provide protection against 
unusual contingencies such as landslide, burned bridges, high water, 
high and wide loads, or dragging equipment;
    (24) The installation, relocation, or removal of signals, 
interlocked switches, derails, movable-point frogs, or electric locks in 
an existing system directly associated with:
    (i) The installation of new track;
    (ii) The elimination of existing track other than a second main 
track;
    (iii) The extension or shortening of a passing siding;
    (iv) Elimination of second main track where signal system mn 
retained main track is arranged to provide both opposing and following 
protection for train movements provided second main track is physically 
removed; or
    (v) A line relocation; or
    (vi) The conversion of pole line circuits to electronic (coded) 
track circuits provided that the railroad gives notice and a profile 
plan of the change to the FRA regional office having jurisdiction over 
that territory at least 60 days in advance of the change. The railroad 
must also at the same time provide a copy of the notice and profile plan 
to representatives of employees responsible for maintenance, inspection 
and testing of the signal system under 49 CFR Part 236. The signal 
system modification will be deemed acceptable, unless within 60 days, 
the Regional Adminstrator stays action by written notice to the railroad 
and refers the issue to the Railroad Safety Board for decision.
    (25) The temporary or permanent arrangement of existing systems 
necessitated by highway rail separation construction. Temporary 
arrangements shall be removed within six months following completion of 
construction.

[49 FR 3380, Jan. 26, 1984, as amended at 61 FR 33873, July 1, 1996]



Sec. 235.8  Relief from the requirements of part 236 of this title.

    Relief from the requirements of the rules, standards and 
instructions contained in part 236 of this title will be granted upon a 
adequate showing by an individual carrier. Relief heretofore granted to 
any carrier shall constitute relief to the same extent as relief granted 
under the requirements of this part.

(Approved by the Office of Management and Budget under control number 
2130-0043)



Sec. 235.9  Civil penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[63 FR 11623, Mar. 10, 1998]



Sec. 235.10  Contents of applications.

    (a) The application may be submitted by letter and shall contain the 
following information:
    (1) The corporate name of each applicant;

[[Page 498]]

    (2) The manner in which applicant is involved;
    (3) The location of the project, giving name of operating division 
and nearest station;
    (4) The track or tracks involved;
    (5) A complete description of proposed changes as they would affect 
the existing facilities or of the section from which relief is sought;
    (6) The reason for proposed changes or justification for relief from 
the requirements;
    (7) The approximate dates of beginning and completion of project;
    (8) Changes in operating practices, temporary or permanent;
    (9) Whether safety of operation will be affeced, and if so, how; and
    (10) Whether proposed changes will conform to the Federal Railroad 
Administration's Rules, Standards and Instructions (part 236 of this 
title).
    (b) [Reserved]

(Approved by the Office of Management and Budget under control number 
2130-0042)



Sec. 235.12  Additional required information-prints.

    (a) A print or prints, size 8 inches by 10\1/2\ inches, or 8\1/2\ 
inches by 11 inches, or folded to 8 inches by 10\1/2\ inches or to 8\1/
2\ inches by 11 inches, shall be furnished with each application.
    (b) The print or prints shall be to scale or by indicated 
dimensions, using Association of American Railroads graphic symbols.
    (c) The following information shall be shown on the print or prints:
    (1) Present and proposed arrangement of tracks and signal 
facilities;
    (2) Name of carrier;
    (3) Operating division;
    (4) Place and State; and
    (5) Timetable directions of movements.
    (d) If stopping distances are involved, the following information 
shall also be shown:
    (1) Curvature and grade;
    (2) Maximum authorized speeds of trains; and
    (3) Length of signal control circuits for each signal indication 
displayed.
    (e) The following color scheme is suggested on prints:
    (1) Installations, relocations, and added signal aspects should be 
colored, preferably in yellow;
    (2) Removals, discontinuances, and abandonments should be colored, 
preferably in red; and
    (3) Existing facilities not pertinent to change proposed in 
application should be shown uncolored.

(Approved by the Office of Management and Budget under control number 
2130-0042)



Sec. 235.13  Filing procedure.

    (a) Applications or requests for reconsideration of an application 
shall be submitted by an authorized officer of the carrier.
    (b) The original and two copies of each application with supporting 
papers should be filed.
    (c) The application and correspondence in reference thereto should 
be addressed to the Associate Administrator for Safety, Federal Railroad 
Administration, Washington, DC 20590.
    (d) A separate application shall be filed for each project.
    (e) At a joint facility where changes are proposed in the automatic 
block signal system, interlocking, traffic control system, automatic 
train stop, train control, or cab signal system on the tracks of more 
than one carrier, or if more than one carrier will be affected by the 
proposed changes or relief sought, a joint application signed by all 
carriers affected shall be filed.
    (f) Where only one carrier at a joint facility is affected by the 
discontinuance or modification of the installation or relief sought, it 
shall be responsible for filing the application. It shall also certify 
that the other joint carriers have been notified of the filing of its 
application.

(Approved by the Office of Management and Budget under control number 
2130-0042)



Sec. 235.14  Notice.

    The FRA will publish notice of the filing of an application or a 
request for reconsideration of an application in the Federal Register 
and a copy of such notice will be available at the Department of 
Transportation Central Docket Management System, Nassif Building, Room 
Pl-401, 400 Seventh Street, S.W., Washington, D.C. 20590, and on the

[[Page 499]]

Docket Management System's Web site at http://dms.dot.gov.

[64 FR 70195, Dec. 16, 1999]



Sec. 235.20  Protests.

    (a) A protest against the granting of an application shall set forth 
specifically the grounds upon which it is made, and contain a concise 
statement of the interest of protestant in the proceeding.
    (b) The original and two copies of any protest shall be filed with 
the Associate Administrator for Safety, Federal Railroad Administration, 
Washington, DC 20590, and one copy shall be furnished to each applicant.
    (c) Protests should be filed within the time limit set forth in the 
public notice.
    (d) The protestant shall certify that service of a copy of its 
protest was made upon each applicant.
    (e) Request for hearing must be accompanied with a showing why the 
protestant is unable to properly present his or her position by written 
statements.

    Effective Date Note: At 49 FR 3380, Jan. 26, 1984, part 235 was 
revised. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.

         Appendix A to Part 235--Schedule of Civil Penalties\1\
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $20,000 for any violation where circumstances warrant. 
See 49 CFR part 209, appendix A.

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
235.5 Changes requiring filing of application        $5,000       $7,500
------------------------------------------------------------------------


[53 FR 52936, Dec. 29, 1988]



PART 236--RULES, STANDARDS, AND INSTRUCTIONS GOVERNING THE INSTALLATION, 
INSPECTION, MAINTENANCE, AND REPAIR OF SIGNAL AND TRAIN CONTROL SYSTEMS, 
DEVICES, AND APPLIANCES--Table of Contents




Sec.
236.0 Applicability, minimum requirements, and civil penalties.

             Subpart A--Rules and Instructions: All Systems

                                 General

236.1 Plans, where kept.
236.2 Grounds.
236.3 Locking of signal apparatus housings.
236.4 Interference with normal functioning of device.
236.5 Design of control circuits on closed circuit principle.
236.6 Hand-operated switch equipped with switch circuit controller.
236.7 Circuit controller operated by switch-and-lock movement.
236.8 Operating characteristics of electromagnetic, electronic, or 
          electrical apparatus.
236.9 Selection of circuits through indicating or annunciating 
          instruments.
236.10 Electric locks, force drop type; where required.
236.11 Adjustment, repair, or replacement of component.
236.12 Spring switch signal protection; where required.
236.13 Spring switch; selection of signal control circuits through 
          circuit controller.
236.14 Spring switch signal protection; requirements.
236.15 Timetable instructions.
236.16 Electric lock, main track releasing circuit.
236.17 Pipe for operating connections, requirements.

                     Roadway Signals and Cab Signals

236.21 Location of roadway signals.
236.22 Semaphore signal arm; clearance to other objects.
236.23 Aspects and indications.
236.24 Spacing of roadway signals.
236.25 [Reserved]
236.26 Buffing device, maintenance.

[[Page 500]]

                             Track Circuits

236.51 Track circuit requirements.
236.52 Relayed cut-section.
236.53 Track circuit feed at grade crossing.
236.54 Minimum length of track circuit.
236.55 Dead section; maximum length.
236.56 Shunting sensitivity.
236.57 Shunt and fouling wires.
236.58 Turnout, fouling section.
236.59 Insulated rail joints.
236.60 Switch shunting circuit; use restricted.

                            Wires and Cables

236.71 Signal wires on pole line and aerial cable.
236.72 [Reserved]
236.73 Open-wire transmission line; clearance to other circuits.
236.74 Protection of insulated wire; splice in underground wire.
236.75 [Reserved]
236.76 Tagging of wires and interference of wires or tags with signal 
          apparatus.

                   Inspections and Tests; All Systems

236.101 Purpose of inspection and tests; removal from service of relay 
          or device failing to meet test requirements.
236.102 Semaphore or searchlight signal mechanism.
236.103 Switch circuit controller or point detector.
236.104 Shunt fouling circuit.
236.105 Electric lock.
236.106 Relays.
236.107 Ground tests.
236.108 Insulation resistance tests, wires in trunking and cables.
236.109 Time releases, timing relays and timing devices.
236.110 Results of tests.

                Subpart B--Automatic Block Signal Systems

                                Standards

236.201 Track-circuit control of signals.
236.202 Signal governing movements over hand-operated switch.
236.203 Hand operated crossover between main tracks; protection.
236.204 Track signaled for movements in both directions, requirements.
236.205 Signal control circuits; requirements.
236.206 Battery or power supply with respect to relay; location.
236.207 Electric lock on hand-operated switch; control.

                         Subpart C--Interlocking

                                Standards

236.301 Where signals shall be provided.
236.302 Track circuits and route locking.
236.303 Control circuits for signals, selection through circuit 
          controller operated by switch points or by switch locking 
          mechanism.
236.304 Mechanical locking or same protection effected by circuits.
236.305 Approach or time locking.
236.306 Facing point lock or switch-and-lock movement.
236.307 Indication locking.
236.308 Mechanical or electric locking or electric circuits; requisites.
236.309 Loss of shunt protection; where required.
236.310 Signal governing approach to home signal.
236.311 Signal control circuits, selection through track relays or 
          devices functioning as track relays and through signal 
          mechanism contacts and time releases at automatic 
          interlocking.
236.312 Movable bridge, interlocking of signal appliances with bridge 
          devices.
236.313 [Reserved]
236.314 Electric lock for hand-operated switch or derail.

                         Rules and Instructions

236.326 Mechanical locking removed or disarranged; requirement for 
          permitting train movements through interlocking.
236.327 Switch, movable-point frog or split-point derail.
236.328 Plunger of facing-point lock.
236.329 Bolt lock.
236.330 Locking dog of switch-and-lock movement.
236.331-236.333 [Reserved]
236.334 Point detector.
236.335 Dogs, stops and trunnions of mechanical locking.
236.336 Locking bed.
236.337 Locking faces of mechanical locking; fit.
236.338 Mechanical locking required in accordance with locking sheet and 
          dog chart.
236.339 Mechanical locking; maintenance requirements.
236.340 Electromechanical interlocking machine; locking between 
          electrical and mechanical levers.
236.341 Latch shoes, rocker links, and quandrants.
236.342 Switch circuit controller.

                          Inspection and Tests

236.376 Mechanical locking.
236.377 Approach locking.
236.378 Time locking.
236.379 Route locking.
236.380 Indication locking.
236.381 Traffic locking.
236.382 Switch obstruction test.
236.383 Valve locks, valves, and valve magnets.

[[Page 501]]

236.384 Cross protection.
236.385 [Reserved]
236.386 Restoring feature on power switches.
236.387 Movable bridge locking.

                   Subpart D--Traffic Control Systems

                                Standards

236.401 Automatic block signal system and interlocking standards 
          applicable to traffic control systems.
236.402 Signals controlled by track circuits and control operator.
236.403 Signals at controlled point.
236.404 Signals at adjacent control points.
236.405 Track signaled for movements in both directions, change of 
          direction of traffic.
236.406 [Reserved]
236.407 Approach or time locking; where required.
236.408 Route locking.
236.409 [Reserved]
236.410 Locking, hand-operated switch; requirements.

                         Rules and Instructions

236.426 Interlocking rules and instructions applicable to traffic 
          control systems.

                          Inspection and Tests

236.476 Interlocking inspections and tests applicable to traffic control 
          systems.

  Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems

                                Standards

236.501 Forestalling device and speed control.
236.502 Automatic brake application, initiation by restrictive block 
          conditions stopping distance in advance.
236.503 Automatic brake application; initiation when predetermined rate 
          of speed exceeded.
236.504 Operation interconnected with automatic block-signal system.
236.505 Proper operative relation between parts along roadway and parts 
          on locomotive.
236.506 Release of brakes after automatic application.
236.507 Brake application; full service.
236.508 Interference with application of brakes by means of brake valve.
236.509 Two or more locomotives coupled.
236.510 [Reserved]
236.511 Cab signals controlled in accordance with block conditions 
          stopping distance in advance.
236.512 Cab signal indication when locomotive enters block where 
          restrictive conditions obtain.
236.513 Audible indicator.
236.514 Interconnection of cab signal system with roadway signal system.
236.515 Visibility of cab signals.
236.516 Power supply.

                     Rules and Instructions; Roadway

236.526 Roadway element not functioning properly.
236.527 Roadway element insulation resistance.
236.528 Restrictive condition resulting from open hand-operated switch; 
          requirement.
236.529 Roadway element inductor; height and distance from rail.
236.530 [Reserved]
236.531 Trip arm; height and distance from rail.
236.532 Strap iron inductor; use restricted.
236.533 [Reserved]
236.534 Entrance to equipped territory; requirements.

                   Rules and Instructions; Locomotives

236.551 Power supply voltage; requirement.
236.552 Insulation resistance; requirement.
236.553 Seal, where required.
236.554 Rate of pressure reduction; equalizing reservoir or brake pipe.
236.555 Repaired or rewound receiver coil.
236.556 Adjustment of relay.
236.557 Receiver; location with respect to rail.
236.558-236.559 [Reserved]
236.560 Contact element, mechanical trip type; location with respect to 
          rail.
236.561 [Reserved]
236.562 Minimum rail current required.
236.563 Delay time.
236.564 Acknowledging time.
236.565 Provision made for preventing operation of pneumatic break-
          applying apparatus by double-heading cock; requirement.
236.566 Locomotive of each train operating in train stop, train control 
          or cab signal territory; equipped.
236.567 Restrictions imposed when device fails and/or is cut out en 
          route.
236.568 Difference between speeds authorized by roadway signal and cab 
          signal; action required.

                      Inspection and Tests; Roadway

236.576 Roadway element.
236.577 Test, acknowledgement, and cut-in circuits.

                    Inspection and Tests; Locomotive

236.586 Daily or after trip test.
236.587 Departure test.
236.588 Periodic test.
236.589 Relays.

[[Page 502]]

236.590 Pneumatic apparatus.

  Subpart F--Dragging Equipment and Slide Detectors and Other Similar 
                           Protective Devices

                                Standards

236.601 Signals controlled by devices; location.

                         Subpart G--Definitions

236.700 Definitions.
236.701 Application, brake; full service.
236.702 Arm, semaphore.
236.703 Aspect.
236.704 [Reserved]
236.705 Bar, locking.
236.706 Bed, locking.
236.707 Blade, semaphore.
236.708 Block.
236.709 Block, absolute.
236.710 Block, latch.
236.711 Bond, rail joint.
236.712 Brake pipe.
236.713 Bridge, movable.
236.714 Cab.
236.715-236.716 [Reserved]
236.717 Characteristics, operating.
236.718 Chart, dog.
236.719 Circuit, acknowledgment.
236.720 Circuit, common return.
236.721 Circuit, control.
236.722 Circuit, cut-in.
236.723 Circuit, double wire; line.
236.724 Circuit, shunt fouling.
236.725 Circuit, switch shunting.
236.726 Circuit, track.
236.727 Circuit, track; coded.
236.728 Circuit, trap.
236.729 Cock, double heading.
236.730 Coil, receiver.
236.731 Controller, circuit.
236.732 Controller, circuit; switch.
236.733 Current, foreign.
236.734 Current of traffic.
236.735 Current, leakage.
236.736 Cut-section.
236.737 Cut-section, relayed.
236.738 Detector, point.
236.739 Device, acknowledging.
236.740 Device, reset.
236.741 Distance, stopping.
236.742 Dog, locking.
236.743 Dog, swing.
236.744 Element, roadway.
236.745 Face, locking.
236.746 Feature, restoring.
236.747 Forestall.
236.748 [Reserved]
236.749 Indication.
236.750 Interlocking, automatic.
236.751 Interlocking, manual.
236.752 Joint, rail, insulated.
236.753 Limits, interlocking.
236.754 Line, open wire.
236.755 Link, rocker.
236.756 Lock, bolt.
236.757 Lock, electric.
236.758 Lock, electric, forced drop.
236.759 Lock, facing point.
236.760 Locking, approach.
236.761 Locking, electric.
236.762 Locking, indication.
236.763 Locking, latch operated.
236.764 Locking, lever operated.
236.765 Locking, mechanical.
236.766 Locking, movable bridge.
236.767 Locking, route.
236.768 Locking, time.
236.769 Locking, traffic.
236.770 Locomotive.
236.771 Machine, control.
236.772 Machine, interlocking.
236.773 Movements, conflicting.
236.774 Movement, facing.
236.775 Movement, switch-and-lock.
236.776 Movement, trailing.
236.777 Operator, control.
236.778 Piece, driving.
236.779 Plate, top.
236.780 Plunger, facing point lock.
236.781 [Reserved]
236.782 Point, controlled.
236.783 Point, stop-indication.
236.784 Position, deenergized.
236.785 Position, false restrictive.
236.786 Principle, closed circuit.
236.787 Protection, cross.
236.788 Receiver.
236.789 Relay, timing.
236.790 Release, time.
236.791 Release, value.
236.792 Reservoir, equalizing.
236.793 Rod, lock.
236.794 Rod, up-and-down.
236.795 Route.
236.796 Routes, conflicting.
236.797 Route, interlocked.
236.798 Section, dead.
236.799 Section, fouling.
236.800 Sheet, locking.
236.801 Shoe, latch.
236.802 Shunt.
236.802a Siding.
236.803 Signal, approach.
236.804 Signal, block.
236.805 Signal, cab.
236.806 Signal, home.
236.807 Signal, interlocking.
236.808 Signals, opposing.
236.809 Signal, slotted mechanical.
236.810 Spectacle, semaphore arm.
236.811 Speed, medium.
236.812 Speed, restricted.
236.813 Speed, slow.
236.813a State, most restrictive.
236.814 Station, control.
236.815 Stop.
236.816 Superiority of trains.
236.817 Switch, electro-pneumatic.
236.818 Switch, facing point.
236.819 Switch, hand operated.
236.820 Switch, interlocked.

[[Page 503]]

236.820a Switch, power-operated.
236.821 Switch, sectionalizing.
236.822 Switch, spring.
236.823 Switch, trailing point.
236.824 System, automatic block signal.
236.825 System, automatic train control.
236.826 System, automatic train stop.
236.827 System, block signal.
236.828 System, traffic control.
236.829 Terminal, initial.
236.830 Time, acknowledging.
236.831 Time, delay.
236.831a Track, main.
236.832 Train.
236.833 Train, opposing.
236.834 Trip.
236.835 Trunking.
236.836 Trunnion.
236.837 Valve, electro-pneumatic.
236.838 Wire, shunt.

Appendix A to Part 236--Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 33 FR 19684, Dec. 25, 1968, unless otherwise noted.



Sec. 236.0  Applicability, minimum requirements, and civil penalties.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate on standard gage track which is part 
of the general railroad system of transportation.
    (b) This part does not apply to rail rapid transit operations 
conducted over track that is used exclusively for that purpose and that 
is not part of the general system of railroad transportation.
    (c) Where a passenger train is operated at a speed of 60 or more 
miles per hour, or a freight train is operated at a speed of 50 or more 
miles per hour, a block signal system complying with the provisions of 
this part shall be installed or a manual block system shall be placed 
permanently in effect which shall conform to the following conditions:
    (1) A passenger train shall not be admitted to a block occupied by 
another train except under flag protection;
    (2) No train shall be admitted to a block occupied by a passenger 
train except under flag protection;
    (3) No train shall be admitted to a block occupied by an opposing 
train except under flag protection; and
    (4) A freight train, including a work train, may be authorized to 
follow a freight train, including a work train, into a block but the 
following train must proceed prepared to stop within one-half the range 
of vision but not exceeding 20 miles per hour.
    (d) Where any train is operated at a speed of 80 or more miles per 
hour, an automatic cab signal, automatic train stop or automatic train 
control system complying with the provisions of this part shall be 
installed.
    (e) Nothing in this section authorizes the discontinuance of a block 
signal system, interlocking, traffic control system, automatic train 
stop, train control, or cab signal system without approval of the 
Federal Railroad Administration.
    (f) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[49 FR 3382, Jan. 26, 1984, as amended at 53 FR 52936, Dec. 29, 1988; 63 
FR 11624, Mar. 10, 1998]

[[Page 504]]



             Subpart A--Rules and Instructions: All Systems

                                 General



Sec. 236.1  Plans, where kept.

    As required for maintenance, plans shall be kept at all 
interlockings, automatic signals and controlled points. Plans shall be 
legible and correct.

[49 FR 3382, Jan. 26, 1984]



Sec. 236.2  Grounds.

    Each circuit, the functioning of which affects the safety of train 
operations, shall be kept free of any ground or combination of grounds 
which will permit a flow of current equal to or in excess of 75 percent 
of the release value of any relay or other electromagnetic device in the 
circuit, except circuits which include any track rail and except the 
common return wires of single-wire, single-break, signal control 
circuits using a grounded common, and alternating current power 
distribution circuits which are grounded in the interest of safety.



Sec. 236.3  Locking of signal apparatus housings.

    Signal apparatus housings shall be secured against unauthorized 
entry.

[49 FR 3382, Jan. 26, 1984]



Sec. 236.4  Interference with normal functioning of device.

    The normal functioning of any device shall not be interfered with in 
testing or otherwise without first taking measures to provide for safety 
of train operation which depends on normal functioning of such device.

[49 FR 3382, Jan. 26, 1984]



Sec. 236.5  Design of control circuits on closed circuit principle.

    All control circuits the functioning of which affects safety of 
train operation shall be designed on the closed circuit principle, 
except circuits for roadway equipment of intermittent automatic train 
stop system.



Sec. 236.6  Hand-operated switch equipped with switch circuit controller.

    Hand-operated switch equipped with switch circuit controller 
connected to the point, or with facing-point lock and circuit 
controller, shall be so maintained that when point is open one-fourth 
inch or more on facing-point switch and three-eights inch or more on 
trailing-point switch, track or control circuits will be opened or 
shunted or both, and if equipped with facing-point lock with circuit 
controller, switch cannot be locked. On such hand-operated switch, 
switch circuit controllers, facing-point locks, switch-and-lock 
movements, and their connections shall be securely fastened in place, 
and contacts maintained with an opening of not less than one-sixteenth 
inch when open.



Sec. 236.7  Circuit controller operated by switch-and-lock movement.

    Circuit controller operated by switch-and-lock movement shall be 
maintained so that normally open contacts will remain closed and 
normally closed contacts will remain open until the switch is locked.



Sec. 236.8  Operating characteristics of electromagnetic, electronic, or electrical apparatus.

    Signal apparatus, the functioning of which affects the safety of 
train operation, shall be maintained in accordance with the limits 
within which the device is designed to operate.

[49 FR 3382, Jan. 26, 1984]



Sec. 236.9  Selection of circuits through indicating or annunciating instruments.

    Signal control and electric locking circuits shall not be selected 
through the contacts of instruments designed primarily for indicating or 
annunciating purposes in which an indicating element attached to the 
armature is arranged so that it can in itself cause improper operation 
of the armature.

[[Page 505]]



Sec. 236.10  Electric locks, force drop type; where required.

    Electric locks on new installations and new electric locks applied 
to existing installations shall be of the forced drop type.



Sec. 236.11  Adjustment, repair, or replacement of component.

    When any component of a signal system, the proper functioning of 
which is essential to the safety of train operation, fails to perform 
its intended signaling function or is not in correspondence with known 
operating conditions, the cause shall be determined and the faulty 
component adjusted, repaired or replaced without undue delay.

[49 FR 3382, Jan. 26, 1984]



Sec. 236.12  Spring switch signal protection; where required.

    Signal protection shall be provided for facing and trailing 
movements through spring switch within interlocking limits and through 
spring switch installed in automatic block signal, train stop, train 
control or cab signal territory where train movements over the switch 
are made at a speed exceeding 20 miles per hour, except that signal 
protection shall be required only with the current of traffic on track 
signaled for movement in only one direction.

    Note: Does not apply to spring switch installed prior to October 1, 
1950 in automatic block signal, automatic train stop, or automatic train 
control territory.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.13  Spring switch; selection of signal control circuits through circuit controller.

    The control circuits of signals governing facing movements over a 
main track spring switch shall be selected through the contacts of a 
switch circuit controller, or through the contacts of relay repeating 
the position of such circuit controller, which, when normally closed 
switch point is open one-fourth inch or more, will cause such signals to 
display their most restrictive aspects, except that where a separate 
aspect is displayed for facing movements over the switch in the reverse 
position the signal shall display its most restrictive aspect when the 
switch points are open one-fourth inch or more from either the normal or 
reverse position.



Sec. 236.14  Spring switch signal protection; requirements.

    (a) The indication of signal governing movements from siding to main 
track with the current of traffic on track signaled for movements in 
only one direction through a spring switch in automatic block signal 
territory shall be not less restrictive than ``Proceed at Restricted 
Speed' when the block, into which movements are governed by the signal, 
is occupied, and shall be ``Stop'' when the main track is occupied by a 
train approaching the switch within at least 1,500 feet in approach of 
the approach signal located stopping distance from the main track signal 
governing trailing movements over switch, except that the indication may 
be caused to be less restrictive if approach or time locking is used.
    (b) The indication of signal governing movements against the current 
of traffic from the reverse main of main tracks to a single track, or 
signal governing movements from a siding to a main track signaled for 
movements in either direction, through a spring switch, in automatic 
block signal territory, shall be not less restrictive than ``Proceed at 
Restricted Speed'' when the block, into which movements are governed by 
the signal, is occupied by a preceding train, and shall be ``Stop'' when 
the block on the single track into which the signal governs is occupied 
by an opposing train.
    (c) The indication of signal governing movements against the current 
of traffic from the reverse main of main tracks to a single track or 
signal governing movements from a siding to a main track signaled for 
movements in either direction through a spring switch in automatic block 
signal territory shall be ``Stop'' when the normal direction main track 
of the double track or the single track signaled for movements in both 
directions is occupied by a train approaching the switch within at least 
1,500 feet in approach of the approach signal located stopping distance 
from the main track signal governing trailing movements over

[[Page 506]]

switch, except that indication may be caused to be less restrictive if 
approach or time locking is used.



Sec. 236.15  Timetable instructions.

    Automatic block, traffic control, train stop, train control and cab 
signal territory shall be designated in timetable instructions.



Sec. 236.16  Electric lock, main track releasing circuit.

    When an electric lock releasing circuit is provided on the main 
track to permit a train or an engine to diverge from the main track 
without time delay, the circuit shall be of such length to permit 
occupancy of the circuit to be seen by a crew member stationed at the 
switch. When the releasing circuit extends into the fouling circuit, a 
train or engine on the siding shall be prevented from occupying the 
releasing circuit by a derail either pipe-connected to switch point or 
equipped with an independently operated electric lock.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.17  Pipe for operating connections, requirements.

    (a) Steel or wrought-iron pipe one inch or larger, or members of 
equal strength, shall be used for operating connections for switches, 
derails, movable-point frogs, facing-point locks, rail-locking devices 
of movable bridge protected by interlocking, and mechanically operated 
signals, except up-and-down rod which may be three-fourths inch pipe or 
solid rod. Pipe shall be fully screwed into coupling and both ends of 
each pipe shall be riveted to pipe plug with 2 rivets.
    (b) Pipeline shall not be out of alignment sufficiently to interfere 
with proper operation, shall be properly compensated for temperature 
changes, and supported on carriers spaced not more than 8 feet apart on 
tangent and curve of less than 2[deg] and not more than 7 feet apart on 
curve of 2[deg] or more. With lever in any position, couplings in pipe 
line shall not foul carriers.

[49 FR 3383, Jan. 26, 1984]

                     Roadway Signals and Cab Signals



Sec. 236.21  Location of roadway signals.

    Each roadway signal shall be positioned and aligned so that its 
aspects can be clearly associated with the track it governs.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.22  Semaphore signal arm; clearance to other objects.

    At least one-half inch clearance shall be provided between semaphore 
signal arm, and any object that may interfere with its operation.



Sec. 236.23  Aspects and indications.

    (a) Aspects shall be shown by the position of semaphore blades, 
color of lights, position of lights, flashing of lights, or any 
combination thereof. They may be qualified by marker plate, number 
plate, letter plate, marker light, shape and color of semaphore blades 
or any combination thereof, subject to the following conditions:
    (1) Night aspects of roadway signals, except qualifying 
appurtenances, shall be shown by lights; day aspects by lights or 
semaphore arms. A single white light shall not be used.
    (2) Reflector lenses or buttons or other devices which depend for 
visibility upon reflected light from an external source shall not be 
used hereafter in night aspects, except qualifying appurtenances.
    (b) The aspects of cab signals shall be shown by lights or by 
illuminated letters or numbers.
    (c) Each aspect displayed by a signal shall be identified by a name 
and shall indicate action to be taken. Only one name and indication 
shall apply to those aspects indicating the same action to be taken; the 
same aspect shall not be used with any other name and indication.
    (d) The fundamental indications of signal aspects shall conform to 
the following:
    (1) A red light, a series of horizontal lights or a semaphore blade 
in a horizontal position shall be used to indicate stop.
    (2) A yellow light, a lunar light, or a series of lights or a 
semaphore blade in the upper or lower quadrant at an angle of 
approximately 45 degrees to

[[Page 507]]

the vertical, shall be used to indicate that speed is to be restricted 
and stop may be required.
    (3) A green light, a series of vertical lights, or a semaphore blade 
in a vertical position in the upper quadrant or 60[deg] or 90[deg] in 
the lower quadrant shall be used to indicate proceed at authorized 
speed.
    (e) The names, indications, and aspects of roadway and cab signals 
shall be defined in the carrier's Operating Rule Book or Special 
Instructions. Modifications shall be filed with the FRA within thirty 
days after such modifications become effective.
    (f) The absence of a qualifying appurtenance, the failure of a lamp 
in a light signal, or a false restrictive position of an arm of a 
semaphore signal shall not cause the display of a less restrictive 
aspect than intended.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3383, Jan. 26, 1984]



Sec. 236.24  Spacing of roadway signals.

    Each roadway signal shall be located with respect to the next signal 
or signals in advance which govern train movements in the same direction 
so that the indication of a signal displaying a restrictive aspect can 
be complied with by means of a brake application, other than an 
emergency application, initiated at such signal, either by stopping at 
the signal where a stop is required, or by a reduction in speed to the 
rate prescribed by the next signal in advance where reduced speed is 
required.



Sec. 236.25  [Reserved]



Sec. 236.26  Buffing device, maintenance.

    Buffing device shall be maintained so as not to cause the signal to 
display a less restrictive aspect than intended.

                             Track Circuits



Sec. 236.51  Track circuit requirements.

    Track relay controlling home signals shall be in deenergized 
position, or device that functions as a track relay controlling home 
signals shall be in its most restrictive state, and the track circuit of 
an automatic train stop, train control, or cab signal system shall be 
deenergized in the rear of the point where any of the following 
conditions exist:
    (a) When a rail is broken or a rail or switch-frog is removed except 
when a rail is broken or removed in the shunt fouling circuit of a 
turnout or crossover, provided, however, that shunt fouling circuit may 
not be used in a turnout through which permissible speed is greater than 
45 miles per hour. It shall not be a violation of this requirement if a 
track circuit is energized:
    (1) When a break occurs between the end of rail and track circuit 
connector; within the limits of rail-joint bond, appliance or other 
protective device, which provides a bypath for the electric current, or
    (2) As result of leakage current or foreign current in the rear of a 
point where a break occurs.
    (b) When a train, locomotive, or car occupies any part of a track 
circuit, including fouling section of turnout except turnouts of hand-
operated main track crossover. It shall not be a violation of this 
requirement where the presence of sand, rust, dirt, grease, or other 
foreign matter prevents effective shunting, except that where such 
conditions are known to exist adequate measures to safeguard train 
operation must be taken.
    (c) Where switch shunting circuit is used:
    (1) Switch point is not closed in normal position.
    (2) A switch is not locked where facing-point lock with circuit 
controller is used.
    (3) An independently operated fouling-point derail equipped with 
switch circuit controller is not in derailing position.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3383, Jan. 26, 1984]



Sec. 236.52  Relayed cut-section.

    Where relayed cut-section is used in territory where noncoded 
direct-current track circuits are in use the energy circuit to the 
adjoining track shall be open and the track circuit shunted when the 
track relay at such cut-section is in deenergized position.

[[Page 508]]



Sec. 236.53  Track circuit feed at grade crossing.

    At grade crossing with an electric railroad where foreign current is 
present, the electric energy for noncoded direct current track circuit 
shall feed away from the crossing.



Sec. 236.54  Minimum length of track circuit.

    When a track circuit shorter than maximum inner wheelbase of any 
locomotive or car operated over such track circuit is used for control 
of signaling facilities, other means shall be used to provide the 
equivalent of track circuit protection.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.55  Dead section; maximum length.

    Where dead section exceeds 35 feet, a special circuit shall be 
installed. Where shortest outer wheelbase of a locomotive operating over 
such dead section is less than 35 feet, the maximum length of the dead 
section shall not exceed the length of the outer wheelbase of such 
locomotive unless special circuit is used.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.56  Shunting sensitivity.

    Each track circuit controlling home signal or approach locking shall 
be so maintained that track relay is in deenergized position, or device 
that functions as a track relay shall be in its most restrictive state 
if, when track circuit is dry, a shunt of 0.06 ohm resistance is 
connected across the track rails of the circuit, including fouling 
sections of turnouts.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.57  Shunt and fouling wires.

    (a) Except as provided in paragraph (b) of this section, shunt wires 
and fouling wires hereafter installed or replaced shall consist of at 
least two discrete conductors, and each shall be of sufficient 
conductivity and maintained in such condition that the track relay will 
be in deenergized position, or device that functions as a track relay 
will be in its most restrictive state, when the circuit is shunted.
    (b) This rule does not apply to shunt wires where track or control 
circuit is opened by the switch circuit controller.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.58  Turnout, fouling section.

    Rail joints within the fouling section shall be bonded, and fouling 
section shall extend at least to a point where sufficient tract centers 
and allowance for maximum car overhang and width will prevent 
interference with train, locomotive, or car movement on the adjacent 
track.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.59  Insulated rail joints.

    Insulated rail joints shall be maintained in condition to prevent 
sufficient track circuit current from flowing between the rails 
separated by the insulation to cause a failure of any track circuit 
involved.



Sec. 236.60  Switch shunting circuit; use restricted.

    Switch shunting circuit shall not be hereafter installed, except 
where tract or control circuit is opened by the circuit controller.

[49 FR 3384, Jan. 26, 1984]

                            Wires and Cables



Sec. 236.71  Signal wires on pole line and aerial cable.

    Signal wire on pole line shall be securely tied in on insulator 
properly fastened to crossarm or bracket supported by pole or other 
support. Signal wire shall not interfere with, or be interfered by, 
other wires on the pole line. Aerial cable shall be supported by 
messenger.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.72  [Reserved]



Sec. 236.73  Open-wire transmission line; clearance to other circuits.

    Open-wire transmission line operating at voltage of 750 volts or 
more shall be placed not less than 4 feet above the nearest crossarm 
carrying signal or communication circuits.

[[Page 509]]



Sec. 236.74  Protection of insulated wire; splice in underground wire.

    Insulated wire shall be protected from mechanical injury. The 
insulation shall not be punctured for test purposes. Splice in 
underground wire shall have insulation resistance at least equal to the 
wire spliced.



Sec. 236.75  [Reserved]



Sec. 236.76  Tagging of wires and interference of wires or tags with signal apparatus.

    Each wire shall be tagged or otherwise so marked that it can be 
identified at each terminal. Tags and other marks of identification 
shall be made of insulating material and so arranged that tags and wires 
do not interfere with moving parts of apparatus.

[49 FR 3384, Jan. 26, 1984]

                   Inspections and Tests; All Systems



Sec. 236.101  Purpose of inspection and tests; removal from service of relay or device failing to meet test requirements.

    The following inspections and tests shall be made in accordance with 
specifications of the carrier, subject to approval of the FRA, to 
determine if the apparatus and/or equipment is maintained in condition 
to perform its intended function. Electronic device, relay, or other 
electromagnetic device which fails to meet the requirements of specified 
tests shall be removed from service, and shall not be restored to 
service until its operating characteristics are in accordance with the 
limits within which such device or relay is designed to operate.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.102  Semaphore or searchlight signal mechanism.

    (a) Semaphore signal mechanism shall be inspected at least once 
every six months, and tests of the operating characteristics of all 
parts shall be made at least once every two years.
    (b) Searchlight signal mechanism shall be inspected, and the 
mechanical movement shall be observed while operating the mechanism to 
all positions, at least once every six months. Tests of the operating 
characteristics shall be made at least once every two years.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.103  Switch circuit controller or point detector.

    Switch circuit controller, circuit controller, or point detector 
operated by hand-operated switch or by power-operated or mechanically-
operated switch-and-lock movement shall be inspected and tested at least 
once every three months.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.104  Shunt fouling circuit.

    Shunt fouling circuit shall be inspected and tested at least once 
every three months.



Sec. 236.105  Electric lock.

    Electric lock, except forced-drop type, shall be tested at least 
once every two years.



Sec. 236.106  Relays.

    Each relay, the functioning of which affects the safety of train 
operations, shall be tested at least once every four years except:
    (a) Alternating current centrifugal type relay shall be tested at 
least once every 12 months;
    (b) Alternating current vane type relay and direct current polar 
type relay shall be tested at least once every 2 years; and
    (c) Relay with soft iron magnetic structure shall be tested at least 
once every 2 years.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.107  Ground tests.

    (a) Except as provided in paragraph (b) of this section, a test for 
grounds on each energy bus furnishing power to circuits, the functioning 
of which affects the safety of train operation, shall be made when such 
energy bus is placed in service, and shall be made at least once every 
three months thereafter.
    (b) The provisions of this rule shall not apply to track circuit 
wires, common return wires of grounded common single-break circuits, or 
alternating

[[Page 510]]

current power distribution circuits grounded in the interest of safety.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.108  Insulation resistance tests, wires in trunking and cables.

    (a) Insulation resistance of wires and cables, except wires 
connected directly to track rails, shall be tested when wires, cables, 
and insulation are dry. Insulation resistance tests shall be made 
between all conductors and ground, and between conductors in each 
multiple conductor cable, and between conductors in trunking, when wires 
or cables are installed and at least once every ten years thereafter.
    (b) Then insulation resistance of wire or cable is found to be less 
than 500,000 ohms, prompt action shall be taken to repair or replace the 
defective wire or cable and until such defective wire or cable is 
replaced, insulation resistance test shall be made annually.
    (c) In no case shall a circuit be permitted to function on a 
conductor having an insulation resistance to ground or between 
conductors of less than 200,000 ohms during the period required for 
repair or replacement.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.109  Time releases, timing relays and timing devices.

    Time releases, timing relays and timing devices shall be tested at 
least once every twelve months. The timing shall be maintained at not 
less than 90 percent of the predetermined time interval, which shall be 
shown on the plans or marked on the time release, timing relay, or 
timing device.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.110  Results of tests.

    Results of tests made in compliance with Secs. 236.109 to 236.102, 
inclusive; 236.376 to 236.387, inclusive; 236.576; 236.577; and 236.586 
to 236.589, inclusive, shall be recorded on preprinted or computerized 
forms provided by the railroad. Such forms shall show the name of the 
railroad, place and date, equipment tested, results of tests, repairs, 
replacements, adjustments made, and condition in which the apparatus was 
left. Each record shall be signed by the employee making the test and 
shall be filed in the office of a supervisory official having 
jurisdiction. Results of tests made in compliance with Sec. 236.587 
shall be retained for 92 days. Results of all other tests listed in this 
section shall be retained until the next record is filed but in no case 
less than one year.

[53 FR 37313, Sept. 26, 1988]



                Subpart B--Automatic Block Signal Systems

                                Standards



Sec. 236.201  Track-circuit control of signals.

    The control circuits for home signal aspects with indications more 
favorable than ``proceed at restricted speed'' shall be controlled 
automatically by track circuits extending through the entire block.



Sec. 236.202  Signal governing movements over hand-operated switch.

    Signal governing movements over hand-operated switch in the facing 
direction shall display its most restrictive aspect when the points are 
open one-fourth inch or more and, in the trailing direction, three-
eighths inch or more, except that where a separate aspect is displayed 
for facing movements over the switch in the normal and in the reverse 
position, the signal shall display its most restrictive aspect when the 
switch points are open one-fourth inch or more from either the normal or 
reverse position.



Sec. 236.203  Hand operated crossover between main tracks; protection.

    At hand-operated crossover between main tracks, protection shall be 
provided by one of the following:
    (a) An arrangement of one or more track circuits and switch circuit 
controllers,
    (b) Facing point locks on both switches of the crossover, with both 
locks operated by a single lever, or
    (c) Electric locking of the switches of the crossover. Signals 
governing movements over either switch shall display their most 
restrictive aspect when any of the following conditions exist:
    (1) Where protection is provided by one or more track circuits and 
switch

[[Page 511]]

circuit controllers, and either switch is open or the crossover is 
occupied by a train, locomotive or car in such a manner as to foul the 
main track. It shall not be a violation of this requirement where the 
presence of sand, rust, dirt, grease or other foreign matter on the rail 
prevents effective shunting;
    (2) Where facing point locks with a single lever are provided, and 
either switch is unlocked;
    (3) Where the switches are electrically locked, before the electric 
locking releases.



Sec. 236.204  Track signaled for movements in both directions, requirements.

    On track signaled for movements in both directions, a train shall 
cause one or more opposing signals immediately ahead of it to display 
the most restrictive aspect, the indication of which shall be not more 
favorable than ``proceed at restricted speed.'' Signals shall be so 
arranged and controlled that if opposing trains can simultaneously pass 
signals displaying proceed aspects and the next signal in advance of 
each such signal then displays an aspect requiring a stop, or its most 
restrictive aspect, the distance between opposing signals displaying 
such aspects shall be not less than the aggregate of the stopping 
distances for movements in each direction. Where such opposing signals 
are spaced stopping distance apart for movements in one direction only, 
signals arranged to display restrictive aspects shall be provided in 
approach to at least one of the signals. Where such opposing signals are 
spaced less than stopping distance apart for movements in one direction, 
signals arranged to display restrictive aspects shall be provided in 
approach to both such signals. In absolute permissive block signaling, 
when a train passes a head block signal, it shall cause the opposing 
head block signal to display an aspect with an indication not more 
favorable than ``stop.''

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3384, Jan. 26, 1984]



Sec. 236.205  Signal control circuits; requirements.

    The circuits shall be so installed that each signal governing train 
movements into a block will display its most restrictive aspect when any 
of the following conditions obtain within the block:
    (a) Occupancy by a train, locomotive, or car,
    (b) When points of a switch are not closed in proper position,
    (c) When an independently operated fouling point derail equipped 
with switch circuit controller is not in derailing position,
    (d) When a track relay is in de-energized position or a device which 
functions as a track relay is in its most restrictive state; or when 
signal control circuit is deenergized.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3385, Jan. 26, 1984]



Sec. 236.206  Battery or power supply with respect to relay; location.

    The battery or power supply for each signal control relay circuit, 
where an open-wire circuit or a common return circuit is used, shall be 
located at the end of the circuit farthest from the relay.



Sec. 236.207  Electric lock on hand-operated switch; control.

    Electric lock on hand-operated switch shall be controlled so that it 
cannot be unlocked until control circuits of signals governing movements 
over such switch have been opened. Approach or time locking shall be 
provided.

[49 FR 3385, Jan. 26, 1984]



                         Subpart C--Interlocking

                                Standards



Sec. 236.301  Where signals shall be provided.

    Signals shall be provided to govern train movements into and through 
interlocking limits, except that a signal shall not be required to 
govern movements over a hand-operated switch into interlocking limits if 
the switch is provided with an electric lock and a derail at the 
clearance point, either pipe-connected to the switch or independently 
locked, electrically. Electric locks installed under this rule

[[Page 512]]

must conform to the time and approach locking requirements of Rule 314 
(without reference to the 20-mile exceptions), and those of either Rule 
760 or Rule 768, as may be appropriate.



Sec. 236.302  Track circuits and route locking.

    Track circuits and route locking shall be provided and shall be 
effective when the first pair of wheels of a locomotive or a car passes 
a point not more than 13 feet in advance of the signal governing its 
movement, measured from the center of the mast, or if there is no mast, 
from the center of the signal.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.303  Control circuits for signals, selection through circuit controller operated by switch points or by switch locking mechanism.

    The control circuit for each aspect with indication more favorable 
than ``proceed at restricted speed'' of power operated signal governing 
movements over switches, movable-point frogs and derails shall be 
selected through circuit controller operated directly by switch points 
or by switch locking mechanism, or through relay controlled by such 
circuit controller, for each switch, movable-point frog, and derail in 
the routes governed by such signal. Circuits shall be arranged so that 
such signal can display an aspect more favorable than ``proceed at 
restricted speed,'' only when each switch, movable-point frog, and 
derail in the route is in proper position.



Sec. 236.304  Mechanical locking or same protection effected by circuits.

    Mechanical locking, or the same protection effected by means of 
circuits, shall be provided.



Sec. 236.305  Approach or time locking.

    Approach or time locking shall be provided in connection with 
signals displaying aspects with indications more favorable than 
``proceed at restricted speed.''



Sec. 236.306  Facing point lock or switch-and-lock movement.

    Facing point lock or switch-and-lock movement shall be provided for 
mechanically operated switch, movable-point frog, or split-point derail.



Sec. 236.307  Indication locking.

    Indication locking shall be provided for operative approach signals 
of the semaphore type, power-operated home signals, power-operated 
switches, movable-point frogs and derails, and for all approach signals 
except light signals, all aspects of which are controlled by polar or 
coded track circuits or line circuits so arranged that a single fault 
will not permit a more favorable aspect than intented to be displayed.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.308  Mechanical or electric locking or electric circuits; requisites.

    Mechanical or electric locking or electric circuits shall be 
installed to prevent signals from displaying aspects which permit 
conflicting movements except that opposing signals may display an aspect 
indicating proceed at restricted speed at the same time on a track used 
for switching movements only, by one train at a time. Manual 
interlocking in service as of the date of this part at which opposing 
signals on the same track are permitted simultaneously to display 
aspects authorizing conflicting movements when interlocking is 
unattended, may be continued, provided that simultaneous train movements 
in opposite directions on the same track between stations on either side 
of the interlocking are not permitted.

    Note: Relief from the requirement of this section will be granted 
upon an adequate showing by an individual carrier to allow opposing 
signals on the same track simultaneously to display aspects to proceed 
through an interlocking which is unattended, provided that train 
movements in opposite directions on the same track between stations on 
either site of the interlocking are not permitted at the same time.



Sec. 236.309  Loss of shunt protection; where required.

    (a) A loss of shunt of 5 seconds or less shall not permit an 
established route to be changed at an automatic interlocking.
    (b) A loss of shunt of 5 seconds or less shall not permit the 
release of the

[[Page 513]]

route locking circuit of each power-operated switch hereafter installed.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.310  Signal governing approach to home signal.

    A signal shall be provided on main track to govern the approach with 
the current of traffic to any home signal except where the home signal 
is the first signal encountered when leaving yards or stations and 
authorized speed approaching such signal is not higher than slow speed. 
When authorized speed between home signals on route governed is 20 miles 
per hour or less, an inoperative signal displaying an aspect indicating 
``approach next signal prepared to stop'' may be used to govern the 
approach to the home signal.



Sec. 236.311  Signal control circuits, selection through track relays or devices functioning as track relays and through signal mechanism contacts and time 
          releases at automatic interlocking.

    (a) The control circuits for aspects with indications more favorable 
than ``proceed at restricted speed'' shall be selected through track 
relays, or through devices that function as track relays, for all track 
circuits in the route governed.
    (b) At automatic interlocking, signal control circuits shall be 
selected (1) through track relays, or devices that function as track 
relays, for all track circuits in the route governed and in all 
conflicting routes within the interlocking; (2) through signal mechanism 
contacts or relay contacts closed when signals for such conflicting 
routes display ``stop'' aspects; and (3) through normal contacts of time 
releases, time element relays, or timing devices for such conflicting 
routes, or contacts of relays repeating the normal position or normal 
state of such time releases, time element relays, or timing devices.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.312  Movable bridge, interlocking of signal appliances with bridge devices.

    When movable bridge is protected by interlocking the signal 
appliances shall be so interlocked with bridge devices that before a 
signal governing movements over the bridge can display an aspect to 
proceed the bridge must be locked and the track alined, with the bridge 
locking members within one inch of their proper positions and with the 
track rail on the movable span within three-eighths inch of correct 
surface and alinement with rail seating device on bridge abutment or 
fixed span. Emergency bypass switches and devices shall be locked or 
sealed.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3385, Jan. 26, 1984]



Sec. 236.313  [Reserved]



Sec. 236.314  Electric lock for hand-operated switch or derail.

    Electric lock shall be provided for each hand-operated switch or 
derail within interlocking limits, except where train movements are made 
at not exceeding 20 miles per hour. At manually operated interlocking it 
shall be controlled by operator of the machine and shall be unlocked 
only after signals governing movements over such switch or derail 
display aspects indicating stop. Approach or time locking shall be 
provided.

                         Rules and Instructions



Sec. 236.326  Mechanical locking removed or disarranged; requirement for permitting train movements through interlocking.

    When mechanical locking of interlocking machine is being changed or 
is removed from the machine, or locking becomes disarranged or broken, 
unless protection equivalent to mechanical locking is provided by 
electric locking or electric circuits, train movements through the 
interlocking shall not be permitted until each switch, movable-point 
frog or derail in the route is spiked, clamped or blocked in proper 
position so that it cannot be moved by its controlling lever, and then 
train movements shall not exceed restricted speed until the interlocking 
is restored to normal operation. It will not be necessary to comply with 
this requirement at interlockings where protection is in service in 
accordance with section 303, provided that the signal controls are 
arranged so that the signals cannot display an aspect the indication of

[[Page 514]]

which is less restrictive than ``proceed at restricted speed.''



Sec. 236.327  Switch, movable-point frog or split-point derail.

    Switch, movable-point frog, or split-point derail equipped with lock 
rod shall be maintained so that it can not be locked when the point is 
open three-eighths inch or more.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.328  Plunger of facing-point lock.

    Plunger of lever operated facing-point lock shall have at least 8-
inch stroke. When lock lever is in unlocked position the end of the 
plunger shall clear the lock rod not more than one inch.



Sec. 236.329  Bolt lock.

    Bolt lock shall be so maintained that signal governing movements 
over switch or derail and displaying an aspect indicating stop cannot be 
operated to display a less restrictive aspect while derail is in 
derailing position, or when switch point is open one-half inch or more.



Sec. 236.330  Locking dog of switch-and-lock movement.

    Locking dog of switch-and-lock movement shall extend through lock 
rod one-half inch or more in either normal or reverse position.



Secs. 236.331-236.333  [Reserved]



Sec. 236.334  Point detector.

    Point detector shall be maintained so that when switch mechanism is 
locked in normal or reverse position, contacts cannot be opened by 
manually applying force at the closed switch point. Point detector 
circuit controller shall be maintained so that the contacts will not 
assume the position corresponding to switch point closure if the switch 
point is prevented by an obstruction, from closing to within one-fourth 
inch where latch-out device is not used, and to within three-eighths 
inch where latch-out device is used.



Sec. 236.335  Dogs, stops and trunnions of mechanical locking.

    Driving pieces, dogs, stops and trunnions shall be rigidly secured 
to locking bars. Swing dogs shall have full and free movement. Top 
plates shall be maintained securely in place.



Sec. 236.336  Locking bed.

    The various parts of the locking bed, locking bed supports, and 
tappet stop rail shall be rigidly secured in place and alined to permit 
free operation of locking.



Sec. 236.337  Locking faces of mechanical locking; fit.

    Locking faces shall fit squarely against each other with a minimum 
engagement when locked of at least one-half the designed locking face.



Sec. 236.338  Mechanical locking required in accordance with locking sheet and dog chart.

    Mechanical locking shall be in accordance with locking sheet and dog 
chart currently in effect.



Sec. 236.339  Mechanical locking, maintenance requirements.

    Locking and connections shall be maintained so that, when a lever or 
latch is mechanically locked the following will be prevented:
    (a) Mechanical machine. (1) Latch-operated locking. Raising lever 
latch block so that bottom thereof is within three-eighths inch of top 
of quadrant.
    (2) Lever-operated locking. Moving lever latch block more than 
three-eighths inch on top of quadrant.
    (b) Electromechanical machine. (1) Lever moving in horizontal plant. 
Moving lever more than five-sixteenths inch when in normal position or 
more than nine-sixteenths inch when in reverse position.
    (2) Lever moving in arc. Moving lever more than 5 degrees.
    (c) Power machine. (1) Latch-operated locking. Raising lever latch 
block to that bottom thereof is within seven thirty-seconds inch of top 
of quadrant.
    (2) Lever moving in horizontal plane. Moving lever more than five-
sixteenths inch when in normal position or more than nine-sixteenths 
inch when in reverse position.
    (3) Lever moving in arc. Moving lever more than 5 degrees.

[[Page 515]]



Sec. 236.340  Electromechanical interlocking machine; locking between electrical and mechanical levers.

    In electro-mechanical interlocking machine, locking between electric 
and mechanical levers shall be maintained so that mechanical lever 
cannot be operated except when released by electric lever.



Sec. 236.341  Latch shoes, rocker links, and quadrants.

    Latch shoes, rocker links, and quadrants of Saxby and farmer 
machines shall be maintained so that locking will not release if a 
downward force not exceeding a man's weight is exerted on the rocker 
while the lever is in the mid-stroke position.



Sec. 236.342  Switch circuit controller.

    Switch circuit controller connected at the point to switch, derail, 
or movable-point frog, shall be maintained so that its contacts will not 
be in position corresponding to switch point closure when switch point 
is open one-fourth inch or more.

                          Inspection and Tests



Sec. 236.376  Mechanical locking.

    Mechanical locking in interlocking machine shall be tested when new 
locking is installed; and thereafter when change in locking is made, or 
locking becomes disarranged, or tested at least once every two years, 
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.377  Approach locking.

    Approach locking shall be tested when placed in service and 
thereafter when modified, disarranged, or at least once every two years, 
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.378  Time locking.

    Time locking shall be tested when placed in service and thereafter 
when modified, disarranged, or at least once every two years, whichever 
shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.379  Route locking.

    Route locking or other type of switch locking shall be tested when 
placed in service and thereafter when modified, disarranged, or at least 
once every two years, whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.380  Indication locking.

    Indication locking shall be tested when placed in service and 
thereafter when modified, disarranged, or at least once every two years, 
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.381  Traffic locking.

    Traffic locking shall be tested when placed in service and 
thereafter when modified, disarranged, or at least once every two years, 
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.382  Switch obstruction test.

    Switch obstruction test of lock rod of each power-operated switch 
and lock rod of each hand-operated switch equipped with switch-and-lock-
movement shall be made when lock rod is placed in service or changed 
out, but not less than once each month.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.383  Valve locks, valves, and valve magnets.

    Valve locks on valves of the non-cut-off type shall be tested at 
least once every three months, and valves and valve magnets shall be 
tested at least once every year.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.384  Cross protection.

    Cross protection shall be tested at least once every six months.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.385  [Reserved]



Sec. 236.386  Restoring feature on power switches.

    Restoring feature on power switches shall be tested at least once 
every three months.

[[Page 516]]



Sec. 236.387  Movable bridge locking.

    Movable bridge locking shall be tested at least once a year.



                   Subpart D--Traffic Control Systems

                                Standards



Sec. 236.401  Automatic block signal system and interlocking standards applicable to traffic control systems.

    The standards prescribed in Secs. 236.201, to 236.203, inclusive, 
Secs. 236.205, 236.206, 236.303, 236.307 and 236.309 to 236.311, 
inclusive, shall apply to traffic control systems.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.402  Signals controlled by track circuits and control operator.

    The control circuits for home signal aspects with indications more 
favorable than ``proceed at restricted speed'' shall be controlled by 
track circuits extending through entire block. Also in addition, at 
controlled point they may be controlled by control operator, and, at 
manually operated interlocking, they shall be controlled manually in 
cooperation with control operator.



Sec. 236.403  Signals at controlled point.

    Signals at controlled point shall be so interconnected that aspects 
to proceed cannot be displayed simultaneously for conflicting movements, 
except that opposing signals may display an aspect indicating ``proceed 
at restricted speed'' at the same time on a track used for switching 
movements only, by one train at a time.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.404  Signals at adjacent control points.

    Signals at adjacent controlled points shall be so interconnected 
that aspects to proceed on tracks signaled for movements at greater than 
restricted speed cannot be displayed simultaneously for conflicting 
movements.



Sec. 236.405  Track signaled for movements in both directions, change of direction of traffic.

    On track signaled for movements in both directions, occupancy of the 
track between opposing signals at adjacent controlled points shall 
prevent changing the direction of traffic from that which obtained at 
the time the track became occupied, except that when a train having left 
one controlled point reaches a section of track immediately adjacent to 
the next controlled point at which switching is to be performed, an 
aspect permitting movement at not exceeding restricted speed may be 
displayed into the occupied block.



Sec. 236.406  [Reserved]



Sec. 236.407  Approach or time locking; where required.

    Approach or time locking shall be provided for all controlled 
signals where route or direction of traffic can be changed.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.408  Route locking.

    Route locking shall be provided where switches are power-operated. 
Route locking shall be effective when the first pair of wheels of a 
locomotive or car passes a point not more than 13 feet in advance of the 
signal governing its movement, measured from the center of the signal 
mast or, if there is no mast, from the center of the signal.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.409  [Reserved]



Sec. 236.410  Locking, hand-operated switch; requirements.

    (a) Each hand-operated switch in main track shall be locked either 
electrically or mechanically in normal position, except:
    (1) Where train speeds over the switch do not exceed 20 miles per 
hour;
    (2) Where trains are not permitted to clear the main track;
    (3) Where a signal is provided to govern train movements from the 
auxiliary track to the signaled track; or
    (4) On a signaled siding without intermediate signals where the 
maximum authorized speed on the siding does not exceed 30 miles per 
hour.
    (b) Approach or time locking shall be provided and locking may be 
released either automatically, or by the control operator, but only 
after the control circuits of signals governing movement in either 
direction over the switch and

[[Page 517]]

which display aspects with indications more favorable than ``proceed at 
restricted speed'' have been opened directly or by shunting of track 
circuit.

    Note: Each carrier subject to this rule is hereby authorized to 
remove electrical or mechanical locks now installed within the purview 
of Sec. 236.410 when either exception (1) or (2) of the present rule is 
satisfied, subject to the condition that the following procedures and 
actions be accomplished:
    1. Each carrier intending to remove a lock under the findings made 
herein and based on the existence of one or more of the circumstances as 
set forth in exception (1) or (2) as contained in the revised section, 
shall:
    (a) Notify the FRA by letter setting forth the location of the lock 
involved and the specific exception on which removal is based.
    (b) Include in the letter to the FRA an assurance that the excepting 
circumstance relied upon will not be changed without either 
reinstallation of the electric or mechanical lock, or approval by the 
FRA of the changed circumstances.
    (c) Publish in its Time Table the not-to-exceed 20 miles per hour 
speed limit covering the area of the switch, when that is the exception 
relied upon; or, where exception (2) is relied upon, publish either in 
the Special Instructions part of its Time Table or in separate printed 
Special Instructions the location of each hand-operated switch where 
electric or mechanical lock is removed and, where train movements are 
made in excess of twenty (20) miles per hour, concurrently issuing 
specific instructions, by stating therein, that trains are not to be 
permitted to clear the main track at such switch.
    2. Following the foregoing, and upon acknowledgment of the letter to 
the FRA, such acknowledgment to be made promptly as an administrative 
action by the FRA's Bureau of Railroad Safety, and such acknowledging 
letter to be retained by the carrier as authority for the removal and as 
a record of the exception on which relied, the lock may then be removed.

    (c) Where a signal is used in lieu of electric or mechanical lock to 
govern movements from auxiliary track to signaled track, the signal 
shall not display an aspect to proceed until after the control circuits 
of signals governing movement on main track in either direction over the 
switch have been opened, and either the approach locking circuits to the 
switch are unoccupied or a predetermined time interval has expired.

    Note: Railroads shall bring all hand-operated switches that are not 
electrically or mechanically locked and that do not conform to the 
requirements of this section on the effective date of this part into 
conformity with this section in accordance with the following schedule:
    Not less than 33% during calendar year 1984.
    Not less than 66% during calendar year 1985.
    The remainder during calendar year 1986.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3386, Jan. 26, 1984]

                         Rules and Instructions



Sec. 236.426  Interlocking rules and instructions applicable to traffic control systems.

    The rules and instructions prescribed in Secs. 236.327 and 236.328, 
Sec. 236.330 to Sec. 236.334, inclusive, and Sec. 236.342 shall apply to 
traffic control systems.

                          Inspection and Tests



Sec. 236.476  Interlocking inspections and tests applicable to traffic control systems.

    The inspections and tests prescribed in Secs. 236.377 to 236.380, 
inclusive, and Secs. 236.382, 236.383, and 236.386 shall apply to 
traffic control systems.

[49 FR 3386, Jan. 26, 1984]



  Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems

                                Standards



Sec. 236.501  Forestalling device and speed control.

    (a) An automatic train stop system may include a device by means of 
which the automatic application of the brakes can be forestalled.
    (b) Automatic train control system shall include one or more of the 
following features:
    (1) Low-speed restriction, requiring the train to proceed under slow 
speed after it has either been stopped by an automatic application of 
the brakes, or under control of the engineman, its speed has been 
reduced to slow speed, until the apparatus is automatically restored to 
normal because the condition which caused the restriction no longer 
affects the movement of the train.

[[Page 518]]

    (2) Medium-speed restriction, requiring the train to proceed under 
medium speed after passing a signal displaying an approach aspect or 
when approaching a signal requiring a stop, or a stop indication point, 
in order to prevent an automatic application of the brakes.

    Note: Relief from the requirements of paragraphs (b) (1) and (2) of 
this section will be granted, insofar as speed limits fixed by 
definitions of Slow and Medium speeds are concerned, upon an adequate 
showing by an individual carrier where automatic train control systems 
now in service enforce speed restrictions higher than those required by 
definitions in Secs. 236.700 to 236.838 inclusive.

    (3) Maximum-speed restriction, effecting an automatic brake 
application whenever the predetermined maximum speed limit is exceeded.



Sec. 236.502  Automatic brake application, initiation by restrictive block conditions stopping distance in advance.

    An automatic train-stop or train-control system shall operate to 
initiate an automatic brake application at least stopping distance from 
the entrance to a block, wherein any condition described in Sec. 236.205 
obtains, and at each main track signal requiring a reduction in speed.



Sec. 236.503  Automatic brake application; initiation when predetermined rate of speed exceeded.

    An automatic train control system shall operate to initiate an 
automatic brake application when the speed of the train exceeds the 
predetermined rate as required by the setting of the speed control 
mechanism.



Sec. 236.504  Operation interconnected with automatic block-signal system.

    (a) A continuous inductive automatic train stop or train control 
system shall operate in connection with an automatic block signal system 
and shall be so interconnected with the signal system as to perform its 
intended function in event of failure of the engineer to acknowledge or 
obey a restrictive wayside signal or a more restrictive cab signal.
    (b) An intermittent inductive automatic train stop system shall 
operate in connection with an automatic block signal system and shall be 
so interconnected with the signal system that the failure of the 
engineer to acknowledge a restrictive wayside signal will cause the 
intermittent inductive automatic train stop system to perform its 
intended function.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.505  Proper operative relation between parts along roadway and parts on locomotive.

    Proper operative relation between the parts along the roadway and 
the parts on the locomotive shall obtain under all conditions of speed, 
weather, wear, oscillation, and shock.



Sec. 236.506  Release of brakes after automatic application.

    The automatic train stop or train control apparatus shall prevent 
release of the brakes after automatic application until a reset device 
has been operated, or the speed of the train has been reduced to a 
predetermined rate, or the condition that caused the brake application 
no longer affects the movement of the train. If reset device is used it 
shall be arranged so that the brakes cannot be released until the train 
has been stopped, or it shall be located so that it cannot be operated 
by engineman without leaving his accustomed position in the cab.



Sec. 236.507  Brake application; full service.

    The automatic train stop or train control apparatus shall, when 
operated, cause a full service application of the brakes.



Sec. 236.508  Interference with application of brakes by means of brake valve.

    The automatic train stop, train control, or cab signal apparatus 
shall be so arranged as not to interfere with the application of the 
brakes by means of the brake valve and not to impair the efficiency of 
the brake system.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.509  Two or more locomotives coupled.

    The automatic train stop, train control or cab signal apparatus 
shall be arranged so that when two or more locomotives are coupled, or a 
pushing or

[[Page 519]]

helping locomotive is used, it can be made operative only on the 
locomotive from which the brakes are controlled.



Sec. 236.510  [Reserved]



Sec. 236.511  Cab signals controlled in accordance with block conditions stopping distance in advance.

    The automatic cab signal system shall be arranged so that cab 
signals will be continuously controlled in accordance with conditions 
described in Sec. 236.205 that obtain at least stopping distance in 
advance.



Sec. 236.512  Cab signal indication when locomotive enters block where restrictive conditions obtain.

    The automatic cab signal system shall be arranged so that when a 
locomotive enters or is within a block, wherein any condition described 
in Sec. 236.205 obtains, the cab signals shall indicate ``Proceed at 
Restricted Speed.''



Sec. 236.513  Audible indicator.

    (a) The automatic cab signal system shall be so arranged that when 
the cab signal changes to display a more restrictive aspect, an audible 
indicator will sound continuously until silenced by manual operation of 
an acknowledging device.
    (b) The audible cab indicator of automatic cab signal, automatic 
train stop, or automatic train control system shall have a distinctive 
sound and be clearly audible throughout the cab under all operating 
conditions.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.514  Interconnection of cab signal system with roadway signal system.

    The automatic cab signal system shall be interconnected with the 
roadway-signal system so that the cab signal indication will not 
authorize operation of the train at a speed higher than that authorized 
by the indication of the roadway signal that governed the movement of a 
train into a block except when conditions affecting movement of trains 
in the block change after the train passes the signal.



Sec. 236.515  Visibility of cab signals.

    The cab signals shall be plainly visible to member or members of the 
locomotive crew from their stations in the cab.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.516  Power supply.

    Automatic cab signal, train stop, or train control device hereafter 
installed shall operate from a separate or isolated power supply.

[49 FR 3386, Jan. 26, 1984]

                     Rules and Instructions; Roadway



Sec. 236.526  Roadway element not functioning properly.

    When a roadway element except track circuit of automatic train stop, 
train control or cab signal system is not functioning as intended, the 
signal associated with such roadway element shall be caused manually to 
display its most restrictive aspect until such element has been restored 
to normal operative condition.



Sec. 236.527  Roadway element insulation resistance.

    Insulation resistance between roadway inductor and ground shall be 
maintained at not less than 10,000 ohms.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.528  Restrictive condition resulting from open hand-operated switch; requirement.

    When a facing point hand-operated switch is open one-fourth inch or 
more, a trailing point hand-operated switch three-eighths inch or more, 
or hand-operated switch is not locked where facing point lock with 
circuit controller is used, the resultant restrictive condition of an 
automatic train stop or train control device of the continuous type or 
the resultant restrictive cab signal indication of an automatic cab 
signal device on an approaching locomotive shall be maintained to within 
300 feet of the points of the switch.



Sec. 236.529  Roadway element inductor; height and distance from rail.

    Inductor of the inert roadway element type shall be maintained with 
the

[[Page 520]]

inductor pole faces at a height above the plane of the tops of the 
rails, and with its inner edge at a hmrizontal distance from the gage 
side of the nearest running rail, in accordance with specifications of 
the carrier.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.530  [Reserved]



Sec. 236.531  Trip arm; height and distance from rail.

    Trip arm of automatic train stop device when in the stop position 
shall be maintained at a height above the plane of the tops of the 
rails, and at a horizontal distance from its center line to gage side of 
the nearest running rail, in accordance with specifications of the 
carrier.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.532  Strap iron inductor; use restricted.

    No railroad shall use strap iron inductor or other roadway element 
with characteristics differing from its standard type on track where 
speed higher than restricted speed is permitted.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.533  [Reserved]



Sec. 236.534  Entrance to equipped territory; requirements.

    Where trains are not required to stop at the entrance to equipped 
territory, except when leaving yards and stations and speed until 
entering equipped territory does not exceed restricted speed, the 
automatic train stop, train control, or cab signal device shall be 
operative at least stopping distance from the entrance to such territory 
except where the approach thereto is governed by automatic approach 
signal.

                   Rules and Instructions; Locomotives



Sec. 236.551  Power supply voltage; requirement.

    The voltage of power supply shall be maintained within 10 percent of 
rated voltage.



Sec. 236.552  Insulation resistance; requirement.

    When periodic test prescribed in Sec. 236.588 is performed, 
insulation resistance between wiring and ground of continuous inductive 
automatic cab signal system, automatic train control system, or 
automatic train stop system shall be not less than one megohm, and that 
of an intermittent inductive automatic train stop system, not less than 
250,000 ohms. Insulation resistance values between periodic tests shall 
be not less than 250,000 ohms for a continuous inductive automatic cab 
signal system, automatic train control system, or automatic train stop 
system, and 20,000 ohms for an intermittent inductive automatic train 
stop system.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.553  Seal, where required.

    Seal shall be maintained on any device other than brake-pipe cut-out 
cock (double-heading cock), by means of which the operation of the 
pneumatic portion of automatic train-stop or train-control apparatus can 
be cut out.



Sec. 236.554  Rate of pressure reduction; equalizing reservoir or brake pipe.

    The equalizing-reservoir pressure or brake-pipe pressure reduction 
during an automatic brake application shall be at a rate not less than 
that which results from a manual service application.



Sec. 236.555  Repaired or rewound receiver coil.

    Receiver coil which has been repaired or rewound shall have the same 
operating characteristics which it possessed originally or as currently 
specified for new equipment.



Sec. 236.556  Adjustment of relay.

    Change in adjustment of relay shall be made only in a shop equipped 
for that purpose except when receiver coils, electro-pneumatic valve, or 
other essential part of the equipment is replaced. Irregularities in 
power-supply voltage or other variable factors in the circuit shall not 
be compensated for by adjustment of the relay.

[[Page 521]]



Sec. 236.557  Receiver; location with respect to rail.

    (a) Receiver of intermittent inductive automatic train stop device 
of the inert roadway element type shall be maintained with bottom of the 
receiver at a height above the plane of the tops of the rails, and with 
its outer edge at a horizontal distance from the gage side of the 
nearest rail, in accordance with specifications of the carrier.
    (b) Receiver of continuous inductive automatic cab signal, train 
stop, or train control device of locomotive equipped with onboard test 
equipment, shall be maintained with the bottom of the receiver at a 
height above the plane of the tops of the rails, and with its outer edge 
at a horizontal distance from the gage side of the nearest rail, in 
accordance with specifications of the carrier.

[49 FR 3387, Jan. 26, 1984]



Secs. 236.558-236.559  [Reserved]



Sec. 236.560  Contact element, mechanical trip type; location with respect to rail.

    Contact element of automatic train stop device of the mechanical 
trip type shall be maintained at a height above the plane of the tops of 
the rails, and at a horizontal distance from the gage side of the rail, 
in accordance with specifications of the carrier.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.561  [Reserved]



Sec. 236.562  Minimum rail current required.

    The minimum rail current required to restore the locomotive 
equipment of continuous inductive automatic train stop or train control 
device to normal condition or to obtain a proceed indication of 
automatic cab signal device (pick-up) shall be in accordance with 
specifications of the carrier.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.563  Delay time.

    Delay time of automatic train stop or train control system shall not 
exceed 8 seconds and the spacing of signals to meet the requirements of 
Sec. 236.24 shall take into consideration the delay time.



Sec. 236.564  Acknowledging time.

    Acknowledging time of intermittent automatic train-stop device shall 
be not more than 30 seconds.



Sec. 236.565  Provision made for preventing operation of pneumatic brake-applying apparatus by double-heading cock; requirement.

    Where provision is made for preventing the operation of the 
pneumatic brake-applying appartus of an automatic train stop or train 
control device when the double-heading cock is placed in double-heading 
position, the automatic train stop or train control device shall not be 
cut out before communication is closed between the engineman's automatic 
brake valve and the brake pipe, when operating double-heading cock 
toward double-heading position.



Sec. 236.566  Locomotive of each train operating in train stop, train control or cab signal territory; equipped.

    The locomotive from which brakes are controlled, of each train 
operating in automatic train stop, train control, or cab signal 
territory shall be equipped with apparatus responsive to the roadway 
equipment installed on all or any part of the route traversed, and such 
apparatus shall be in operative condition.



Sec. 236.567  Restrictions imposed when device fails and/or is cut out en route.

    Where an automatic train stop, train control, or cab signal device 
fails and/or is cut out enroute, train may proceed at restricted speed 
or if an automatic block signal system is in operation according to 
signal indication but not to exceed medium speed, to the next available 
point of communication where report must be made to a designated 
officer. Where no automatic block signal system is in use train shall be 
permitted to proceed at restricted speed or where automatic block signal 
system is in operation according to signal indication but not to exceed 
medium speed to a point where absolute block can be established. Where 
an absolute block is established in advance of the train on which the

[[Page 522]]

device is inoperative train may proceed at not to exceed 79 miles per 
hour.



Sec. 236.568  Difference between speeds authorized by roadway signal and cab signal; action required.

    If for any reason a cab signal authorizes a speed different from 
that authorized by a roadway signal, when a train enters the block 
governed by such roadway signal, the lower speed shall not be exceeded.

                      Inspection and Tests; Roadway



Sec. 236.576  Roadway element.

    Roadway elements, except track circuits, including those for test 
purposes, shall be gaged monthly for height and alinement, and shall be 
tested at least every 6 months.



Sec. 236.577  Test, acknowledgement, and cut-in circuits.

    Test, acknowledgement, and cut-in circuits shall be tested at least 
once every twelve months.

[49 FR 3387, Jan. 26, 1984]

                    Inspection and Tests; Locomotive



Sec. 236.586  Daily or after trip test.

    (a) Except where tests prescribed by Sec. 236.588 are performed at 
intervals of not more than 2 months, each locomotive equipped with an 
automatic cab signal or train stop or train control device operating in 
equipped territory shall be inspected for damage to the equipment and 
tested at least once each calendar day or within 24 hours before 
departure upon each trip.
    (b) Each equipped locomotive shall be tested to determine the 
locomotive equipment is responsive to the wayside equipment and shall be 
cycled to determine the device functions as intended.
    (c) Each locomotive equipped with intermittent inductive automatic 
train stop or non-coded continuous inductive automatic train stop or 
non-coded continuous inductive automatic train control device shall be 
tested to determine that the pickup of the device is within specified 
limits.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.587  Departure test.

    (a) The automatic train stop, train control, or cab signal apparatus 
on each locomotive, except a locomotive or a multiple-unit car equipped 
with mechanical trip stop, shall be tested using one of the following 
methods:
    (1) Operation over track elements;
    (2) Operation over test circuit;
    (3) Use of portable test equipment; or
    (4) Use of onboard test device.
    (b) The test shall be made on departure of the locomotive from its 
initial terminal unless that apparatus will be cut out between the 
initial terminal and the equipped territory. If the apparatus is cut out 
between the initial terminal and the equipped territory the test shall 
be made prior to entering equipped territory.
    (c) If a locomotive makes more than one trip in any 24-hour period, 
only one departure test is required in such 24-hour period.
    (d)(1) Whoever performs the test shall certify in writing that such 
test was properly performed. The certification and the test results 
shall be posted in the cab of the locomotive and a copy of the 
certification and test results left at the test location for filing in 
the office of the supervisory official having jurisdiction.
    (2) If it is impractical to leave a copy of the certification and 
test results at the location f the test, the test results shall be 
transmitted to either (i) the dispatcher or (ii) one other designated 
individual at each location, who shall keep a written record of the test 
results and the name of the person performing the test. These records 
shall be retained for at least 92 days.

[49 FR 3387, Jan. 26, 1984, as amended at 53 FR 37313, Sept. 26, 1988]

    Effective Date Note: At 49 FR 3387, Jan. 26, 1984, Sec. 236.587 was 
revised. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 236.588  Periodic test.

    Except as provided in Sec. 236.586, periodic test of the automatic 
train stop, train control, or cab signal apparatus shall be made at 
least once every 92

[[Page 523]]

days, and on multiple-unit cars as specified by the carrier, subject to 
approval by the FRA.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.589  Relays.

    (a) Each relay shall be removed from service, subjected to thorough 
test, necessary repairs and adjustments made, and shall not be replaced 
in service unless its operating characteristics are in accordance with 
the limits within which such relay is designed to operate, as follows:
    (1) Master or primary relays of torque type depending on spring 
tension to return contacts to deenergized position in noncoded 
continuous inductive automatic train stop or train control system, at 
least once every two years; and
    (2) All other relays, at least once every six years.
    (b) [Reserved]

[49 FR 3387, Jan. 26, 1984]



Sec. 236.590  Pneumatic apparatus.

    Automatic train stop, train control, or cab signal pneumatic 
apparatus shall be inspected, cleaned, and the results of such 
inspection recorded as provided by Sec. 229.29(a). When a locomotive 
with automatic train stop, train control, or cab signal pneumatic 
apparatus receives out-of-use credit pursuant to Sec. 229.33, the 
automatic train stop, train control, or cab signal apparatus shall be 
tested in accordance with Sec. 236.588 prior to the locomotive being 
placed in service.

[61 FR 33873, July 1, 1996]



  Subpart F--Dragging Equipment and Slide Detectors and Other Similar 
                           Protective Devices

                                Standards



Sec. 236.601  Signals controlled by devices; location.

    Signals controlled by devices used to provide protection against 
unusual contingencies, such as landslides, dragging equipment, burned 
bridges or trestles and washouts shall be located so that stopping 
distance will be provided between the signal and the point where it is 
necessary to stop the train.



                         Subpart G--Definitions



Sec. 236.700  Definitions.

    For the purpose of these rules, standards, and instructions, the 
following definitions will apply.



Sec. 236.701  Application, brake; full service.

    An application of the brakes resulting from a continuous or a split 
reduction in brake pipe pressure at a service rate until maximum brake 
cylinder pressure is developed. As applied to an automatic or electro-
pneumatic brake with speed governor control, an application other than 
emergency which develops the maximum brake cylinder pressure, as 
determined by the design of the brake equipment for the speed at which 
the train is operating.



Sec. 236.702  Arm, semaphore.

    The part of a semaphore signal displaying an aspect. It consists of 
a blade fastened to a spectacle.



Sec. 236.703  Aspect.

    The appearance of a roadway signal conveying an indication as viewed 
from the direction of an approaching train; the appearance of a cab 
signal conveying an indication as viewed by an observer in the cab.



Sec. 236.704  [Reserved]



Sec. 236.705  Bar, locking.

    A bar in an interlocking machine to which the locking dogs are 
attached.



Sec. 236.706  Bed, locking.

    That part of an interlocking machine that contains or holds the 
tappets, locking bars, crosslocking, dogs and other apparatus used to 
interlock the levers.



Sec. 236.707  Blade, semaphore.

    The extended part of a semaphore arm which shows the position of the 
arm.

[[Page 524]]



Sec. 236.708  Block.

    A length of track of defined limits, the use of which by trains is 
governed by block signals, cab signals, or both.



Sec. 236.709  Block, absolute.

    A block in which no train is permitted to enter while it is occupied 
by another train.



Sec. 236.710  Block, latch.

    The lower extremity of a latch rod which engages with a square 
shoulder of the segment or quadrant to hold the lever in position.



Sec. 236.711  Bond, rail joint.

    A metallic connection attached to adjoining rails to insure 
electrical conductivity.



Sec. 236.712  Brake pipe.

    A pipe running from the engineman's brake valve through the train, 
used for the transmission of air under pressure to charge and actuate 
the automatic brake equipment and charge the reservoirs of the electro-
pneumatic brake equipment on each vehicle of the train.



Sec. 236.713  Bridge, movable.

    That section of a structure bridging a navigable waterway so 
designed that it may be displaced to permit passage of traffic on the 
waterway.



Sec. 236.714  Cab.

    The compartment of a locomotive from which the propelling power and 
power brakes of the train are manually controlled.



Secs. 236.715-236.716  [Reserved]



Sec. 236.717  Characteristics, operating.

    The measure of electrical values at which electrical or electronic 
apparatus operate (e.g., drop-away, pick-up, maximum and minimum 
current, and working value).

[49 FR 3387, Jan. 26, 1984]



Sec. 236.718  Chart, dog.

    A diagrammatic representation of the mechanical locking of an 
interlocking machine, used as a working plan in making up, assembling 
and fitting the locking.



Sec. 236.719  Circuit, acknowledgment.

    A circuit consisting of wire or other conducting material installed 
between the track rails at each signal in territory where an automatic 
train stop system or cab signal system of the continuous inductive type 
with 2-indication cab signals is in service, to enforce acknowledgement 
by the engineman at each signal displaying an aspect requiring a stop.



Sec. 236.720  Circuit, common return.

    A term applied where one wire is used for the return of more than 
one electric circuit.



Sec. 236.721  Circuit, control.

    An electrical circuit between a source of electric energy and a 
device which it operates.



Sec. 236.722  Circuit, cut-in.

    A roadway circuit at the entrance to automatic train stop, train 
control or cab signal territory by means of which locomotive equipment 
of the continuous inductive type is actuated so as to be in operative 
condition.



Sec. 236.723  Circuit, double wire; line.

    An electric circuit not employing a common return wire; a circuit 
formed by individual wires throughout.



Sec. 236.724  Circuit, shunt fouling.

    The track circuit in the fouling section of a turnout, connected in 
multiple with the track circuit in the main track.



Sec. 236.725  Circuit, switch shunting.

    A shunting circuit which is closed through contacts of a switch 
circuit controller.



Sec. 236.726  Circuit, track.

    An electrical circuit of which the rails of the track form a part.



Sec. 236.727  Circuit, track; coded.

    A track circuit in which the energy is varied or interrupted 
periodically.



Sec. 236.728  Circuit, trap.

    A term applied to a circuit used where it is desirable to provide a 
track

[[Page 525]]

circuit but where it is impracticable to maintain a track circuit.



Sec. 236.729  Cock, double heading.

    A manually operated valve by means of which the control of brake 
operation is transferred to the leading locomotive.



Sec. 236.730  Coil, receiver.

    Concentric layers of insulated wire wound around the core of a 
receiver of an automatic train stop, train control or cab signal device 
on a locomotive.



Sec. 236.731  Controller, circuit.

    A device for opening and closing electric circuits.



Sec. 236.732  Controller, circuit; switch.

    A device for opening and closing electric circuits, operated by a 
rod connected to a switch, derail or movable-point frog.



Sec. 236.733  Current, foreign.

    A term applied to stray electric currents which may affect a 
signaling system, but which are not a part of the system.



Sec. 236.734  Current of traffic.

    The movement of trains on a specified track in a designated 
direction.



Sec. 236.735  Current, leakage.

    A stray electric current of relatively small value which flows 
through or across the surface of insulation when a voltage is impressed 
across the insulation.



Sec. 236.736  Cut-section.

    A location other than a signal location where two adjoining track 
circuits end within a block.



Sec. 236.737  Cut-section, relayed.

    A cut-section where the energy for one track circuit is supplied 
through front contacts or through front and polar contacts of the track 
relay for the adjoining track circuit.



Sec. 236.738  Detector, point.

    A circuit controller which is part of the switch operating mechanism 
and operated by a rod connected to a switch, derail or movable point 
frog to indicate that the point is within a specified distance of the 
stock rail.



Sec. 236.739  Device, acknowledging.

    A manually operated electric switch or pneumatic valve by means of 
which, on a locomotive equipped with an automatic train stop or train 
control device, an automatic brake application can be forestalled, or by 
means of which, on a locomotive equipped with an automatic cab signal 
device, the sounding of the cab indicator can be silenced.



Sec. 236.740  Device, reset.

    A device whereby the brakes may be released after an automatic train 
control brake application.



Sec. 236.741  Distance, stopping.

    The maximum distance on any portion of any railroad which any train 
operating on such portion of railroad at its maximum authorized speed, 
will travel during a full service application of the brakes, between the 
point where such application is initiated and the point where the train 
comes to a stop.



Sec. 236.742  Dog, locking.

    A steel block attached to a locking bar or tappet of an interlocking 
machine, by means of which locking between levers is accomplished.



Sec. 236.743  Dog, swing.

    A locking dog mounted in such a manner that it is free to rotate on 
a trunnion which is riveted to a locking bar.

    Cross Reference: Element, contact. See receiver, Sec. 236.788.



Sec. 236.744  Element, roadway.

    That portion of the roadway apparatus of automatic train stop, train 
control, or cab signal system, such as electric circuit, inductor, or 
trip arm to which the locomotive apparatus of such system is directly 
responsive.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.745  Face, locking.

    The locking surface of a locking dog, tappet or cross locking of an 
interlocking machine.

[[Page 526]]



Sec. 236.746  Feature, restoring.

    An arrangement on an electro-pneumatic switch by means of which 
power is applied to restore the switch movement to full normal or to 
full reverse position, before the driving bar creeps sufficiently to 
unlock the switch, with control level in normal or reverse position.

[49 FR 3388, Jan. 26, 1984]



Sec. 236.747  Forestall.

    As applied to an automatic train stop or train control device, to 
prevent an automatic brake application by operation of an acknowledging 
device or by manual control of the speed of the train.



Sec. 236.748  [Reserved]



Sec. 236.749  Indication.

    The information conveyed by the aspect of a signal.

    Cross Reference: Inductor, see Sec. 236.744.



Sec. 236.750  Interlocking, automatic.

    An arrangement of signals, with or without other signal appliances, 
which functions through the exercise of inherent powers as distinguished 
from those whose functions are controlled manually, and which are so 
interconnected by means of electric circuits that their movements must 
succeed each other in proper sequence, train movements over all routes 
being governed by signal indication.



Sec. 236.751  Interlocking, manual.

    An arrangement of signals and signal appliances operated from an 
interlocking machine and so interconnected by means of mechanical and/or 
electric locking that their movements must succeed each other in proper 
sequence, train movements over all routes being governed by signal 
indication.



Sec. 236.752  Joint, rail, insulated.

    A joint in which electrical insulation is provided between adjoining 
rails.



Sec. 236.753  Limits, interlocking.

    The tracks between the opposing home signals of an interlocking.



Sec. 236.754  Line, open wire.

    An overhead wire line consisting of single conductors as opposed to 
multiple-conductor cables.



Sec. 236.755  Link, rocker.

    That portion of an interlocking machine which transmits motion 
between the latch and the universal link.



Sec. 236.756  Lock, bolt.

    A mechanical lock so arranged that if a switch, derail or movable-
point frog is not in the proper position for a train movement, the 
signal governing that movement cannot display an aspect to proceed; and 
that will prevent a movement of the switch, derail or movable-point frog 
unless the signal displays its most restrictive aspect.



Sec. 236.757  Lock, electric.

    A device to prevent or restrict the movement of a lever, a switch or 
a movable bridge, unless the locking member is withdrawn by an 
electrical device, such as an electromagnet, solenoid or motor.



Sec. 236.758  Lock, electric, forced drop.

    An electric lock in which the locking member is mechanically forced 
down to the locked position.



Sec. 236.759  Lock, facing point.

    A mechanical lock for a switch, derail, or movable-point frog, 
comprising a plunger stand and a plunger which engages a lock rod 
attached to the switch point to lock the operated unit.



Sec. 236.760  Locking, approach.

    Electric locking effective while a train is approaching, within a 
specified distance, a signal displaying an aspect to proceed, and which 
prevents, until after the expiration of a predetermined time interval 
after such signal has been caused to display its most restrictive 
aspect, the movement of any interlocked or electrically locked switch, 
movable-point frog, or derail in the route governed by the signal, and 
which prevents an aspect to proceed from being displayed for any 
conflicting route.

[[Page 527]]



Sec. 236.761  Locking, electric.

    The combination of one or more electric locks and controlling 
circuits by means of which levers of an interlocking machine, or 
switches or other units operated in connection with signaling and 
interlocking, are secured against operation under certain conditions.



Sec. 236.762  Locking, indication.

    Electric locking which prevents manipulation of levers that would 
result in an unsafe condition for a train movement if a signal, switch, 
or other operative unit fails to make a movement corresponding to that 
of its controlling lever, or which directly prevents the operation of a 
signal, switch, or other operative unit, in case another unit which 
should operate first fails to make the required movement.



Sec. 236.763  Locking, latch operated.

    The mechanical locking of an interlocking machine which is actuated 
by means of the lever latch.



Sec. 236.764  Locking, lever operated.

    The mechanical locking of an interlocking machine which is actuated 
by means of the lever.



Sec. 236.765  Locking, mechanical.

    An arrangement of locking bars, dogs, tappets, cross locking and 
other apparatus by means of which interlocking is effected between the 
levers of an interlocking machine and so interconnected that their 
movements must succeed each other in a predetermined order.



Sec. 236.766  Locking, movable bridge.

    The rail locks, bridge locks, bolt locks, circuit controllers, and 
electric locks used in providing interlocking protection at a movable 
bridge.



Sec. 236.767  Locking, route.

    Electric locking, effective when a train passes a signal displaying 
an aspect for it to proceed, which prevents the movement of any switch, 
movable-point frog, or derail in advance of the train within the route 
entered. It may be so arranged that as a train clears a track section of 
the route, the locking affecting that section is released.



Sec. 236.768  Locking, time.

    A method of locking, either mechanical or electrical, which, after a 
signal has been caused to display an aspect to proceed, prevents, until 
after the expiration of a predetermined time interval after such signal 
has been caused to display its most restrictive aspect, the operation of 
any interlocked or electrically locked switch, movable-point frog, or 
derail in the route governed by that signal, and which prevents an 
aspect to proceed from being displayed for any conflicting route.



Sec. 236.769  Locking, traffic.

    Electric locking which prevents the manipulation of levers or other 
devices for changing the direction of traffic on a section of track 
while that section is occupied or while a signal displays an aspect for 
a movement to proceed into that section.



Sec. 236.770  Locomotive.

    A self-propelled unit of equipment which can be used in train 
service.



Sec. 236.771  Machine, control.

    An assemblage of manually operated devices for controlling the 
functions of a traffic control system; it may include a track diagram 
with indication lights.



Sec. 236.772  Machine, interlocking.

    An assemblage of manually operated levers or other devices for the 
control of signals, switches or other units.

    Cross Reference: Magnet, track, see Sec. 236.744.



Sec. 236.773  Movements, conflicting.

    Movements over conflicting routes.



Sec. 236.774  Movement, facing.

    The movement of a train over the points of a switch which face in a 
direction opposite to that in which the train is moving.



Sec. 236.775  Movement, switch-and-lock.

    A device, the complete operation of which performs the three 
functions of unlocking, operating and locking a switch, movable-point 
frog or derail.

[[Page 528]]



Sec. 236.776  Movement, trailing.

    The movement of a train over the points of a switch which face in 
the direction in which the train is moving.



Sec. 236.777  Operator, control.

    An employee assigned to operate the control machine of a traffic 
control system.



Sec. 236.778  Piece, driving.

    A crank secured to a locking shaft by means of which horizontal 
movement is imparted to a longitudinal locking bar.



Sec. 236.779  Plate, top.

    A metal plate secured to a locking bracket to prevent the cross 
locking from being forced out of the bracket.



Sec. 236.780  Plunger, facing point lock.

    That part of a facing point lock which secures the lock rod to the 
plunger stand when the switch is locked.



Sec. 236.781  [Reserved]



Sec. 236.782  Point, controlled.

    A location where signals and/or other functions of a traffic control 
system are controlled from the control machine.



Sec. 236.783  Point, stop-indication.

    As applied to an automatic train stop or train control system 
without the use of roadway signals, a point where a signal displaying an 
aspect requiring a stop would be located.



Sec. 236.784  Position, deenergized.

    The position assumed by the moving member of an electromagnetic 
device when the device is deprived of its operating current.



Sec. 236.785  Position, false restrictive.

    A position of a semaphore arm that is more restrictive than it 
should be.



Sec. 236.786  Principle, closed circuit.

    The principle of circuit design where a normally energized electric 
circuit which, on being interrupted or deenergized, will cause the 
controlled function to assume its most restrictive condition.



Sec. 236.787  Protection, cross.

    An arrangement to prevent the improper operation of a signal, 
switch, movable-point frog, or derail as the result of a cross in 
electrical circuits.

    Cross Reference: Ramp, see Sec. 236.744.



Sec. 236.788  Receiver.

    A device on a locomotive, so placed that it is in position to be 
influenced inductively or actuated by an automatic train stop, train 
control or cab signal roadway element.



Sec. 236.789  Relay, timing.

    A relay which will not close its front contacts or open its back 
contacts, or both, until the expiration of a definite time intervals 
after the relay has been energized.



Sec. 236.790  Release, time.

    A device used to prevent the operation of an operative unit until 
after the expiration of a predetermined time interval after the device 
has been actuated.



Sec. 236.791  Release, value.

    The electrical value at which the movable member of an 
electromagnetic device will move to its deenergized portion.



Sec. 236.792  Reservoir, equalizing.

    An air reservoir connected with and adding volume to the top portion 
of the equalizing piston chamber of the automatic brake valve, to 
provide uniform service reductions in brake pipe pressure regardless of 
the length of the train.

    Cross Reference: Rocker, see Sec. 236.755.



Sec. 236.793  Rod, lock.

    A rod, attached to the front rod or lug of a switch, movable-point 
frog or derail, through which a locking plunger may extend when the 
switch points or derail are in the normal or reverse position.

[[Page 529]]



Sec. 236.794  Rod, up-and-down.

    A rod used for connecting the semaphore arm to the operating 
mechanism of a signal.



Sec. 236.795  Route.

    The course or way which is, or is to be, traveled.



Sec. 236.796  Routes, conflicting.

    Two or more routes, opposing, converging or intersecting, over which 
movements cannot be made simultaneously without possibility of 
collision.



Sec. 236.797  Route, interlocked.

    A route within interlocking limits.



Sec. 236.798  Section, dead.

    A section of track, either within a track circuit or between two 
track circuits, the rails of which are not part of a track circuit.



Sec. 236.799  Section, fouling.

    The section of track between the switch points and the clearance 
point in a turnout.



Sec. 236.800  Sheet, locking.

    A description in tabular form of the locking operations in an 
interlocking machine.



Sec. 236.801  Shoe, latch.

    The casting by means of which the latch rod and the latch block are 
held to a lever of a mechanical interlocking machine.



Sec. 236.802  Shunt.

    A by-path in an electrical circuit.



Sec. 236.802a  Siding.

    An auxiliary track for meeting or passing trains.



Sec. 236.803  Signal, approach.

    A roadway signal used to govern the approach to another signal and 
if operative so controlled that its indication furnishes advance 
information of the indication of the next signal.



Sec. 236.804  Signal, block.

    A roadway signal operated either automatically or manually at the 
entrance to a block.



Sec. 236.805  Signal, cab.

    A signal located in engineman's compartment or cab, indicating a 
condition affecting the movement of a train and used in conjunction with 
interlocking signals and in conjunction with or in lieu of block 
signals.



Sec. 236.806  Signal, home.

    A roadway signal at the entrance to a route or block to govern 
trains in entering and using that route or block.



Sec. 236.807  Signal, interlocking.

    A roadway signal which governs movements into or within interlocking 
limits.



Sec. 236.808  Signals, opposing.

    Roadway signals which govern movements in opposite directions on the 
same track.



Sec. 236.809  Signal, slotted mechanical.

    A mechanically operated signal with an electromagnetic device 
inserted in its operating connection to provide a means of controlling 
the signal electrically, as well as mechanically.



Sec. 236.810  Spectacle, semaphore arm.

    That part of a semaphore arm which holds the roundels and to which 
the blade is fastened.



Sec. 236.811  Speed, medium.

    A speed not exceeding 40 miles per hour.



Sec. 236.812  Speed, restricted.

    A speed that will permit stopping within one-half the range of 
vision, but not exceeding 20 miles per hour.

[49 FR 3388, Jan. 26, 1984]



Sec. 236.813  Speed, slow.

    A speed not exceeding 20 miles per hour.

[[Page 530]]



Sec. 236.813a  State, most restrictive.

    The mode of an electric or electronic device that is equivalent to a 
track relay in its deenergized position.

[49 FR 3388, Jan. 26, 1984]



Sec. 236.814  Station, control.

    The place where the control machine of a traffic control system is 
located.



Sec. 236.815  Stop.

    As applied to mechanical locking, a device secured to a locking bar 
to limit its movement.



Sec. 236.816  Superiority of trains.

    The precedence conferred upon one train over other trains by train 
order or by reason of its class or the direction of its movement.



Sec. 236.817  Switch, electro-pneumatic.

    A switch operated by an electro-pneumatic switch-and-lock movement.



Sec. 236.818  Switch, facing point.

    A switch, the points of which face traffic approaching in the 
direction for which the track is signaled.



Sec. 236.819  Switch, hand operated.

    A non-interlocked switch which can only be operated manually.



Sec. 236.820  Switch, interlocked.

    A switch within the interlocking limits the control of which is 
interlocked with other functions of the interlocking.



Sec. 236.820a  Switch, power-operated.

    A switch operated by an electrically, hydraulically, or 
pneumatically driven switch-and-lock movement.

[49 FR 3388, Jan. 26, 1984]



Sec. 236.821  Switch, sectionalizing.

    A switch for disconnecting a section of a power line from the source 
of energy.



Sec. 236.822  Switch, spring.

    A switch equipped with a spring device which forces the points to 
their original position after being trailed through and holds them under 
spring compression.



Sec. 236.823  Switch, trailing point.

    A switch, the points of which face away from traffic approaching in 
the direction for which the track is signaled.



Sec. 236.824  System, automatic block signal.

    A block signal system wherein the use of each block is governed by 
an automatic block signal, cab signal, or both.



Sec. 236.825  System, automatic train control.

    A system so arranged that its operation will automatically result in 
the following:
    (a) A full service application of the brakes which will continue 
either until the train is brought to a stop, or, under control of the 
engineman, its speed is reduced to a predetermined rate.
    (b) When operating under a speed restriction, an application of the 
brakes when the speed of the train exceeds the predetermined rate and 
which will continue until the speed is reduced to that rate.



Sec. 236.826  System, automatic train stop.

    A system so arranged that its operation will automatically result in 
the application of the brakes until the train has been brought to a 
stop.



Sec. 236.827  System, block signal.

    A method of governing the movement of trains into or within one or 
more blocks by block signals or cab signals.



Sec. 236.828  System, traffic control.

    A block signal system under which train movements are authorized by 
block signals whose indications supersede the superiority of trains for 
both opposing and following movements on the same track.



Sec. 236.829  Terminal, initial.

    The starting point of a locomotive for a trip.



Sec. 236.830  Time, acknowledging.

    As applied to an intermittent automatic train stop system, a 
predetermined time within which an automatic

[[Page 531]]

brake application may be forestalled by means of the acknowledging 
device.



Sec. 236.831  Time, delay.

    As applied to an automatic train stop or train control system, the 
time which elapses after the onboard apparatus detects a more 
restrictive indication until the brakes start to apply.

[49 FR 3388, Jan. 26, 1984]



Sec. 236.831a  Track, main.

    A track, other than auxiliary track, extending through yards and 
between stations, upon which trains are operated by timetable or train 
orders, or both, or the use of which is governed by block signals.



Sec. 236.832  Train.

    A locomotive or more than one locomotive coupled, with or without 
cars.



Sec. 236.833  Train, opposing.

    A train, the movement of which is in a direction opposite to and 
toward another train on the same track.



Sec. 236.834  Trip.

    A movement of a locomotive over all or any portion of automatic 
train stop, train control or cab signal territory between the terminals 
for that locomotive; a movement in one direction.

    Cross Reference: Trip-arm, see Sec. 236.744.



Sec. 236.835  Trunking.

    A casing used to protect electrical conductors.



Sec. 236.836  Trunnion.

    A cylindrical projection supporting a revolving part.



Sec. 236.837  Valve, electro-pneumatic.

    A valve electrically operated which, when operated, will permit or 
prevent passage of air.



Sec. 236.838  Wire, shunt.

    A wire forming part of a shunt circuit.

               Appendix A to Part 236--Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
             Subpart A--Rules and Instructions--All Systems
 
------------------------------------------------------------------------
General:
236.0 Applicability, minimum requirements.....       $2,500       $5,000
236.1 Plans, where kept.......................        1,000        2,000
236.2 Grounds.................................        1,000        2,000
236.3 Locking of signal apparatus housings:
    (a) Power interlocking machine cabinet not        2,500        5,000
     secured against unauthorized entry.......
    (b) other violations......................        1,000        2,000
236.4 Interference with normal functioning of         5,000        7,500
 device.......................................
236.5 Design of control circuits on closed            1,000        2,000
 circuit principle............................
236.6 Hand-operated switch equipped with              1,000        2,000
 switch circuit controller....................
236.7 Circuit controller operated by switch-          1,000        2,000
 and-lock movement............................
236.8 Operating characteristics of electro-           1,000        2,000
 magnetic, electronic, or electrical apparatus
236.9 Selection of circuits through indicating        1,000        2,000
 or annunciating instruments..................
236.10 Electric locks, force drop type; where         1,000        2,000
 required.....................................
236.11 Adjustment, repair, or replacement of          2,500        5,000
 component....................................
236.12 Spring switch signal protection; where         1,000        2,000
 required.....................................
236.13 Spring switch; selection of signal             1,000        2,000
 control circuits through circuit controller..
236.14 Spring switch signal protection;               1,000        2,000
 requirements.................................
236.15 Timetable instructions.................        1,000        2,000
236.16 Electric lock, main track releasing
 circuit:
    (a) Electric lock releasing circuit on            2,500        5,000
     main track extends into fouling circuit
     where turnout not equipped with derail at
     clearance point either pipe-connected to
     switch or independently locked,
     electrically.............................
    (b) other violations......................        1,000        2,000
236.17 Pipe for operating connections,                1,000        2,000
 requirements
 
Roadway Signals and Cab Signals--
 
236.21 Location of roadway signals............        1,000        2,000
236.22 Semaphore signal arm; clearance to             1,000        2,000
 other objects................................
236.23 Aspects and indications................        1,000        2,000
236.24 Spacing of roadway signals.............        2,500        5,000

[[Page 532]]

 
236.26 Buffing device, maintenance............        1,000        2,000
 
Track Circuits--
 
236.51 Track circuit requirements:
    (a) Shunt fouling circuit used where              2,500        5,000
     permissible speed through turnout greater
     than 45 m.p.h............................
    (b) Track relay not in de-energized               2,500        5,000
     position or device that functions as
     track relay not in its most restrictive
     state when train, locomotive, or car
     occupies any part of track circuit,
     except fouling section of turnout of hand-
     operated main-track crossover............
    (c) other violations......................        1,000        2,000
236.52 Relayed cut-section....................        1,000        2,000
236.53 Track circuit feed at grade crossing...        1,000        2,000
236.54 Minimum length of track circuit........        1,000        2,000
236.55 Dead section; maximum length...........        1,000        2,000
236.56 Shunting sensitivity...................        2,500        5,000
236.57 Shunt and fouling wires:
    (a) Shunt or fouling wires do not consist         2,500        5,000
     of at least two discrete conductors......
    (b) other violations......................        1,000        2,000
236.58 Turnout, fouling section:
    (a) Rail joint in shunt fouling section           2,500        5,000
     not bonded...............................
    (b) other violations......................        1,000        2,000
236.59 Insulated rail joints..................        1,000        2,000
236.60 Switch shunting circuit; use restricted        2,500        5,000
 
Wires and Cables--
 
236.71 Signal wires on pole line and aerial           1,000        2,000
 cable........................................
236.73 Open-wire transmission line; clearance         1,000        2,000
 to other circuits............................
236.74 Protection of insulated wire; splice in        1,000        2,000
 underground wire.............................
236.76 Tagging of wires and interference of           1,000        2,000
 wires or tags with signal apparatus..........
 
Inspections and Tests; All Systems--
 
236.101 Purpose of inspection and tests;              2,500        5,000
 removal from service or relay or device
 failing to meet test requirements............
236.102 Semaphore or search-light signal              1,000        2,000
 mechanism....................................
236.103 Switch circuit controller or point            1,000        2,000
 detector.....................................
236.104 Shunt fouling circuit.................        1,000        2,000
236.105 Electric lock.........................        1,000        2,000
236.106 Relays................................        1,000        2,000
236.107 Ground tests..........................        1,000        2,000
236.108 Insulation resistance tests, wires in
 trunking and cables:
    (a) Circuit permitted to function on a            2,500        5,000
     conductor having insulation resistance
     value less than 200,000 ohms.............
    (b) other violations......................        1,000        2,000
236.109 Time releases, timing relays and              1,000        2,000
 timing devices...............................
236.110 Results of tests......................        1,000        2,000
-----------------------------------------------
                Subpart B--Automatic Block Signal Systems
 
------------------------------------------------------------------------
236.201 Track circuit control of signals......        1,000        2,000
236.202 Signal governing movements over hand-         1,000        2,000
 operated switch..............................
236.203 Hand-operated crossover between main          1,000        2,000
 tracks; protection...........................
236.204 Track signaled for movements in both          1,000        2,000
 directions, requirements.....................
236.205 Signal control circuits; requirements.        1,000        2,000
236.206 Battery or power supply with respect          1,000        2,000
 to relay; location...........................
-----------------------------------------------
                         Subpart C--Interlocking
 
------------------------------------------------------------------------
236.207 Electric lock on hand-operated switch;
 control:
    (a) Approach or time locking of electric          2,500        5,000
     lock on hand-operated switch can be
     defeated by unauthorized use of emergency
     device which is not kept sealed in the
     non-release position.....................
    (b) other violations......................        1,000        2,000
236.301 Where signals shall be provided.......        1,000        2,000
236.302 Track circuits and route locking......        1,000        2,000
236.303 Control circuits for signals,                 1,000        2,000
 selection through circuit controller operated
 by switch points or by switch locking
 mechanism....................................
236.304 Mechanical locking or same protection         1,000        2,000
 effected by circuits.........................
236.305 Approach or time locking..............        1,000        2,000
236.306 Facing point lock or switch-and-lock          1,000        2,000
 movement.....................................
236.307 Indication locking:
236.308 Mechanical or electric locking or             1,000        2,000
 electric circuits; requisites................
236.309 Loss of shunt protection; where
 required:
    (a) Loss of shunt of five seconds or less         2,500        5,000
     permits release of route locking of power-
     operated switch, movable point frog, or
     derail...................................
    (b) Other violations......................        1,000        2,000
236.310 Signal governing approach to home             1,000        2,000
 signal.......................................

[[Page 533]]

 
236.311 Signal control circuits, selection            1,000        2,000
 through track relays or devices functioning
 as track relays and through signal mechanism
 contacts and time releases at automatic
 interlocking.................................
236.312 Movable bridge, interlocking of signal
 appliances with bridge devices:
    (a) Emergency bypass switch or device not         2,500        5,000
     locked or sealed.........................
    (b) other violations......................        1,000        2,000
236.314 Electric lock for hand-operated switch
 or derail:
    (a) Approach or time locking of electric          2,500        5,000
     lock at hand-operated switch or derail
     can be defeated by unauthorized use of
     emergency device which is not kept sealed
     in non-release position..................
    (b) other violations......................        1,000        2,000
 
Rules and Instructions--
 
236.326 Mechanical locking removed or                 1,000        2,000
 disarranged; requirement for permitting train
 movements through interlocking...............
236.327 Switch, movable-point frog or split-          1,000        2,000
 point derail.................................
236.328 Plunger of facing-point...............        1,000        2,000
236.329 Bolt lock.............................        1,000        2,000
236.330 Locking dog of switch and lock                1,000        2,000
 movement.....................................
236.334 Point detector........................        1,000        2,000
236.335 Dogs, stops and trunnions of                  1,000        2,000
 mechanical locking...........................
236.336 Locking bed...........................        1,000        2,000
236.337 Locking faces of mechanical locking;          1,000        2,000
 fit..........................................
236.338 Mechanical locking required in                1,000        2,000
 accordance with locking sheet and dog chart..
236.339 Mechanical locking; maintenance               1,000        2,000
 requirements.................................
236.340 Electromechanical interlocking                1,000        2,000
 machine; locking between electrical and
 mechanical levers............................
236.341 Latch shoes, rocker links, and                1,000        2,000
 quadrants....................................
236.342 Switch circuit controller.............        1,000        2,000
 
Inspection and Tests--
 
236.376 Mechanical locking....................        1,000        2,000
236.377 Approach locking......................        1,000        2,000
236.378 Time locking..........................        1,000        2,000
236.379 Route locking.........................        1,000        2,000
236.380 Indication locking....................        1,000        2,000
236.381 Traffic locking.......................        1,000        2,000
236.382 Switch obstruction test...............        1,000        2,000
236.383 Valve locks, valves, and valve magnets        1,000        2,000
236.384 Cross protection
236.386 Restoring feature on power switches
236.387 Movable bridge locking................        1,000        2,000
-----------------------------------------------
              Subpart D--Traffic Control Systems Standards
 
------------------------------------------------------------------------
236.401 Automatic block signal system and
 interlocking standards applicable to traffic
 control systems:
236.402 Signals controlled by track circuits          1,000        2,000
 and control operator.........................
236.403 Signals at controlled point...........        1,000        2,000
236.404 Signals at adjacent control points....        1,000        2,000
236.405 Track signaled for movements in both          1,000        2,000
 directions, change of direction of traffic...
236.407 Approach or time locking; where               1,000        2,000
 required.....................................
236.408 Route locking.........................        1,000        2,000
236.410 Locking, hand-operated switch;
 requirements:
    (a) Hand-operated switch on main track not        2,500        5,000
     electrically or mechanically locked in
     normal position where signal not provided
     to govern movement to main track,
     movements made at speeds in excess of 20
     m.p.h., and train or engine movements may
     clear main track.........................
    (b) Hand-operated switch on signaled              2,500        5,000
     siding not electrically or mechanically
     locked in normal position where signal
     not provided to govern movements to
     signaled siding, train movements made at
     speeds in excess of 30 m.p.h., and train
     or engine movements may clear signaled
     siding...................................
    (c) Approach or time locking of electric          2,500        5,000
     lock at hand-operated switch can be
     defeated by use of emergency release
     device of electric lock which is not kept
     sealed in non-release position...........
    (d) other violations......................        1,000        2,000
 
Rules and Instructions--
 
236.426 Interlocking rules and instructions           1,000        2,000
 applicable to traffic control systems........
236.476 Interlocking inspections and tests            1,000        2,000
 applicable to traffic control systems........
-----------------------------------------------
  Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems
                                Standards
 
------------------------------------------------------------------------
236.501 Forestalling device and speed control.        1,000        2,000
236.502 Automatic brake application,                  1,000        2,000
 initiation by restrictive block conditions
 stopping distance in advance.................
236.503 Automatic brake application;                  1,000        2,000
 initiation when predetermined rate of speed
 exceeded.....................................
236.504 Operations interconnected with                1,000        2,000
 automatic block-signal system................

[[Page 534]]

 
236.505 Proper operative relation between             1,000        2,000
 parts along roadway and parts on locomotive..
236.506 Release of brakes after automatic             1,000        2,000
 application..................................
236.507 Brake application; full service.......        1,000        2,000
236.508 Interference with application of              1,000        2,000
 brakes by means of brake valve...............
236.509 Two or more locomotives coupled.......        1,000        2,000
236.511 Cab signals controlled in accordance          1,000        2,000
 with block conditions stopping distance in
 advance......................................
236.512 Cab signal indication when locomotive         1,000        2,000
 enters blocks................................
236.513 Audible indicator.....................        1,000        2,000
236.514 Interconnection of cab signal system          1,000        2,000
 with roadway signal system...................
236.515 Visibility of cab signals.............        1,000        2,000
236.516 Power supply..........................        1,000        2,000
 
Rules and Instructions; Roadway--
 
236.526 Roadway element not functioning               2,500        5,000
 properly.....................................
236.527 Roadway element insulation resistance.        1,000        2,000
236.528 Restrictive condition resulting from          1,000        2,000
 open hand-operated switch; requirement.......
236.529 Roadway element inductor; height and          1,000        2,000
 distance from rail...........................
236.531 Trip arm; height and distance from            1,000        2,000
 rail.........................................
236.532 Strap iron inductor; use restricted...        1,000        2,000
236.534 Rate of pressure reduction; equalizing        1,000        2,000
 reservoir or brake pipe......................
236.551 Power supply voltage..................        1,000        2,000
236.552 Insulation resistance.................        1,000        2,000
236.553 Seal, where required..................        2,500        5,000
236.554 Rate of pressure reduction; equalizing        1,000        2,000
 reservoir or brake pipe......................
236.555 Repaired or rewound receiver coil.....        1,000        2,000
236.556 Adjustment of relay...................        1,000        2,000
236.557 Receiver; location with respect to            1,000        2,000
 rail.........................................
236.560 Contact element, mechanical trip type;        1,000        2,000
 location with respect to rail................
236.562 Minimum rail current required.........        1,000        2,000
236.563 Delay time............................        1,000        2,000
236.564 Acknowledging time....................        1,000        2,000
236.565 Provision made for preventing                 1,000        2,000
 operation of pneumatic brake-applying
 apparatus by double-heading clock;
 requirement..................................
236.566 Locomotive of each train operating in         5,000        7,500
 train stop, train control or cab signal
 territory; equipped..........................
236.567 Restrictions imposed when device fails
 and/or is cut out en route:
    (a) Report not made to designated officer         5,000        7,500
     at next available point of communication
     after automatic train stop, train
     control, or cab signal device fails and/
     or is cut en route.......................
    (b) Train permitted to proceed at speed           5,000        7,500
     exceeding 79 m.p.h. where automatic train
     stop, train control, or cab signal device
     fails and/or is cut out en route when
     absolute block established in advance of
     train on which device is inoperative.....
    (c) other violations......................        1,000        2,000
236.568 Difference between speeds authorized          1,000        2,000
 by roadway signal and cab signal; action.....
 
Inspection and Tests; Roadway--
 
236.576 Roadway element.......................        1,000        2,000
236.577 Test, acknowledgement, and cut-in             1,000        2,000
 circuits.....................................
 
Inspection and Tests; Locomotive--
 
236.586 Daily or after trip test..............        2,500        5,000
236.587 Departure test:
    (a) Test of automatic train stop, train           5,000        7,500
     control, or cab signal apparatus on
     locomotive not made on departure of
     locomotive from initial terminal if
     equipment on locomotive not cut out
     between initial terminal and equipped
     territory................................
    (b) Test of automatic train stop, train           5,000        7,500
     control, or cab signal apparatus on
     locomotive not made immediately on
     entering equipped territory, if equipment
     on locomotive cut out between initial
     terminal and equipped territory..........
    (c) Automatic train stop, train control,          5,000        7,500
     or cab signal apparatus on locomotive
     making more than one trip within 24-hour
     period not given departure test within
     corresponding 24-hour period.............
    (d) other violations......................        2,500        5,000
236.588 Periodic test.........................        2,500        5,000
236.589 Relays................................        2,500        5,000
236.590 Pneumatic apparatus:
    (a) Automatic train stop, train control,          2,500        5,000
     or cab signal apparatus not inspected and
     cleaned at least once every 736 days.....
    (b) other violations......................        1,000        2,000
-----------------------------------------------
   Subpart F--Dragging Equipment and Slide Detectors and Other Similar
                      Protective Devices; Standards
 
------------------------------------------------------------------------
236.601 Signals controlled by devices;                1,000        2,000
 location.....................................
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11624, Mar. 10, 1998]

[[Page 535]]



PART 238--PASSENGER EQUIPMENT SAFETY STANDARDS--Table of Contents




                           Subpart A--General

Sec.
238.1 Purpose and scope.
238.3 Applicability.
238.5 Definitions.
238.7 Waivers.
238.9 Responsibility for compliance.
238.11 Penalties.
238.13 Preemptive effect.
238.15 Movement of passenger equipment with power brake defects.
238.17 Movement of passenger equipment with other than power brake 
          defects.
238.19 Reporting and tracking of repairs to defective passenger 
          equipment.
238.21 Special approval procedure.
238.23 Information collection.

           Subpart B--Safety Planning and General Requirements

238.101 Scope.
238.103 Fire safety.
238.105 Train electronic hardware and software safety.
238.107 Inspection, testing, and maintenance plan.
238.109 Training, qualification, and designation program.
238.111 Pre-revenue service acceptance testing plan.
238.113 Emergency window exits.
238.115 Emergency lighting.
238.117 Protection against personal injury.
238.119 Rim-stamped straight-plate wheels.

     Subpart C--Specific Requirements for Tier I Passenger Equipment

238.201 Scope/alternative compliance.
238.203 Static end strength.
238.205 Anti-climbing mechanism.
238.207 Link between coupling mechanism and car body.
238.209 Forward-facing end structure of locomotives.
238.211 Collision posts.
238.213 Corner posts.
238.215 Rollover strength.
238.217 Side structure.
238.219 Truck-to-car-body attachment.
238.221 Glazing.
238.223 Locomotive fuel tanks.
238.225 Electrical system.
238.227 Suspension system.
238.229 Safety appliances.
238.231 Brake system.
238.233 Interior fittings and surfaces.
238.235 Doors.
238.237 Automated monitoring.

Subpart D--Inspection, Testing, and Maintenance Requirements for Tier I 
                           Passenger Equipment

238.301 Scope.
238.303 Exterior calendar day mechanical inspection of passenger 
          equipment.
238.305 Interior calendar day mechanical inspection of passenger cars.
238.307 Periodic mechanical inspection of passenger cars and unpowered 
          vehicles used in passenger trains.
238.309 Periodic brake equipment maintenance.
238.311 Single car test.
238.313 Class I brake test.
238.315 Class IA brake test.
238.317 Class II brake test.
238.319 Running brake test.

    Subpart E--Specific Requirements for Tier II Passenger Equipment

238.401 Scope.
238.403 Crash energy management.
238.405 Longitudinal static compressive strength.
238.407 Anti-climbing mechanism.
238.409 Forward end structures of power car cabs.
238.411 Rear end structures of power car cabs.
238.413 End structures of trailer cars.
238.415 Rollover strength.
238.417 Side loads.
238.419 Truck-to-car-body and truck component attachment.
238.421 Glazing.
238.423 Fuel tanks.
238.425 Electrical system.
238.427 Suspension system.
238.429 Safety appliances.
238.431 Brake system.
238.433 Draft system.
238.435 Interior fittings and surfaces.
238.437 Emergency communication.
238.439 Doors.
238.441 Emergency roof entrance location.
238.443 Headlights.
238.445 Automated monitoring.
238.447 Train operator's controls and power car cab layout.

Figure 1 to Subpart E--Power Car Cab Forward End Structure Conceptual 
          Implementation
Figure 2 to Subpart E--Power Car Cab Rear End Structure Conceptual 
          Implementation
Figure 3 to Subpart E--Trailer Car End Structure Conceptual 
          Implementation

[[Page 536]]

Figure 4 to Subpart E--Trailer Car In-Board Vestibule End Structure 
          Conceptual Implementation

Subpart F--Inspection, Testing, and Maintenance Requirements for Tier II 
                           Passenger Equipment

238.501 Scope.
238.503 Inspection, testing, and maintenance requirements.
238.505 Program approval procedure.

 Subpart G--Specific Safety Planning Requirements for Tier II Passenger 
                                Equipment

238.601 Scope.
238.603 Safety planning requirements.

Appendix A to Part 238--Schedule of Civil Penalties
Appendix B--Test Methods and Performance Criteria for the Flammability 
          and Smoke Emission Characteristics of Materials Used in 
          Passenger Cars and Locomotive Cabs
Appendix C to Part 238--Suspension System Safety Performance Standards
Appendix D to Part 238--Requirements for External Fuel Tanks on Tier I 
          Locomotives
Appendix E to Part 238--General Principles of Reliability-Based 
          Maintenance Programs

    Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303, 20306, 
20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.

    Source: 64 FR 25660, May 12, 1999, unless otherwise noted.



                           Subpart A--General



Sec. 238.1  Purpose and scope.

    (a) The purpose of this part is to prevent collisions, derailments, 
and other occurrences involving railroad passenger equipment that cause 
injury or death to railroad employees, railroad passengers, or the 
general public; and to mitigate the consequences of such occurrences to 
the extent they cannot be prevented.
    (b) This part prescribes minimum Federal safety standards for 
railroad passenger equipment. This part does not restrict a railroad 
from adopting and enforcing additional or more stringent requirements 
not inconsistent with this part.
    (c) Railroads to which this part applies shall be responsible for 
compliance with all of the requirements contained in Secs. 238.15, 
238.17, 238.19, 238.107, 238.109, and subpart D of this part effective 
January 1, 2002.
    (1) A railroad may request earlier application of the requirements 
contained in Secs. 238.15, 238.17, 238.19, 238.107, 238.109, and subpart 
D upon written notification to FRA's Associate Administrator for Safety. 
Such a request shall indicate the railroad's readiness and ability to 
comply with all of the provisions referenced in paragraph (c) 
introductory text of this section.
    (2) Except for paragraphs (b) and (c) of Sec. 238.309, a railroad 
may specifically request earlier application of the maintenance and 
testing provisions contained in Secs. 238.309 and 238.311 
simultaneously. In order to request earlier application of these two 
sections, the railroad shall indicate its readiness and ability to 
comply with all of the provisions contained in both of those sections.
    (3) Paragraphs (b) and (c) of Sec. 238.309 apply beginning September 
9, 1999.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41305, July 3, 2000; 67 
FR 19989, Apr. 23, 2002]



Sec. 238.3  Applicability.

    (a) Except as provided in paragraph (c) of this section, this part 
applies to all:
    (1) Railroads that operate intercity or commuter passenger train 
service on standard gage track which is part of the general railroad 
system of transportation; and
    (2) Railroads that provide commuter or other short-haul rail 
passenger train service in a metropolitan or suburban area as described 
by 49 U.S.C. 20102(1), including public authorities operating passenger 
train service.
    (b) Railroads that permit to be used or hauled on their lines 
passenger equipment subject to this part, in violation of a power brake 
provision of this part or a safety appliance provision of this part, are 
subject to the power brake and safety appliance provisions of this part 
with respect to such operations.
    (c) This part does not apply to:
    (1) Rapid transit operations in an urban area that are not connected 
to

[[Page 537]]

the general railroad system of transportation;
    (2) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation;
    (3) Tourist, scenic, historic, or excursion operations, whether on 
or off the general railroad system of transportation; or
    (4) Circus trains.



Sec. 238.5  Definitions.

    As used in this part--
    AAR means the Association of American Railroads.
    APTA means the American Public Transit Association.
    Actuator means a device directly actuated by the movement of the 
brake cylinder piston which provides an indication of the piston travel.
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Alerter means a device or system installed in the locomotive cab to 
promote continuous, active locomotive engineer attentiveness by 
monitoring select locomotive engineer-induced control activities. If 
fluctuation of a monitored locomotive engineer-induced control activity 
is not detected within a predetermined time, a sequence of audible and 
visual alarms is activated so as to progressively prompt a response by 
the locomotive engineer. Failure by the locomotive engineer to institute 
a change of state in a monitored control, or acknowledge the alerter 
alarm activity through a manual reset provision, results in a penalty 
brake application that brings the locomotive or train to a stop.
    Anti-climbing mechanism means the parts at the ends of adjoining 
vehicles in a train that are designed to engage when subjected to large 
buff loads to prevent the override of one vehicle by another.
    Bind means restrict the intended movement of one or more brake 
system components by obstruction, increased friction, or reduced 
clearance.
    Block of cars means one car or multiple cars in a solid unit coupled 
together for the purpose of being added to, or removed from, a train as 
a solid unit.
    Brake, air or power brake means a combination of devices operated by 
compressed air, arranged in a system, and controlled manually, 
electrically, or pneumatically, by means of which the motion of a rail 
car or locomotive is retarded or arrested.
    Brake, disc means a retardation system used on some rail vehicles, 
primarily passenger equipment, that utilizes flat metal discs as the 
braking surface instead of the wheel tread.
    Brake, dynamic means a train braking system whereby the kinetic 
energy of a moving train is used to generate electric current at the 
locomotive traction motors, which is then dissipated through banks of 
resistor grids or back into the catenary or third rail system.
    Brake, effective means a brake that is capable of producing its 
required designed retarding force on the train. A brake is not effective 
if its piston travel is in excess of the maximum prescribed limits. On 
vehicles equipped with nominal 12-inch stroke brake cylinders, the brake 
is not effective if its piston travel exceeds 10\1/2\ inches.
    Brake indicator means a device, actuated by brake cylinder pressure, 
which indicates whether brakes are applied or released.
    Brake, inoperative means a primary brake that, for any reason, no 
longer applies or releases as intended or is otherwise ineffective.
    Brake, on-tread friction means a braking system that uses a brake 
shoe that acts on the tread of the wheel to retard the vehicle.
    Brake, parking or hand brake means a brake that can be applied and 
released by hand to prevent movement of a stationary rail car or 
locomotive.
    Brake pipe means the system of piping (including branch pipes, angle 
cocks, cutout cocks, dirt collectors, hoses, and hose couplings) used 
for connecting locomotives and all rail cars for the passage of air to 
control the locomotive and car brakes.
    Brake, power means ``air brake'' as that term is defined in this 
section.

[[Page 538]]

    Brake, primary means those components of the train brake system 
necessary to stop the train within the signal spacing distance without 
thermal damage to friction braking surfaces.
    Brake, secondary means those components of the train brake system 
which develop supplemental brake retarding force that is not needed to 
stop the train within signal spacing distances or to prevent thermal 
damage to friction braking surfaces.
    Brake shoes or pads aligned with tread or disc means that the 
surface of the brake shoe or pad, respectively, engages the surface of 
the wheel tread or disc, respectively, to prevent localized thermal 
stress.
    Braking system, blended means a braking system where the primary 
brake and one or more secondary brakes are automatically combined to 
stop the train. If the secondary brakes are unavailable, the blended 
brake uses the primary brake alone to stop the train.
    Calendar day means a time period running from one midnight to the 
next midnight on a given date.
    Class I brake test means a complete passenger train brake system 
test and inspection (as further specified in Sec. 238.313) performed by 
a qualified maintenance person to ensure that the air brake system is 
100 percent effective.
    Class IA brake test means a test and inspection (as further 
specified in Sec. 238.315) performed by a qualified person of the air 
brake system on each car in a passenger train to ensure that the brakes 
apply and release on each car in the train in response to train line 
commands.
    Class II brake test means a test and inspection (as further 
specified in Sec. 238.317) performed by a qualified person of brake pipe 
integrity and continuity from the controlling locomotive to the rear 
unit of a passenger train.
    Collision posts means structural members of the end structures of a 
vehicle that extend vertically from the underframe to which they are 
securely attached and that provide protection to occupied compartments 
from an object penetrating the vehicle during a collision.
    Control valves means that part of the air brake equipment on each 
rail car or locomotive that controls the charging, application, and 
release of the air brakes, in response to train line commands.
    Corner posts means structural members located at the intersection of 
the front or rear surface with the side surface of a rail vehicle and 
which extend vertically from the underframe to the roof. Corner posts 
may be combined with collision posts to become part of the end 
structure.
    Crack means a fracture without complete separation into parts, 
except that, in a casting, a shrinkage crack or hot tear that does not 
significantly diminish the strength of the member is not a crack.
    Crash energy management means an approach to the design of rail 
passenger equipment which controls the dissipation of energy during a 
collision to protect the occupied volumes from crushing and to limit the 
decelerations on passengers and crewmembers in those volumes. This may 
be accomplished by designing energy-absorbing structures of low strength 
in the unoccupied volumes of a rail vehicle or passenger train to 
collapse in a controlled manner, while providing higher structural 
strength in the occupied volumes. Energy deflection can also be part of 
a crash energy management approach. Crash energy management can be used 
to help provide anti-climbing resistance and to reduce the risk of train 
buckling during a collision.
    Crash refuge means a volume with structural strength designed to 
maximize the survivability of crewmembers stationed in the locomotive 
cab during a collision.
    Crewmember means a railroad employee called to perform service 
covered by the Federal hours of service laws at 49 U.S.C. 21103 and 
subject to the railroad's operating rules and program of operational 
tests and inspections required in Sec. 217.9 and Sec. 217.11 of this 
chapter.
    Critical buckling stress means the minimum stress necessary to 
initiate buckling of a structural member.

[[Page 539]]

    Emergency brake application means an irretrievable brake application 
resulting in the maximum retarding force available from the train brake 
system.
    Emergency window means that segment of a side-facing glazing panel 
which has been designed to permit rapid and easy removal in an emergency 
situation.
    End structure means the main support structure projecting upward 
from the underframe of a locomotive, passenger car, or other rail 
vehicle. The end structure is securely attached to the underframe at 
each end of a rail vehicle.
    50th-percentile adult male means a person weighing 164 pounds (plus 
or minus 3 pounds) and possessing the following dimensions: erect 
sitting height: 35.7 inches (plus or minus 0.1 inch); hip breadth 
(sitting): 14.7 inches (plus or minus 0.7 inch); hip circumference 
(sitting): 42 inches; waist circumference (sitting): 32 inches (plus or 
minus 0.6 inch); chest depth: 9.3 inches (plus or minus 0.2 inch); and 
chest circumference: 37.4 inches (plus or minus 0.6 inch).
    Foul means restrict the intended movement of one or more brake 
system components because the component is snagged, entangled, or 
twisted.
    FRA means the Federal Railroad Administration.
    Fuel tank, external means a fuel containment volume that extends 
outside the car body structure of a locomotive.
    Fuel tank, internal means a fuel containment volume that does not 
extend outside the car body structure of a locomotive.
    Full-height collision post, corner post, or side frame post means 
any vertical framing member in the rail car body structure that spans 
the distance between the underframe and the roof at the car body section 
where the post is located. For collision posts located at the 
approximate third points laterally of an end frame, the term ``full-
height'' applies to posts that extend and connect to supporting 
structural members in the roof at the location of the posts, or to a 
beam connected to the top of the end-frame and supported by the roof 
rails (or anti-telescoping plate), or to both.
    Full service application means a brake application which results in 
a brake cylinder pressure at the service limiting valve setting or 
equivalent.
    Glazing, end-facing means a glazing panel located where a line 
perpendicular to the exterior surface of the panel makes an angle of 50 
degrees or less with the longitudinal center line of the rail vehicle in 
which the panel is installed. A glazing panel that curves so as to meet 
the definition for both side-facing and end-facing glazing is considered 
end-facing glazing.
    Glazing, exterior means a glazing panel that is an integral part of 
the exterior skin of a rail vehicle and has a surface exposed to the 
outside environment.
    Glazing, side-facing means a glazing panel located where a line 
perpendicular to the exterior surface of the panel makes an angle of 
more than 50 degrees with the longitudinal center line of the rail 
vehicle in which the panel is installed.
    Handrails means safety appliances installed on either side of a rail 
vehicle's exterior doors to assist passengers and crewmembers to safely 
board and depart the vehicle.
    Head end power means power generated on board the locomotive of a 
passenger train used for purposes other than propelling the train, such 
as cooking, heating, illumination, ventilation and air conditioning.
    In passenger service/in revenue service means a train or passenger 
equipment that is carrying, or available to carry, passengers. 
Passengers need not have paid a fare in order for the equipment to be 
considered in passenger or in revenue service.
    In service, when used in connection with passenger equipment, means:
    (1) Passenger equipment subject to this part that is in passenger or 
revenue service in the United States; and
    (2) All other passenger equipment subject to this part in the United 
States, unless the passenger equipment:
    (i) Is being handled in accordance with Secs. 238.15, 238.17, 
238.305(d), or 238.503(f), as applicable;
    (ii) Is in a repair shop or on a repair track;

[[Page 540]]

    (iii) Is on a storage track and is not carrying passengers; or
    (iv) Has been delivered in interchange but has not been accepted by 
the receiving railroad.
    Interior fitting means any component in the passenger compartment 
which is mounted to the floor, ceiling, sidewalls, or end walls and 
projects into the passenger compartment more than 25 mm (1 in.) from the 
surface or surfaces to which it is mounted. Interior fittings do not 
include side and end walls, floors, door pockets, or ceiling lining 
materials, for example.
    Lateral means the horizontal direction perpendicular to the 
direction of travel.
    Locomotive means a piece of on-track rail equipment, other than hi-
rail, specialized maintenance, or other similar equipment, which may 
consist of one or more units operated from a single control stand with 
one or more propelling motors designed for moving other passenger 
equipment; with one or more propelling motors designed to transport 
freight or passenger traffic, or both; or without propelling motors but 
with one or more control stands. This term does not include a locomotive 
propelled by steam power unless it is used to haul an intercity or 
commuter passenger train. Nor does this term include a freight 
locomotive when used to haul a passenger train due to failure of a 
passenger locomotive.
    Locomotive cab means the compartment or space on board a locomotive 
where the control stand is located and which is normally occupied by the 
engineer when the locomotive is operated.
    Locomotive, cab car means rail rolling equipment intended to provide 
transportation for members of the general public that is without 
propelling motors but equipped with one or more control stands.
    Locomotive, controlling means the locomotive from which the 
locomotive engineer exercises control over the train.
    Locomotive, MU means rail rolling equipment self-propelled by any 
power source and intended to provide transportation for members of the 
general public; however, this term does not include an MU locomotive 
propelled by steam power unless it is used to haul an intercity or 
commuter passenger train.
    Longitudinal means in a direction parallel to the normal direction 
of travel.
    Luminescent material means material that absorbs light energy when 
ambient levels of light are high and emits this stored energy when 
ambient levels of light are low, making the material appear to glow in 
the dark.
    L/V ratio means the ratio of the lateral force that any wheel exerts 
on an individual rail to the vertical force exerted by the same wheel on 
the rail.
    MIL-STD-882 means a military standard issued by the United States 
Department of Defense to provide uniform requirements for developing and 
implementing a system safety plan and program to identify and then 
eliminate the hazards of a system or reduce the associated risk to an 
acceptable level.
    Mph means miles per hour.
    95th-percentile adult male means, except as used in 
Sec. 238.447(f)(2), a person weighing 215 pounds and possessing the 
following dimensions: erect sitting height: 38 inches; hip breadth 
(sitting): 16.5 inches; hip circumference (sitting): 47.2 inches; waist 
circumference (sitting): 42.5 inches; chest depth: 10.5 inches; and 
chest circumference 44.5 inches.
    Occupied volume means the volume of a rail vehicle or passenger 
train where passengers or crewmembers are normally located during 
service operation, such as the operating cab and passenger seating and 
sleeping areas. The entire width of a vehicle's end compartment that 
contains a control stand is an occupied volume. A vestibule is typically 
not considered occupied, except when it contains a control stand for use 
as a control cab.
    Ordered, as applied to acquisition of equipment, means that the 
acquiring entity has given a notice to proceed to manufacture the 
equipment that represents a firm financial commitment to compensate the 
manufacturer for the contract price of the equipment or for damages if 
the order is nullified. Equipment is not ordered if future exercise of a 
contract option is required to place the remanufacturing process in 
motion.

[[Page 541]]

    Override means to climb over the normal coupling or side buffers and 
linking mechanism and impact the end of the adjoining rail vehicle or 
unit above the underframe.
    Passenger car means rail rolling equipment intended to provide 
transportation for members of the general public and includes a self-
propelled car designed to carry passengers, baggage, mail, or express. 
This term includes a passenger coach, cab car, and an MU locomotive. In 
the context of articulated equipment, ``passenger car'' means that 
segment of the rail rolling equipment located between two trucks. This 
term does not include a private car.
    Passenger coach means rail rolling equipment intended to provide 
transportation for members of the general public that is without 
propelling motors and without a control stand.
    Passenger equipment--means
    (1) All powered and unpowered passenger cars, locomotives used to 
haul a passenger car, and any other rail rolling equipment used in a 
train with one or more passenger cars. Passenger equipment includes--
    (i) A passenger coach,
    (ii) A cab car,
    (iii) A MU locomotive,
    (iv) A locomotive not intended to provide transportation for a 
member of the general public that is used to power a passenger train, 
and
    (v) Any non-self-propelled vehicle used in a passenger train, 
including an express car, baggage car, mail car, freight car, or a 
private car.
    (2) In the context of articulated equipment, ``passenger equipment'' 
means a segment of rail rolling equipment located between two trucks 
that is used in a train with one or more passenger cars. This term does 
not include a freight locomotive when used to haul a passenger train due 
to failure of a passenger locomotive.
    Passenger station means a location designated in a railroad's 
timetable where passengers are regularly scheduled to get on or off any 
train.
    Permanent deformation means the undergoing of a permanent change in 
shape of a structural member of a rail vehicle.
    Person means an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor.
    Piston travel means the amount of linear movement of the air brake 
hollow rod (or equivalent) or piston rod when forced outward by movement 
of the piston in the brake cylinder or actuator and limited by the brake 
shoes being forced against the wheel or disc.
    Power car means a rail vehicle that propels a Tier II passenger 
train or is the lead vehicle in a Tier II passenger train, or both.
    Pre-revenue service acceptance testing plan means a document, as 
further specified in Sec. 238.111, prepared by a railroad that explains 
in detail how pre-revenue service tests of passenger equipment 
demonstrate that the equipment meets Federal safety standards and the 
railroad's own safety requirements.
    Primary responsibility means the task that a person performs during 
at least 50 percent of the time that the person is working. The totality 
of the circumstances will be considered on a case-by-case basis in 
circumstances where an individual does not spend 50 percent of his or 
her workday engaged in any one readily identifiable type of activity. 
Time spent supervising employees engaged in the functions of 
troubleshooting, inspection, testing, maintenance, or repair of train 
brake and mechanical components and systems covered by this part shall 
be considered work which is generally consistent with the function of 
troubleshooting of such systems and components for the purpose of the 
definition of this term and the definition of ``Qualified Maintenance 
Person.''
    Private car means rail rolling equipment that is used only for 
excursion, recreational, or private transportation purposes. A private 
car is not a passenger car.

[[Page 542]]

    Public highway-rail grade crossing means a location where a public 
highway, road or street, including associated sidewalks or pathways, 
crosses one or more active railroad tracks at grade.
    Qualified maintenance person means a qualified person who has 
received, as a part of the training, qualification, and designation 
program required under Sec. 238.109, instruction and training that 
includes ``hands-on'' experience (under appropriate supervision or 
apprenticeship) in one or more of the following functions: 
troubleshooting, inspection, testing, maintenance, or repair of the 
specific train brake and other components and systems for which the 
person is assigned responsibility. This person shall also possess a 
current understanding of what is required to properly repair and 
maintain the safety-critical brake or mechanical components for which 
the person is assigned responsibility. Further, the qualified 
maintenance person shall be a person whose primary responsibility 
includes work generally consistent with the above-referenced functions 
and is designated to:
    (1) Conduct Class I brake tests under this part;
    (2) Conduct exterior calendar day mechanical inspections on MU 
locomotives or other passenger cars and unpowered vehicles under this 
part; or
    (3) Determine whether equipment not in compliance with this part may 
be moved as required by Sec. 238.17.
    Qualified person means a person who has received, as a part of the 
training, qualification, and designation program required under 
Sec. 238.109, instruction and training necessary to perform one or more 
functions required under this part. The railroad is responsible for 
determining that the person has the knowledge and skills necessary to 
perform the required function for which the person is assigned 
responsibility. The railroad determines the qualifications and 
competencies for employees designated to perform various functions in 
the manner set forth in this part. Although the rule uses the term 
``qualified person'' to describe a person responsible for performing 
various functions required under this part, a person may be deemed 
qualified to perform some functions but not qualified to perform other 
functions. For example, although a person may be deemed qualified to 
perform the Class II brake test required by this part, that same person 
may or may not be qualified to perform the Class IA brake test or 
authorize the movement of defective equipment under this part. The 
railroad will determine the required functions for which an individual 
will be deemed a ``qualified person'' based upon the instruction and 
training the individual has received pursuant to Sec. 238.109 on a 
particular function.
    Railroad means any form of nonhighway ground transportation that 
runs on rails or electromagnetic guideways and any entity providing such 
transportation, including--
    (i) Commuter or other short-haul railroad passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979; and
    (ii) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads; but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    Refresher training means periodic retraining required by a railroad 
for employees or contractors to remain qualified to perform specific 
equipment inspection, testing, or maintenance functions.
    Repair point means a location designated by a railroad where repairs 
of the type necessary occur on a regular basis. A repair point has, or 
should have, the facilities, tools, and personnel qualified to make the 
necessary repairs. A repair point need not be staffed continuously.
    Respond as intended means to produce the result that a device or 
system is designed to produce.
    Rollover strength means the strength provided to protect the 
structural integrity of a rail vehicle in the event the vehicle leaves 
the track and impacts the ground on its side or roof.

[[Page 543]]

    Roof rail means the longitudinal structural member at the 
intersection of the side wall and the roof sheathing.
    Running brake test means a test (as further specified in 
Sec. 238.319) performed by a qualified person of a train system or 
component while the train is in motion to verify that the system or 
component functions as intended.
    Running gear defect means any condition not in compliance with this 
part which involves a truck component, a draft system component, a 
wheel, or a wheel component.
    Safety appliance means an appliance required under 49 U.S.C. chapter 
203, excluding power brakes. The term includes automatic couplers, hand 
brakes, sill steps, handholds, handrails, or ladder treads made of steel 
or a material of equal or greater mechanical strength used by the 
traveling public or railroad employees that provide a means for safely 
coupling, uncoupling, or ascending or descending passenger equipment.
    Safety-critical means a component, system, or task that, if not 
available, defective, not functioning, not functioning correctly, not 
performed, or not performed correctly, increases the risk of damage to 
passenger equipment or injury to a passenger, crewmember, or other 
person.
    Semi-permanently coupled means coupled by means of a drawbar or 
other coupling mechanism that requires tools to perform the uncoupling 
operation. Coupling and uncoupling of each semi-permanently coupled unit 
in a train can be performed safely only while at a maintenance or shop 
location where personnel can safely get under a unit or between units.
    Semi-monocoque means a type of rail vehicle construction where the 
shell or skin acts as a single unit with the supporting frame to resist 
and transmit the loads acting on the rail vehicle.
    Shear strength means the ability of a structural member to resist 
forces or components of forces acting perpendicular to compression or 
tension forces, or both, in the member.
    Shock absorbent material means material designed to prevent or 
mitigate injuries due to impact by yielding and absorbing much of the 
energy of impact.
    Side posts means main vertical structural elements in the sides of a 
rail vehicle.
    Side sill means that portion of the underframe or side at the bottom 
of the rail vehicle side wall.
    Single car test means a comprehensive test (as further specified in 
Sec. 238.311) of the functioning of all critical brake system components 
installed on an individual passenger car or unpowered vehicle, other 
than a self-propelled passenger car, used or allowed to be used in a 
passenger train.
    Single car test device means a device capable of controlling the 
application and release of the brakes on an individual passenger car or 
an unpowered vehicle, other than a self-propelled passenger car, through 
pneumatic or electrical means.
    Skin means the outer covering of a fuel tank and a rail vehicle. The 
skin may be covered with another coating of material such as fiberglass.
    Spall, glazing means small pieces of glazing that fly off the back 
surface of the glazing when an object strikes the front surface.
    Switching service means the classification of freight cars according 
to commodity or destination; assembling of cars for train movements; 
changing the position of cars for purposes of loading, unloading, or 
weighing; placing of locomotives and cars for repair or storage; or 
moving of rail equipment in connection with work service that does not 
constitute a train movement.
    Telescope means override an adjoining rail vehicle or unit and 
penetrate into the interior of that adjoining vehicle or unit because of 
compressive forces.
    Terminal means a starting point or ending point of a single 
scheduled trip for a train, where passengers may get on or off a train. 
Normally, this location is a point where the train would reverse 
direction or change destinations.
    Tier I means operating at speeds not exceeding 125 mph.
    Tier II means operating at speeds exceeding 125 mph but not 
exceeding 150 mph.
    Tourist, scenic, historic, or excursion operations means railroad 
operations

[[Page 544]]

that carry passengers, often using antiquated equipment, with the 
conveyance of the passengers to a particular destination not being the 
principal purpose. Train movements of new passenger equipment for 
demonstration purposes are not tourist, scenic, historic, or excursion 
operations.
    Trailer car means a rail vehicle that neither propels a Tier II 
passenger train nor is the leading unit in a Tier II passenger train. A 
trailer car is normally without a control stand and is normally occupied 
by passengers.
    Train means a locomotive unit or locomotive units coupled, with or 
without cars. For the purposes of the provisions of this part related to 
power brakes, the term ``train'' does not include such equipment when 
being used in switching service.
    Train brake communication line means the communication link between 
the locomotive and passenger equipment in a train by which the brake 
commands are transmitted. This may be a pneumatic pipe, electrical line, 
or radio signal.
    Train, commuter means a passenger train providing commuter service 
within an urban, suburban, or metropolitan area. The term includes a 
passenger train provided by an instrumentality of a State or a political 
subdivision of a State.
    Train, long-distance intercity passenger means a passenger train 
that provides service between large cities more than 125 miles apart and 
is not operated exclusively in the National Railroad Passenger 
Corporation's Northeast Corridor.
    Train, passenger means a train that transports or is available to 
transport members of the general public. If a train is composed of a 
mixture of passenger and freight equipment, that train is a passenger 
train for purposes of this part.
    Train, short-distance intercity passenger means a passenger train 
that provides service exclusively on the National Railroad Passenger 
Corporation's Northeast Corridor or between cities that are not more 
than 125 miles apart.
    Train, Tier II passenger means a short-distance or long-distance 
intercity passenger train providing service at speeds that include those 
exceeding 125 mph but not exceeding 150 mph.
    Trainset, passenger means a passenger train.
    Transverse means in a direction perpendicular to the normal 
direction of travel.
    Ultimate strength means the load at which a structural member 
fractures or ceases to resist any load.
    Uncoupling mechanism means the arrangement for operating the coupler 
by any means.
    Underframe means the lower horizontal support structure of a rail 
vehicle.
    Unit means passenger equipment of any type, except a freight 
locomotive when used to haul a passenger train due to failure of a 
passenger locomotive.
    Unoccupied volume means the volume of a rail vehicle or passenger 
train which does not contain seating and is not normally occupied by 
passengers or crewmembers.
    Vehicle, rail means passenger equipment of any type and includes a 
car, trailer car, locomotive, power car, tender, or similar vehicle. 
This term does not include a freight locomotive when used to haul a 
passenger train due to failure of a passenger locomotive.
    Vestibule means an area of a passenger car that normally does not 
contain seating and is used in passing from the seating area to the side 
exit doors.
    Witness plate means a thin foil placed behind a piece of glazing 
undergoing an impact test. Any material spalled or broken from the back 
side of the glazing will dent or mark the witness plate.
    Yard means a system of tracks within defined limits provided for the 
making up of trains, storing of cars, or other purposes.
    Yard air test means a train brake system test conducted using a 
source of compressed air other than a locomotive.
    Yield strength means the ability of a structural member to resist a 
change in length caused by a heavy load. Exceeding the yield strength 
may cause permanent deformation of the member.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41305, July 3, 2000; 67 
FR 19989, Apr. 23, 2002]

[[Page 545]]



Sec. 238.7  Waivers.

    (a) A person subject to a requirement of this part may petition the 
Administrator for a waiver of compliance with such requirement. The 
filing of such a petition does not affect the person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for waiver under this section shall be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.



Sec. 238.9  Responsibility for compliance.

    (a) A railroad subject to this part shall not--
    (1) Use, haul, permit to be used or hauled on its line, offer in 
interchange, or accept in interchange any train or passenger equipment, 
while in service,
    (i) That has one or more conditions not in compliance with a safety 
appliance or power brake provision of this part; or
    (ii) That has not been inspected and tested as required by a safety 
appliance or power brake provision of this part; or
    (2) Use, haul, offer in interchange, or accept in interchange any 
train or passenger equipment, while in service,
    (i) That has one or more conditions not in compliance with a 
provision of this part, other than the safety appliance and power brake 
provisions of this part, if the railroad has actual knowledge of the 
facts giving rise to the violation, or a reasonable person acting in the 
circumstances and exercising reasonable care would have that knowledge; 
or
    (ii) That has not been inspected and tested as required by a 
provision of this part, other than the safety appliance and power brake 
provisions of this part, if the railroad has actual knowledge of the 
facts giving rise to the violation, or a reasonable person acting in the 
circumstances and exercising reasonable care would have that knowledge; 
or
    (3) Violate any other provision of this part.
    (b) For purposes of this part, passenger equipment will be 
considered in use prior to departure but after it has received, or 
should have received, the inspection required under this part for 
movement and is deemed ready for passenger service.
    (c) Although the duties imposed by this part are generally stated in 
terms of the duty of a railroad, any person as defined in Sec. 238.5, 
including a contractor for a railroad, who performs any function covered 
by this part must perform that function in accordance with this part.



Sec. 238.11  Penalties.

    (a) Any person, as defined in Sec. 238.5, who violates any 
requirement of this part or causes the violation of any such requirement 
is subject to a civil penalty of at least $500 and not more than $11,000 
per violation, except that: Penalties may be assessed against 
individuals only for willful violations, and, where a grossly negligent 
violation or a pattern of repeated violations has created an imminent 
hazard of death or injury to persons, or has caused death or injury, a 
penalty not to exceed $22,000 per violation may be assessed. Each day a 
violation continues shall constitute a separate offense. See appendix A 
to this part for a statement of agency civil penalty policy.
    (b) Any person who knowingly and willfully falsifies a record or 
report required by this part may be subject to criminal penalties under 
49 U.S.C. 21311.



Sec. 238.13  Preemptive effect.

    Under 49 U.S.C. 20106, issuance of the regulations in this part 
preempts any State law, regulation, or order covering the same subject 
matter, except an additional or more stringent law, regulation, or order 
that is necessary to eliminate or reduce an essentially local safety 
hazard; that is not incompatible with a law, regulation, or order of the 
United States Government; and that does not unreasonably burden 
interstate commerce.

[[Page 546]]



Sec. 238.15  Movement of passenger equipment with power brake defects.

    Beginning on January 1, 2002, the following provisions of this 
section apply to railroads operating Tier I passenger equipment covered 
by this part. A railroad may request earlier application of these 
requirements upon written notification to FRA's Associate Administrator 
for Safety as provided in Sec. 238.1(c) of this part.
    (a) General. This section contains the requirements for moving 
passenger equipment with a power brake defect without liability for a 
civil penalty under this part. Railroads remain liable for the movement 
of passenger equipment under 49 U.S.C. 20303(c). For purposes of this 
section, Sec. 238.17, and Sec. 238.503, a ``power brake defect'' is a 
condition of a power brake component, or other primary brake component, 
that does not conform with this part. (Passenger cars and other 
passenger equipment classified as locomotives under part 229 of this 
chapter are also covered by the movement restrictions contained in 
Sec. 229.9 of this chapter for those defective conditions covered by 
part 229 of this chapter.)
    (b) Limitations on movement of passenger equipment containing a 
power brake defect at the time a Class I or IA brake test is performed. 
Except as provided in paragraph (c) of this section (which addresses 
brakes that become defective en route after a Class I or IA brake test 
was performed), a commuter or passenger train that has in its consist 
passenger equipment containing a power brake defect at the time that a 
Class I or IA brake test (or, for Tier II trains, the equivalent) is 
performed may only be moved, without civil penalty liability under this 
part--
    (1) If all of the following conditions are met:
    (i) The train is moved for purposes of repair, without passengers;
    (ii) The applicable operating restrictions in paragraphs (d) and (e) 
of this section are observed; and
    (iii) The passenger equipment is tagged, or information is recorded, 
as prescribed in paragraph (c)(2) of this section; or
    (2) If the train is moved for purposes of scrapping or sale of the 
passenger equipment that has the power brake defect and all of the 
following conditions are met:
    (i) The train is moved without passengers;
    (ii) The movement is at a speed of 15 mph or less; and
    (iii) The movement conforms with the railroad's air brake or power 
brake instructions.
    (c) Limitations on movement of passenger equipment in passenger 
service that becomes defective en route after a Class I or IA brake 
test. Passenger equipment hauled or used in service in a commuter or 
passenger train that develops inoperative or ineffective power brakes or 
any other power brake defect while en route to another location after 
receiving a Class I or IA brake test (or, for Tier II trains, the 
equivalent) may be hauled or used by a railroad for repair, without 
civil penalty liability under this part, if the applicable operating 
restrictions set forth in paragraphs (d) and (e) of this section are 
complied with and all of the following requisites are satisfied:
    (1) En route defect. At the time of the train's Class I or IA brake 
test, the passenger equipment in the train was properly equipped with 
power brakes that comply with this part. The power brakes on the 
passenger equipment become defective while it is en route to another 
location.
    (2) Record. A tag or card is placed on both sides of the defective 
passenger equipment, or an automated tracking system is provided, with 
the following information about the defective passenger equipment:
    (i) The reporting mark and car or locomotive number;
    (ii) The name of the inspecting railroad;
    (iii) The name of the inspector;
    (iv) The inspection location and date;
    (v) The nature of each defect;
    (vi) The destination of the equipment where it will be repaired; and
    (vii) The signature, if possible, and job title of the person 
reporting the defective condition.
    (3) Automated tracking system. Automated tracking systems used to 
meet the tagging requirements contained in paragraph (c)(2) of this 
section may be reviewed and monitored by FRA at any

[[Page 547]]

time to ensure the integrity of the system. FRA's Associate 
Administrator for Safety may prohibit or revoke a railroad's ability to 
utilize an automated tracking system in lieu of tagging if FRA finds 
that the automated tracking system is not properly secure, is 
inaccessible to FRA or a railroad's employees, or fails to adequately 
track or monitor the movement of defective equipment. Such a 
determination will be made in writing and will state the basis for such 
action.
    (4) Conditional requirement. In addition, if an en route failure 
causes power brakes to be cut out or renders the brake inoperative on 
passenger equipment, the railroad shall:
    (i) Determine the percentage of operative power brakes in the train 
based on the number of brakes known to be cut out or otherwise 
inoperative, using the formula specified in paragraph (d)(1) of this 
section;
    (ii) Notify the person responsible for the movement of trains of the 
percent of operative brakes and movement restrictions on the train 
imposed by paragraph (d) of this section;
    (iii) Notify the mechanical department of the failure; and
    (iv) Confirm the percentage of operative brakes by a walking 
inspection at the next location where the railroad reasonably judges 
that it is safe to do so.
    (d) Operating restrictions based on percent operative power brakes 
in train. (1) Computation of percent operative power brakes.(i) Except 
as specified in paragraphs (d)(1)(ii) and (iii) of this section, the 
percentage of operative power brakes in a train shall be determined by 
dividing the number of axles in the train with operative power brakes by 
the total number of axles in the train.
    (ii) For trains equipped with only tread brake units (TBUs), the 
percentage of operative power brakes shall be determined by dividing the 
number of operative TBUs by the total number of TBUs in the train.
    (iii) Each cut-out axle on a locomotive that weighs more than 
200,000 pounds shall be counted as two cut-out axles for the purposes of 
calculating the percentage of operative brakes. Unless otherwise 
specified by the railroad, the friction braking effort over all other 
axles shall be considered uniform.
    (iv) The following brake conditions not in compliance with this part 
do not render power brakes inoperative for purposes of this calculation:
    (A) Failure or cutting out of secondary brake systems;
    (B) Inoperative or otherwise defective handbrakes or parking brakes;
    (C) Piston travel that is in excess of the Class I brake test limits 
required in Sec. 238.313 but that does not exceed the maximum prescribed 
limits for considering the brakes to be effective; and
    (D) Power brakes overdue for inspection, testing, maintenance, or 
stenciling under this part.
    (2) All passenger trains developing 50-74 percent operative power 
brakes. A passenger train that develops inoperative power brake 
equipment resulting in at least 50 percent but less than 75 percent 
operative power brakes may be used only as follows:
    (i) The train may be moved in passenger service only to the next 
forward passenger station;
    (ii) The speed of the train shall be restricted to 20 mph or less; 
and
    (iii) After all passengers are discharged, the defective equipment 
shall be moved to the nearest location where the necessary repairs can 
be made.
    (3) Commuter, short-distance intercity, and short-distance Tier II 
passenger trains developing 75-99 percent operative power brakes. (i) 
75-84 percent operative brakes. Commuter, short-distance intercity, and 
short-distance Tier II passenger trains which develop inoperative power 
brake equipment resulting in at least 75 percent but less than 85 
percent operative brakes may be used only as follows:
    (A) The train may be moved in passenger service only to the next 
forward location where the necessary repairs can be made; however, if 
the next forward location where the necessary repairs can be made does 
not have the facilities to handle the safe unloading of passengers, the 
train may be moved past the repair location in service only to the next 
forward passenger station in order to facilitate the unloading of 
passengers; and
    (B) The speed of the train shall be restricted to 50 percent of the 
train's

[[Page 548]]

maximum allowable speed or 40 mph, whichever is less; and
    (C) After all passengers are discharged, the defective equipment 
shall be moved to the nearest location where the necessary repairs can 
be made.
    (ii) 85-99 percent operative brakes. Commuter, short-distance 
intercity, and short-distance Tier II passenger trains which develop 
inoperative power brake equipment resulting in at least 85 percent but 
less than 100 percent operative brakes may only be used as follows:
    (A) The train may be moved in passenger service only to the next 
forward location where the necessary repairs can be made; however, if 
the next forward location where the necessary repairs can be made does 
not have the facilities to handle the safe unloading of passengers, the 
train may be moved past the repair location in service only to the next 
forward passenger station in order to facilitate the unloading of 
passengers; and
    (B) After all passengers are discharged, the defective equipment 
shall be moved to the nearest location where the necessary repairs can 
be made.
    (4) Long-distance intercity and long-distance Tier II passenger 
trains developing 75-99 operative power brakes. (i) 75-84 percent 
operative brakes. Long-distance intercity and long-distance Tier II 
passenger trains which develop inoperative power brake equipment 
resulting in at least 75 percent but less than 85 percent operative 
brakes may be used only if all of the following restrictions are 
observed:
    (A) The train may be moved in passenger service only to the next 
forward repair location identified for repair of that equipment by the 
railroad operating the equipment in the list required by Sec. 238.19(d); 
however, if the next forward repair location does not have the 
facilities to handle the safe unloading of passengers, the train may be 
moved past the designated repair location in service only to the next 
forward passenger station in order to facilitate the unloading of 
passengers; and
    (B) The speed of the train shall be restricted to 50 percent of the 
train's maximum allowable speed or 40 mph, whichever is less; and
    (C) After all passengers are discharged, the defective equipment 
shall be moved to the nearest location where the necessary repairs can 
be made.
    (ii) 85-99 percent operative brakes. Long-distance intercity and 
long-distance Tier II passenger trains which develop inoperative power 
brake equipment resulting in at least 85 percent but less than 100 
percent operative brakes may be used only if all of the following 
restrictions are observed:
    (A) The train may be moved in passenger service only to the next 
forward repair location identified for repair of that equipment by the 
railroad operating the equipment in the list required by Sec. 238.19(d); 
however, if the next forward repair location does not have the 
facilities to handle the safe unloading of passengers, the train may be 
moved past the designated repair location in service only to the next 
forward passenger station in order to facilitate the unloading of 
passengers; and
    (B) After all passengers are discharged, the defective equipment 
shall be moved to the nearest location where the necessary repairs can 
be made.
    (e) Operating restrictions on passenger trains with inoperative 
power brakes on the front or rear unit. If the power brakes on the front 
or rear unit in any passenger train are completely inoperative the 
following shall apply:
    (1) If the handbrake is located inside the interior of the car:
    (i) A qualified person shall be stationed at the handbrake on the 
unit;
    (ii) The car shall be locked-out and empty except for the railroad 
employee manning the handbrake; and
    (iii) Appropriate speed restrictions shall be placed on the train by 
a qualified person;
    (2) If the handbrake is located outside the interior of the car or 
is inaccessible to a qualified person:
    (i) The car shall be locked-out and empty;
    (ii) The speed of the train shall be restricted to 20 mph or less; 
and
    (iii) The car shall be removed from the train or repositioned in the 
train at the first location where it is possible to do so.

[[Page 549]]

    (f) Special Notice for Repair. Nothing in this section authorizes 
the movement of passenger equipment subject to a Special Notice for 
Repair under part 216 of this chapter unless the movement is made in 
accordance with the restrictions contained in the Special Notice.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000; 67 
FR 19990, Apr. 23, 2002]



Sec. 238.17  Movement of passenger equipment with other than power brake defects.

    Beginning on January 1, 2002, the following provisions of this 
section apply to railroads operating Tier I passenger equipment covered 
by this part. A railroad may request earlier application of these 
requirements upon written notification to FRA's Associate Administrator 
for Safety as provided in Sec. 238.1(c) of this part.
    (a) General. This section contains the requirements for moving 
passenger equipment with other than a power brake defect. (Passenger 
cars and other passenger equipment classified as locomotives under part 
229 of this chapter are also covered by the movement restrictions 
contained in Sec. 229.9 of this chapter for those defective conditions 
covered by part 229 of this chapter.)
    (b) Limitations on movement of passenger equipment containing 
defects found at time of calendar day inspection. Except as provided in 
Secs. 238.303(e)(15), 238.305(c) and (d), and 238.307(c)(1), passenger 
equipment containing a condition not in conformity with this part at the 
time of its calendar day mechanical inspection may be moved from that 
location for repair if all of the following conditions are satisfied:
    (1) If the condition involves a running gear defect, the defective 
equipment is not used in passenger service and is moved in a non-revenue 
train;
    (2) If the condition involves a non-running gear defect, the 
defective equipment may be used in passenger service in a revenue train 
provided that a qualified maintenance person determines that it is safe 
to do so, and if so, the car is locked out and empty, and all movement 
restrictions are observed except that the car may be occupied by a 
member of the train crew or a railroad employee to the extent necessary 
to safely operate the train;
    (3) The requirements of paragraphs (c)(3) and (c)(4) of this section 
are met; and
    (4) The special requirements of paragraph (e) of this section, if 
applicable, are met.
    (c) Limitations on movement of passenger equipment that develops 
defects en route. Except as provided in Secs. 238.303(e)(15), 
238.307(c)(1), and 238.503(f), passenger equipment that develops en 
route to its destination, after its calendar day mechanical inspection 
is performed and before its next calendar day mechanical inspection is 
performed, any condition not in compliance with this part, other than a 
power brake defect, may be moved only if the railroads complies with all 
of the following requirements or, if applicable, the special 
requirements in paragraph (e) of this section:
    (1) Prior to movement of equipment with a potential running gear 
defect, a qualified maintenance person shall determine if it is safe to 
move the equipment in passenger service and, if so, the maximum speed 
and other restrictions necessary for safely conducting the movement. If 
appropriate, these determinations may be made based upon a description 
of the defective condition provided by a crewmember. If the 
determinations required by this paragraph are made by an off-site 
qualified maintenance person based on a description of the defective 
condition by on-site personnel, then a qualified maintenance person 
shall perform a physical inspection of the defective equipment, at the 
first location possible, to verify the description of the defect 
provided by the on-site personnel.
    (2) Prior to movement of equipment with a non-running gear defect, a 
qualified person or a qualified maintenance person shall determine if it 
is safe to move the equipment in passenger service and, if so, the 
maximum speed and other restrictions necessary for safely conducting the 
movement. If appropriate, these determinations may be made based upon a 
description of the defective condition provided by the on-site 
personnel.
    (3) Prior to movement of any defective equipment, the qualified 
person or

[[Page 550]]

qualified maintenance person shall notify the crewmember in charge of 
the movement of the defective equipment, who in turn shall inform all 
other crewmembers of the presence of the defective condition(s) and the 
maximum speed and other restrictions determined under paragraph (c)(1) 
or (c)(2) of this section. The movement shall be made in conformance 
with such restrictions.
    (4) The railroad shall maintain a record of all defects reported and 
their subsequent repair in the defect tracking system required in 
Sec. 238.19. In addition, prior to movement of the defective equipment, 
a tag or card placed on both sides of the defective equipment, or an 
automated tracking system, shall record the following information about 
the defective equipment:
    (i) The reporting mark and car or locomotive number;
    (ii) The name of the inspecting railroad;
    (iii) The name of the inspector, inspection location, and date;
    (iv) The nature of each defect;
    (v) Movement restrictions and safety restrictions, if any;
    (vi) The destination of the equipment where it will be repaired; and
    (vii) The signature, if possible, as well as the job title and 
location of the person making the determinations required by this 
section.
    (5) Automated tracking system. Automated tracking systems used to 
meet the tagging requirements contained in paragraph (c)(4) of this 
section may be reviewed and monitored by FRA at any time to ensure the 
integrity of the system. FRA's Associate Administrator for Safety may 
prohibit or revoke a railroad's ability to utilize an automated tracking 
system in lieu of tagging if FRA finds that the automated tracking 
system is not properly secure, is inaccessible to FRA or a railroad's 
employees, or fails to adequately track or monitor the movement of 
defective equipment. Such a determination will be made in writing and 
will state the basis for such action.
    (6) After a qualified maintenance person or a qualified person 
verifies that the defective equipment is safe to remain in service as 
required in paragraphs (c)(1) and (c)(2) of this section, the defective 
equipment that develops a condition not in compliance with this part 
while en route may continue in passenger service not later than the next 
calendar day mechanical inspection, if the requirements of this 
paragraph are otherwise fully met.
    (d) Inspection of roller bearings on equipment involved in a 
derailment. (1) A railroad shall not continue passenger equipment in 
service that has a roller bearing whose truck was involved in a 
derailment unless the bearing has been inspected and tested in 
accordance with the railroad's procedures for handling defective 
equipment.
    (2) The roller bearing shall be disassembled from the axle and 
inspected internally if:
    (i) It shows any external sign of damage;
    (ii) It makes any unusual noise when its wheel set is spun freely 
(an on-track rolling test is acceptable) or when the bearing is manually 
rotated;
    (iii) Its truck was involved in a derailment at a speed of more than 
10 miles per hour; or
    (iv) Its truck was dragged on the ground for more than 100 feet.
    (e) Special requisites for movement of passenger equipment with 
safety appliance defects. Consistent with 49 U.S.C. 20303, passenger 
equipment with a safety appliance not in compliance with this part or 
with part 231 of this chapter, if applicable, may be moved--
    (1) If necessary to effect repair of the safety appliance;
    (2) From the point where the safety appliance defect was first 
discovered by the railroad to the nearest available location on the 
railroad where the necessary repairs required to bring the passenger 
equipment into compliance can be made or, at the option of the receiving 
railroad, the equipment may be received and hauled for repair to a point 
on the receiving railroad's line that is no farther than the point on 
the delivering railroad's line where the repair of the defect could have 
been made;
    (3) If a tag placed on both sides of the passenger equipment or an 
automated tracking system contains the information required under 
paragraph (c)(4) of this section; and

[[Page 551]]

    (4) After notification of the crewmember in charge of the movement 
of the defective equipment, who in turn shall inform all other 
crewmembers of the presence of the defective condition(s).
    (f) Special Notice for Repair. Nothing in this section authorizes 
the movement of equipment subject to a Special Notice for Repair under 
part 216 of this chapter unless the movement is made in accordance with 
the restrictions contained in the Special Notice.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000]



Sec. 238.19  Reporting and tracking of repairs to defective passenger equipment.

    (a) General. Beginning on January 1, 2002, each railroad shall have 
in place a reporting and tracking system for passenger equipment with a 
defect not in conformance with this part. A railroad may request earlier 
application of these requirements upon written notification to FRA's 
Associate Administrator for Safety as provided in Sec. 238.1(c) of this 
part. The reporting and tracking system shall record the following 
information:
    (1) The identification number of the defective equipment;
    (2) The date the defect was discovered;
    (3) The nature of the defect;
    (4) The determination made by a qualified person or qualified 
maintenance person on whether the equipment is safe to run;
    (5) The name of the qualified person or qualified maintenance person 
making such a determination;
    (6) Any operating restrictions placed on the equipment; and
    (7) Repairs made and the date that they were made.
    (b) Retention of records. At a minimum, each railroad shall keep the 
records described in paragraph (a) of this section for one periodic 
maintenance interval for each specific type of equipment as described in 
the railroad's inspection, testing, and maintenance plan required by 
Sec. 238.107. FRA strongly encourages railroads to keep these records 
for longer periods of time because they form the basis for future 
reliability-based decisions concerning test and maintenance intervals 
that may be developed pursuant to Sec. 238.307(b).
    (c) Availability of records. Railroads shall make defect reporting 
and tracking records available to FRA upon request.
    (d) List of power brake repair points. Railroads operating long-
distance intercity and long-distance Tier II passenger equipment shall 
designate locations, in writing, where repairs to passenger equipment 
with a power brake defect will be made and shall provide the list to 
FRA's Associate Administrator for Safety and make it available to FRA 
for inspection and copying upon request. Railroads operating these 
trains shall designate a sufficient number of repair locations to ensure 
the safe and timely repair of passenger equipment. These designations 
shall not be changed without at least 30 days' advance written notice to 
FRA's Associate Administrator for Safety.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000]



Sec. 238.21  Special approval procedure.

    (a) General. The following procedures govern consideration and 
action upon requests for special approval of alternative standards under 
Secs. 238.103, 238.223, 238.309, 238.311, 238.405, or 238.427; for 
approval of alternative compliance under Sec. 238.201; and for special 
approval of pre-revenue service acceptance testing plans as required by 
Sec. 238.111. (Requests for approval of programs for the inspection, 
testing, and maintenance of Tier II passenger equipment are governed by 
Sec. 238.505.)
    (b) Petitions for special approval of alternative standard. Each 
petition for special approval of an alternative standard shall contain--
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the petition;
    (2) The alternative proposed, in detail, to be substituted for the 
particular requirements of this part;
    (3) Appropriate data or analysis, or both, establishing that the 
alternative will provide at least an equivalent level of safety; and

[[Page 552]]

    (4) A statement affirming that the railroad has served a copy of the 
petition on designated representatives of its employees, together with a 
list of the names and addresses of the persons served.
    (c) Petitions for special approval of alternative compliance. Each 
petition for special approval of alternative compliance shall contain--
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to the petition;
    (2) The elements prescribed in Sec. 238.201(b); and
    (3) A statement affirming that the railroad has served a copy of the 
petition on designated representatives of its employees, together with a 
list of the names and addresses of the persons served.
    (d) Petitions for special approval of pre-revenue service acceptance 
testing plan.
    (1) Each petition for special approval of a pre-revenue service 
acceptance testing plan shall contain--
    (i) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the petition; and
    (ii) The elements prescribed in Sec. 238.111.
    (2) Three copies of each petition for special approval of the pre-
revenue service acceptance testing plan shall be submitted to the 
Associate Administrator for Safety, Federal Railroad Administration, 
1120 Vermont Ave., N.W., Mail Stop 25, Washington, D.C. 20590.
    (e) Federal Register notice. FRA will publish a notice in the 
Federal Register concerning each petition under paragraphs (b) and (c) 
of this section.
    (f) Comment. Not later than 30 days from the date of publication of 
the notice in the Federal Register concerning a petition under 
paragraphs (b) and (c) of this section, any person may comment on the 
petition.
    (1) Each comment shall set forth specifically the basis upon which 
it is made, and contain a concise statement of the interest of the 
commenter in the proceeding.
    (2) Each comment shall be submitted to the DOT Central Docket 
Management System, Nassif Building, Room Pl-401, 400 Seventh Street, 
S.W., Washington, D.C. 20590, and shall contain the assigned docket 
number for that proceeding. The form of such submission may be in 
written or electronic form consistent with the standards and 
requirements established by the Central Docket Management System and 
posted on its web site at http://dms.dot.gov.
    (g) Disposition of petitions.
    (1) FRA will conduct a hearing on a petition in accordance with the 
procedures provided in Sec. 211.25 of this chapter.
    (2) If FRA finds that the petition complies with the requirements of 
this section or that the proposed plan is acceptable or changes are 
justified, or both, the petition will be granted, normally within 90 
days of its receipt. If the petition is neither granted nor denied 
within 90 days, the petition remains pending for decision. FRA may 
attach special conditions to the approval of the petition. Following the 
approval of a petition, FRA may reopen consideration of the petition for 
cause stated.
    (3) If FRA finds that the petition does not comply with the 
requirements of this section, or that the proposed plan is not 
acceptable or that the proposed changes are not justified, or both, the 
petition will be denied, normally within 90 days of its receipt.
    (4) When FRA grants or denies a petition, or reopens consideration 
of the petition, written notice is sent to the petitioner and other 
interested parties.

[64 FR 25660, May 12, 1999, as amended at 64 FR 70196, Dec. 16, 1999]



Sec. 238.23  Information collection.

    (a) The information collection requirements of this part were 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et. seq.) and are 
assigned OMB control number 2130-0544.
    (b) The information collection requirements are found in the 
following sections: Secs. 238.1, 238.7, 238.11, 238.15, 238.17, 238.19, 
238.21, 238.103, 238.105, 238.107, 238.109, 238.111, 238.201, 238.203, 
238.211, 238.223, 238.231, 238.237, 238.301, 238.303, 238.305, 238.307, 
238.309, 238.311, 238.313, 238.315, 238.317, 238.403, 238.405, 238.421, 
238.423, 238.427, 238.431, 238.437,

[[Page 553]]

238.441, 238.445, 238.447, 238.503, 238.505, and 238.603.



           Subpart B--Safety Planning and General Requirements



Sec. 238.101  Scope.

    This subpart contains safety planning and general safety 
requirements for all railroad passenger equipment subject to this part.



Sec. 238.103  Fire safety.

    (a) Materials. (1) Materials used in constructing a passenger car or 
a cab of a locomotive ordered on or after September 8, 2000, or placed 
in service for the first time on or after September 9, 2002, shall meet 
the test performance criteria for flammability and smoke emission 
characteristics as specified in Appendix B to this part, or alternative 
standards issued or recognized by an expert consensus organization after 
special approval of FRA under Sec. 238.21.
    (2) On or after November 8, 1999, materials introduced in a 
passenger car or a locomotive cab, as part of any kind of rebuild, 
refurbishment, or overhaul of the car or cab, shall meet the test 
performance criteria for flammability and smoke emission characteristics 
as specified in Appendix B to this part, or alternative standards issued 
or recognized by an expert consensus organization after special approval 
of FRA under Sec. 238.21.
    (3) For purposes of complying with the requirements of this 
paragraph, a railroad may rely on the results of tests of material 
conducted in accordance with the standards and performance criteria for 
flammabilitiy and smoke emission characteristics as specified in 
Appendix B to this part in effect on July 12, 1999 (see 49 CFR parts 
200-399, revised as of October 1, 1999), if prior to June 25, 2002 the 
material is--
    (i) Installed in a passenger car or locomotive;
    (ii) Held in inventory by the railroad; or
    (iii) Ordered by the railroad.
    (b) Certification. A railroad shall require certification that a 
representative sample of combustible materials to be--
    (1) Used in constructing a passenger car or a locomotive cab, or
    (2) Introduced in a passenger car or a locomotive cab, as part of 
any kind of rebuild, refurbishment, or overhaul of the car or cab, has 
been tested by a recognized independent testing laboratory and that the 
results show the representative sample complies with the requirements of 
paragraph (a) of this section at the time it was tested.
    (c) Fire safety analysis for procuring new passenger cars and 
locomotives. In procuring new passenger cars and locomotives, each 
railroad shall ensure that fire safety considerations and features in 
the design of this equipment reduce the risk of personal injury caused 
by fire to an acceptable level in its operating environment using a 
formal safety methodology such as MIL-STD-882. To this end, each 
railroad shall complete a written fire safety analysis for the passenger 
equipment being procured. In conducting the analysis, the railroad 
shall--
    (1) Identify, analyze, and prioritize the fire hazards inherent in 
the design of the equipment.
    (2) Take effective steps to design the equipment and select 
materials which help provide sufficient fire resistance to reasonably 
ensure adequate time to detect a fire and safely evacuate the passengers 
and crewmembers, if a fire cannot be prevented. Factors to consider 
include potential ignition sources; the type, quantity, and location of 
the materials; and availability of rapid and safe egress to the exterior 
of the equipment under conditions secure from fire, smoke, and other 
hazards.
    (3) Reasonably ensure that a ventilation system in the equipment 
does not contribute to the lethality of a fire.
    (4) Identify in writing any train component that is a risk of 
initiating fire and which requires overheat protection. An overheat 
detector shall be installed in any component when the analysis 
determines that an overheat detector is necessary.
    (5) Identify in writing any unoccupied train compartment that 
contains equipment or material that poses a fire hazard, and analyze the 
benefit provided by including a fire or smoke detection system in each 
compartment so identified. A fire or smoke detector shall be installed 
in any unoccupied

[[Page 554]]

compartment when the analysis determines that such equipment is 
necessary to ensure sufficient time for the safe evacuation of 
passengers and crewmembers from the train. For purposes of this section, 
an unoccupied train compartment means any part of the equipment 
structure that is not normally occupied during operation of the train, 
including a closet, baggage compartment, food pantry, etc.
    (6) Determine whether any occupied or unoccupied space requires a 
portable fire extinguisher and, if so, the proper type and size of the 
fire extinguisher for each location. As required by Sec. 239.101 of this 
chapter, each passenger car is required to have a minimum of one 
portable fire extinguisher. If the analysis performed indicates that one 
or more additional portable fire extinguishers are needed, such shall be 
installed.
    (7) On a case-by-case basis, analyze the benefit provided by 
including a fixed, automatic fire-suppression system in any unoccupied 
train compartment that contains equipment or material that poses a fire 
hazard, and determine the proper type and size of the automatic fire-
suppression system for each such location. A fixed, automatic fire-
suppression system shall be installed in any unoccupied compartment when 
the analysis determines that such equipment is practical and necessary 
to ensure sufficient time for the safe evacuation of passengers and 
crewmembers from the train.
    (8) Explain how safety issues are resolved in the design of the 
equipment and selection of materials to reduce the risk of each fire 
hazard.
    (9) Describe the analysis and testing necessary to demonstrate that 
the fire protection approach taken in the design of the equipment and 
selection of materials meets the fire protection requirements of this 
part.
    (d) Fire safety analysis for existing passenger cars and 
locomotives. (1) Not later than January 10, 2001, each passenger 
railroad shall complete a preliminary fire safety analysis for each 
category of existing passenger cars and locomotives and rail service.
    (2) Not later than July 10, 2001, each such railroad shall--
    (i) Complete a final fire safety analysis for any category of 
existing passenger cars and locomotives and rail service evaluated 
during the preliminary fire safety analysis as likely presenting an 
unacceptable risk of personal injury. In conducting the analysis, the 
railroad shall consider the extent to which materials comply with the 
test performance criteria for flammability and smoke emission 
characteristics as specified in Appendix B to this part or alternative 
standards approved by FRA under this part.
    (ii) Take remedial action to reduce the risk of personal injuries to 
an acceptable level in any such category, if the railroad finds the risk 
to be unacceptable. In considering remedial action, a railroad is not 
required to replace material found not to comply with the test 
performance criteria for flammability and smoke emission characteristics 
required by this part, if:
    (A) The risk of personal injuries from the material is negligible 
based on the railroad's operating environment and the material's size, 
or location, or both; or
    (B) The railroad takes alternative action which reduces the risk of 
personal injuries to an acceptable level.
    (3) Not later than July 10, 2003, each such railroad shall--
    (i) Complete a final fire safety analysis for all categories of 
existing passenger cars and locomotives and rail service. In completing 
this analysis, the railroad shall, as far as practicable, determine the 
extent to which remaining materials comply with the test performance 
criteria for flammability and smoke emission characteristics as 
specified in Appendix B to this part or alternative standards approved 
by FRA under this part.
    (ii) Take remedial action to reduce the risk of personal injuries to 
an acceptable level in any such category, if the railroad finds the risk 
to be unacceptable. In considering remedial action, a railroad is not 
required to replace material found not to comply with the test 
performance criteria for flammability and smoke emission characteristics 
required by this part, if:

[[Page 555]]

    (A) The risk of personal injuries from the material is negligible 
based on the railroad's operating environment and the material's size, 
or location, or both; or
    (B) The railroad takes alternative action which reduces the risk of 
personal injuries to an acceptable level.
    (4) Where possible prior to transferring existing passenger cars and 
locomotives to a new category of rail service, but in no case more than 
90 days following such a transfer, the passenger railroad shall complete 
a new fire safety analysis taking into consideration the change in 
railroad operations and shall effect prompt action to reduce any 
identified risk to an acceptable level.
    (5) As used in this paragraph, a ``category of existing passenger 
cars and locomotives and rail service'' shall be determined by the 
railroad based on relevant fire safety risks, including available 
ignition sources, presence or absence of heat/smoke detection systems, 
known variations from the required material test performance criteria or 
alternative standards approved by FRA, and availability of rapid and 
safe egress to the exterior of the vehicle under conditions secure from 
fire, smoke, and other hazards.
    (e) Inspection, testing, and maintenance. Each railroad shall 
develop and adopt written procedures for the inspection, testing, and 
maintenance of all fire safety systems and fire safety equipment on the 
passenger equipment it operates. The railroad shall comply with those 
procedures that it designates as mandatory for the safety of the 
equipment and its occupants.

[64 FR 25660, May 12, 1999, as amended at 67 FR 42909, June 25, 2002]



Sec. 238.105  Train electronic hardware and software safety.

    The requirements of this section apply to electronic hardware and 
software used to control or monitor safety functions in passenger 
equipment ordered on or after September 8, 2000, and such components 
implemented or materially modified in new or existing passenger 
equipment on or after September 9, 2002.
    (a) The railroad shall develop and maintain a written hardware and 
software safety program to guide the design, development, testing, 
integration, and verification of software and hardware that controls or 
monitors equipment safety functions.
    (b) The hardware and software safety program shall be based on a 
formal safety methodology that includes a Failure Modes, Effects, 
Criticality Analysis (FMECA); verification and validation testing for 
all hardware and software components and their interfaces; and 
comprehensive hardware and software integration testing to ensure that 
the hardware and software system functions as intended.
    (c) The hardware and software safety program shall include a 
description of how the following will be accomplished, achieved, carried 
out, or implemented to ensure safety and reliability:
    (1) The hardware and software design process;
    (2) The hardware and software design documentation;
    (3) The hardware and software hazard analysis;
    (4) Hardware and software safety reviews;
    (5) Hardware and software hazard monitoring and tracking;
    (6) Hardware and software integration safety testing; and
    (7) Demonstration of overall hardware and software system safety as 
part of the pre-revenue service testing of the equipment.
    (d) (1) Hardware and software that controls or monitors a train's 
primary braking system shall either:
    (i) Fail safely by initiating a full service brake application in 
the event of a hardware or software failure that could impair the 
ability of the engineer to apply or release the brakes; or
    (ii) Access to direct manual control of the primary braking system 
(both service and emergency braking) shall be provided to the engineer.
    (2) Hardware and software that controls or monitors the ability to 
shut down a train's main power and fuel intake system shall either:
    (i) Fail safely by shutting down the main power and cutting off the 
intake of fuel in the event of a hardware or software failure that could 
impair the

[[Page 556]]

ability of the train crew to command that electronic function; or
    (ii) The ability to shut down the main power and fuel intake by non-
electronic means shall be provided to the train crew.
    (e) The railroad shall comply with the elements of its hardware and 
software safety program that affect the safety of the passenger 
equipment.

[67 FR 19990, Apr. 23, 2002]



Sec. 238.107  Inspection, testing, and maintenance plan.

    (a) General. Beginning on January 1, 2002, the following provisions 
of this section apply to railroads operating Tier I passenger equipment 
covered by this part. A railroad may request earlier application of 
these requirements upon written notification to FRA's Associate 
Administrator for Safety as provided in Sec. 238.1(c).
    (b) Each railroad shall develop, and provide to FRA upon request, a 
detailed inspection, testing, and maintenance plan consistent with the 
requirements of this part. This plan shall include a detailed 
description of the following:
    (1) Inspection procedures, intervals, and criteria;
    (2) Test procedures and intervals;
    (3) Scheduled preventive maintenance intervals;
    (4) Maintenance procedures; and
    (5) Special testing equipment or measuring devices required to 
perform inspections and tests.
    (c) The inspection, testing, and maintenance plan required by this 
section is not intended to address and should not include procedures to 
address employee working conditions that arise in the course of 
conducting the inspections, tests, and maintenance set forth in the 
plan. When requesting a copy of the railroad's plan, FRA does not intend 
to review any portion of the plan that relates to employee working 
conditions.
    (d) The inspection, testing, and maintenance plan required by this 
section shall be reviewed by the railroad annually.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]



Sec. 238.109  Training, qualification, and designation program.

    (a) Beginning on January 1, 2002, each railroad shall have adopted a 
training, qualification, and designation program for employees and 
contractors that perform any of the inspections, tests, or maintenance 
required by this part, and shall have trained such employees and 
contractors in accordance with the program. A railroad may request 
earlier application of these requirements upon written notification to 
FRA's Associate Administrator for Safety as provided in Sec. 238.1(c). 
For purposes of this section, a ``contractor'' is defined as a person 
under contract with the railroad or an employee of a person under 
contract with the railroad to perform any of the tasks required by this 
part.
    (b) As part of this program, the railroad shall, at a minimum:
    (1) Identify the tasks related to the inspection, testing, and 
maintenance required by this part that must be performed on each type of 
equipment that the railroad operates;
    (2) Develop written procedures for the performance of the tasks 
identified in paragraph (b)(1) of this section;
    (3) Identify the skills and knowledge necessary to perform each task 
identified in paragraph (b)(1) of this section;
    (4) Adopt a training curriculum that includes classroom and ``hands-
on'' lessons designed to impart the skills and knowledge identified as 
necessary to perform each task identified in paragraph (b)(1) of this 
section. The training curriculum shall specifically address the Federal 
regulatory requirements contained in this part that are related to the 
performance of the tasks identified;
    (5) Require all employees and contractors to successfully complete 
the training course that covers the equipment and tasks for which they 
are responsible that are required by this part as well as the specific 
Federal regulatory requirements contained in this part related to 
equipment and tasks for which they are responsible;
    (6) Require all employees and contractors to pass either a written 
or an oral examination covering the equipment and tasks for which they 
are responsible that are required by this part

[[Page 557]]

as well as the specific Federal regulatory requirements contained in 
this part related to equipment and tasks for which they are responsible;
    (7) Require all employees and contractors to individually 
demonstrate ``hands-on'' capability to successfully perform the tasks 
required by this part that must be performed as part of their duties on 
the type equipment to which they are assigned;
    (8) Require supervisors to complete the program that covers the 
employees whom they supervise, including refresher training;
    (9) Require supervisors to exercise oversight to ensure that all the 
identified tasks are performed in accordance with the railroad's written 
procedures;
    (10) Designate in writing that each employee and contractor has the 
knowledge and skills necessary to perform the safety-related tasks that 
are part of his or her job;
    (11) Require periodic refresher training, at an interval not to 
exceed three years, that includes classroom and ``hands-on'' training, 
as well as testing; except, employees and contractors that have 
completed their initial training under this part prior to January 1, 
2002, shall not be required to complete their first periodic refresher 
training until four years after the completion of their initial 
training, and every three years thereafter;
    (12) Add new equipment to the qualification and designation program 
prior to its introduction to revenue service; and
    (13) Maintain records adequate to demonstrate that each employee and 
contractor performing safety-related tasks on passenger equipment is 
currently qualified to do so. These records shall be adequate to 
distinguish the qualifications of the employee or contractor as a 
qualified person or as a qualified maintenance person.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000; 67 
FR 19990, Apr. 23, 2002]



Sec. 238.111  Pre-revenue service acceptance testing plan.

    (a) Passenger equipment that has previously been used in revenue 
service in the United States. For passenger equipment that has 
previously been used in revenue service in the United States, each 
railroad shall test the equipment on its system prior to placing such 
equipment in revenue service for the first time on its railroad to 
ensure the compatibility of the equipment with the railroad's operating 
system (including the track, and signal system). A description of such 
testing shall be retained by the railroad and made available to FRA for 
inspection and copying upon request. For purposes of this paragraph, 
passenger equipment that has previously been used in revenue service in 
the United States means:
    (1) The actual equipment used in such service;
    (2) Equipment manufactured identically to that actual equipment; and
    (3) Equipment manufactured similarly to that actual equipment with 
no material differences in safety-critical components or systems.
    (b) Passenger equipment that has not been used in revenue service in 
the United States. Before using passenger equipment for the first time 
on its system that has not been used in revenue service in the United 
States, each railroad shall:
    (1) Prepare a pre-revenue service acceptance testing plan for the 
equipment which contains the following elements:
    (i) An identification of any waivers of FRA or other Federal safety 
regulations required for the testing or for revenue service operation of 
the equipment;
    (ii) A clear statement of the test objectives. One of the principal 
test objectives shall be to demonstrate that the equipment meets the 
safety requirements specified in this part when operated in the 
environment in which it is to be used;
    (iii) A planned schedule for conducting the testing;
    (iv) A description of the railroad property or facilities to be used 
to conduct the testing;
    (v) A detailed description of how the testing is to be conducted, 
including a description of the criteria to be used to evaluate the 
equipment's performance;
    (vi) A description of how the test results are to be recorded;

[[Page 558]]

    (vii) A description of any special instrumentation to be used during 
the tests;
    (viii) A description of the information or data to be obtained;
    (ix) A description of how the information or data obtained is to be 
analyzed or used;
    (x) A description of any criteria to be used as safety limits during 
the testing;
    (xi) A description of the criteria to be used to measure or 
determine the success or failure of the tests. If acceptance is to be 
based on extrapolation of less than full-level testing results, the 
analysis to be done to justify the validity of the extrapolation shall 
be described;
    (xii) Quality control procedures to ensure that the inspection, 
testing, and maintenance procedures are followed;
    (xiii) Criteria to be used for the revenue service operation of the 
equipment; and
    (xiv) A description of any testing of the equipment that has 
previously been performed.
    (2) Submit a copy of the plan to FRA at least 30 days prior to 
testing the equipment and include with that submission notification of 
the times and places of the pre-revenue service tests to permit FRA 
observation of such tests. For Tier II passenger equipment, the railroad 
shall obtain FRA approval of the plan under the procedures specified in 
Sec. 238.21.
    (3) Comply with the plan, including fully executing the tests 
required by the plan.
    (4) Document in writing the results of the tests. For Tier II 
passenger equipment, the railroad shall report the results of the tests 
to the FRA Associate Administrator for Safety at least 90 days prior to 
its intended operation of the equipment in revenue service.
    (5) Correct any safety deficiencies identified in the design of the 
equipment or in the inspection, testing, and maintenance procedures, 
uncovered during the testing. If safety deficiencies cannot be corrected 
by design changes, the railroad shall impose operational limitations on 
the revenue service operation of the equipment that are designed to 
ensure that the equipment can operate safely. For Tier II passenger 
equipment, the railroad shall comply with any operational limitations 
imposed by the FRA Associate Administrator for Safety on the revenue 
service operation of the equipment for cause stated following FRA review 
of the results of the test program. This section does not restrict a 
railroad from petitioning FRA for a waiver of a safety regulation under 
the procedures specified in part 211 of this chapter.
    (6) Make the plan and documentation kept pursuant to that plan 
available for inspection and copying by FRA upon request.
    (7) For Tier II passenger equipment, obtain approval from the FRA 
Associate Administrator for Safety prior to placing the equipment in 
revenue service. The Associate Administrator grants such approval upon a 
showing of the railroad's compliance with the applicable requirements of 
this part.
    (c) If a railroad plans a major upgrade or introduction of new 
technology on Tier II passenger equipment that has been used in revenue 
service in the United States and that affects a safety system on such 
equipment, the railroad shall follow the procedures specified in 
paragraph (b) of this section prior to placing the equipment in revenue 
service with such a major upgrade or introduction of new technology.



Sec. 238.113  Emergency window exits.

    (a) The following requirements apply on or after Novermber 8, 1999--
    (1) Each passenger car shall have a minimum of four emergency window 
exits, either in a staggered configuration where practical or with one 
exit located in each end of each side of the passenger car. If the 
passenger car has multiple levels, each main level shall have a minimum 
of four emergency window exits, either in a staggered configuration 
where practical or with one exit located in each end of each side on 
each level.
    (2) Each sleeping car, and any similarly designed car having a 
number of separate compartments intended to be

[[Page 559]]

occupied by passengers or train crewmembers, shall have at least one 
emergency window exit in each compartment.
    (3) Each emergency window exit shall be designed to permit rapid and 
easy removal from the inside of the car during an emergency situation 
without requiring the use of a tool or other implement.
    (b) Each emergency window exit in a passenger car, including a 
sleeper car, ordered on or after September 8, 2000, or placed in service 
for the first time on or after September 9, 2002, shall have an 
unobstructed opening with minimum dimensions of 26 inches horizontally 
by 24 inches vertically. A seat back is not an obstruction if it can be 
moved away from the window opening without requiring the use of a tool 
or other implement.
    (c) Emergency window exits shall be marked, and instructions 
provided for their use, as required by Sec. 223.9(d) of this chapter.

[64 25660, May 12, 1999, as amended at 67 FR 19990, Apr. 23, 2002]



Sec. 238.115  Emergency lighting.

    (a) This section applies to each passenger car ordered on or after 
September 8, 2000, or placed in service for the first time on or after 
September 9, 2002. This section applies to each level of a multi-level 
passenger car.
    (b) Emergency lighting shall be provided in each passenger car and 
shall include the following:
    (1) A minimum, average illumination level of 1 foot-candle measured 
at floor level adjacent to each exterior door and each interior door 
providing access to an exterior door (such as a door opening into a 
vestibule);
    (2) A minimum, average illumination level of 1 foot-candle measured 
25 inches above floor level along the center of each aisle and 
passageway;
    (3) A minimum illumination level of 0.1 foot-candle measured 25 
inches above floor level at any point along the center of each aisle and 
passageway; and
    (4) A back-up power system capable of:
    (i) Operating in all equipment orientations within 45 degrees of 
vertical;
    (ii) Operating after the initial shock of a collision or derailment 
resulting in the following individually applied accelerations:
    (A) Longitudinal: 8g;
    (B) Lateral: 4g; and
    (C) Vertical: 4g; and
    (iii) Operating all emergency lighting for a period of at least 90 
minutes without a loss of more than 40% of the minimum illumination 
levels specified in this paragraph (b).



Sec. 238.117  Protection against personal injury.

    On or after November 8, 1999, all moving parts, high voltage 
equipment, electrical conductors and switches, and pipes carrying hot 
fluids or gases on all passenger equipment shall be appropriately 
equipped with interlocks or guards to minimize the risk of personal 
injury. This section does not apply to the interior of a private car.



Sec. 238.119  Rim-stamped straight-plate wheels.

    (a)(1) Except as provided in paragraph (a)(2) of this section, on or 
after November 8, 1999, no railroad shall place or continue in service 
any vehicle, other than a private car, that is equipped with a rim-
stamped straight-plate wheel if a brake shoe acts on the tread of the 
wheel for the purpose of slowing the vehicle.
    (2) A commuter railroad may continue in service a vehicle equipped 
with a Class A, rim-stamped straight-plate wheel mounted on an inboard-
bearing axle until the railroad exhausts its replacement stock of wheels 
held as of May 12, 1999, provided the railroad does not modify the 
operation of the vehicle in any way that would result in increased 
thermal input to the wheel during braking.
    (b) A rim-stamped straight-plate wheel shall not be used as a 
replacement wheel on a private car that operates in a passenger train if 
a brake shoe acts on the tread of the wheel for the purpose of slowing 
the car.
    (c) The requirements of this section do not apply to a wheel that is 
periodically tread-braked for a short duration by automatic circuitry 
for the sole purpose of cleaning the wheel tread surface.

[[Page 560]]



     Subpart C--Specific Requirements for Tier I Passenger Equipment



Sec. 238.201  Scope/alternative compliance.

    (a) Scope. (1) This subpart contains requirements for railroad 
passenger equipment operating at speeds not exceeding 125 miles per 
hour. As stated in Sec. 238.229, all such passenger equipment remains 
subject to the safety appliance requirements contained in Federal 
statute at 49 U.S.C. chapter 203 and in FRA regulations at part 231 and 
Sec. 232.2 of this chapter. Unless otherwise specified, these 
requirements only apply to passenger equipment ordered on or after 
September 8, 2000 or placed in service for the first time on or after 
September 9, 2002.
    (2) The structural standards of this subpart (Sec. 238.203-static 
end strength; Sec. 238.205-anti-climbing mechanism; Sec. 238.207-link 
between coupling mechanism and car body; Sec. 238.209-forward-facing end 
structure of locomotives; Sec. 238.211-collision posts; Sec. 238.213-
corner posts; Sec. 238.215-rollover strength; Sec. 238.217-side 
structure; Sec. 238.219 -truck-to-car-body attachment; and Sec. 238.223-
locomotive fuel tanks) do not apply to passenger equipment if used 
exclusively on a rail line:
    (i) With no public highway-rail grade crossings;
    (ii) On which no freight operations occur at any time;
    (iii) On which only passenger equipment of compatible design is 
utilized; and
    (iv) On which trains operate at speeds not exceeding 79 mph.
    (b) Alternative compliance. Passenger equipment of special design 
shall be deemed to comply with this subpart, other than Sec. 238.203, 
for the service environment in which the petitioner proposes to operate 
the equipment if the FRA Associate Administrator for Safety determines 
under paragraph (c) of this section that the equipment provides at least 
an equivalent level of safety in such environment with respect to the 
protection of its occupants from serious injury in the case of a 
derailment or collision. In making a determination under paragraph (c) 
the Associate Administrator shall consider, as a whole, all of those 
elements of casualty prevention or mitigation relevant to the integrity 
of the equipment that are addressed by the requirements of this subpart.
    (c)(1) The Associate Administrator may only make a finding of 
equivalent safety and compliance with this subpart, other than 
Sec. 238.203, based upon a submission of data and analysis sufficient to 
support that determination. The petition shall include:
    (i) The information required by Sec. 238.21(c);
    (ii) Information, including detailed drawings and materials 
specifications, sufficient to describe the actual construction of the 
equipment of special design;
    (iii) Engineering analysis sufficient to describe the likely 
performance of the equipment in derailment and collision scenarios 
pertinent to the safety requirements for which compliance is required 
and for which the equipment does not conform to the specific 
requirements of this subpart; and
    (iv) A quantitative risk assessment, incorporating the design 
information and engineering analysis described in this paragraph, 
demonstrating that the equipment, as utilized in the service environment 
for which recognition is sought, presents no greater hazard of serious 
personal injury than equipment that conforms to the specific 
requirements of this subpart.
    (2) Any petition made under this paragraph is subject to the 
procedures set forth in Sec. 238.21, and will be disposed of in 
accordance with Sec. 238.21(g).

[64 25660, May 12, 1999, as amended at 67 FR 19990, Apr. 23, 2002]



Sec. 238.203  Static end strength.

    (a)(1) Except as further specified in this paragraph or in paragraph 
(d), on or after November 8, 1999 all passenger equipment shall resist a 
minimum static end load of 800,000 pounds applied on the line of draft 
without permanent deformation of the body structure.
    (2) For a passenger car or a locomotive, the static end strength of 
unoccupied volumes may be less than 800,000 pounds if:
    (i) Energy absorbing structures are used as part of a crash energy 
management design of the passenger car or locomotive, and

[[Page 561]]

    (ii) The passenger car or locomotive resists a minimum static end 
load of 800,000 pounds applied on the line of draft at the ends of its 
occupied volume without permanent deformation of the body structure.
    (3) For a locomotive placed in service prior to November 8, 1999, as 
an alternative to resisting a minimum static end load of 800,000 pounds 
applied on the line of draft without permanent deformation of the body 
structure, the locomotive shall resist a horizontal load of 1,000,000 
pounds applied along the longitudinal center line of the locomotive at a 
point on the buffer beam construction 12 inches above the center line of 
draft without permanent deformation of the body structure. The 
application of this load shall not be distributed over an area greater 
than 6 inches by 24 inches. The alternative specified in this paragraph 
is not applicable to a cab car or an MU locomotive.
    (4) The requirements of this paragraph do not apply to:
    (i) A private car; or
    (ii) Unoccupied passenger equipment operating at the rear of a 
passenger train.
    (b) Passenger equipment placed in service before November 8, 1999 is 
presumed to comply with the requirements of paragraph (a)(1) of this 
section, unless the railroad operating the equipment has knowledge, or 
FRA makes a showing, that such passenger equipment was not built to the 
requirements specified in paragraph (a)(1).
    (c) When overloaded in compression, the body structure of passenger 
equipment shall be designed, to the maximum extent possible, to fail by 
buckling or crushing, or both, of structural members rather than by 
fracture of structural members or failure of structural connections.
    (d) Grandfathering of non-compliant equipment for use on a specified 
rail line or lines.(1) Grandfathering approval is equipment and line 
specific. Grandfathering approval of non-compliant equipment under this 
paragraph is limited to usage of the equipment on a particular rail line 
or lines. Before grandfathered equipment can be used on another rail 
line, a railroad must file and secure approval of a grandfathering 
petition under paragraph (d)(3) of this section.
    (2) Temporary usage of non-compliant equipment. Any passenger 
equipment placed in service on a rail line or lines before November 8, 
1999 that does not comply with the requirements of paragraph (a)(1) may 
continue to be operated on that particular line or (those particular 
lines) if the operator of the equipment files a petition seeking 
grandfathering approval under paragraph (d)(3) before November 8, 1999. 
Such usage may continue while the petition is being processed, but in no 
event later than May 8, 2000, unless the petition is approved.
    (3) Petitions for grandfathering. Petitions for grandfathering shall 
include:
    (i) The name, title, address, and telephone number of the primary 
person to be contacted with respect to the petition;
    (ii) Information, including detailed drawings and material 
specifications, sufficient to describe the actual construction of the 
equipment;
    (iii) Engineering analysis sufficient to describe the likely 
performance of the static end strength of the equipment and the likely 
performance of the equipment in derailment and collision scenarios 
pertinent to the equipment's static end strength;
    (iv) A description of risk mitigation measures that will be employed 
in connection with the usage of the equipment on a specified rail line 
or lines to decrease the likelihood of accidents involving the use of 
the equipment; and
    (v) A quantitative risk assessment, incorporating the design 
information, engineering analysis, and risk mitigation measures 
described in this paragraph, demonstrating that the use of the 
equipment, as utilized in the service environment for which recognition 
is sought, is in the public interest and is consistent with railroad 
safety.
    (e) Service. Three copies of each petition shall be submitted to the 
Associate Administrator for Safety, Federal Railroad Administration, 
1120 Vermont Ave., Mail Stop 25, Washington, DC 20590.
    (f) Federal Register notice. FRA will publish a notice in the 
Federal Register concerning each petition under paragraph (d) of this 
section.

[[Page 562]]

    (g) Comment. Not later than 30 days from the date of publication of 
the notice in the Federal Register concerning a petition under paragraph 
(d) of this section, any person may comment on the petition.
    (1) Each comment shall set forth specifically the basis upon which 
it is made, and contain a concise statement of the interest of the 
commenter in the proceeding.
    (2) Each comment shall be submitted to the DOT Central Docket 
Management System, Nassif Building, Room Pl-401, 400 Seventh Street, SW, 
Washington, DC 20590, and shall contain the assigned docket number for 
that proceeding. The form of such submission may be in written or 
electronic form consistent with the standards and requirements 
established by the Central Docket Management System and posted on its 
web site at http://dms.dot.gov.
    (h) Disposition of petitions.(1) If the Administrator finds it 
necessary or desirable, FRA will conduct a hearing on a petition in 
accordance with the procedures provided in Sec. 211.25 of this chapter.
    (2) If FRA finds that the petition complies with the requirements of 
this section and that the proposed usage is in the public interest and 
consistent with railroad safety, the petition will be granted, normally 
within 90 days of its receipt. If the petition is neither granted nor 
denied within 90 days, the petition remains pending for decision. FRA 
may attach special conditions to the approval of the petition. Following 
the approval of a petition, FRA may reopen consideration of the petition 
for cause stated.
    (3) If FRA finds that the petition does not comply with the 
requirements of this section or that the proposed usage is not in the 
public interest and consistent with railroad safety, the petition will 
be denied, normally within 90 days of its receipt.
    (4) When FRA grants or denies a petition, or reopens consideration 
of the petition, written notice is sent to the petitioner and other 
interested parties.

[64 FR 25660, May 12, 1999, as amended at 64 FR 70196, Dec. 16, 1999; 67 
FR 19991, Apr. 23, 2002]



Sec. 238.205  Anti-climbing mechanism.

    (a) Except as provided in paragraph (b) of this section, all 
passenger equipment placed in service for the first time on or after 
September 8, 2000 shall have at both the forward and rear ends an anti-
climbing mechanism capable of resisting an upward or downward vertical 
force of 100,000 pounds without failure. When coupled together in any 
combination to join two vehicles, AAR Type H and Type F tight-lock 
couplers satisfy this requirement.
    (b) Except for a cab car or an MU locomotive, each locomotive 
ordered on or after September 8, 2000, or placed in service for the 
first time on or after September 9, 2002, shall have an anti-climbing 
mechanism at its forward end capable of resisting both an upward and 
downward vertical force of 200,000 pounds without failure.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]



Sec. 238.207  Link between coupling mechanism and car body.

    All passenger equipment placed in service for the first time on or 
after September 8, 2000 shall have a coupler carrier at each end 
designed to resist a vertical downward thrust from the coupler shank of 
100,000 pounds for any normal horizontal position of the coupler, 
without permanent deformation. For passenger equipment that is connected 
by articulated joints that comply with the requirements of 
Sec. 238.205(a), such passenger equipment also complies with the 
requirements of this section.



Sec. 238.209  Forward-facing end structure of locomotives.

    The skin covering the forward-facing end of each locomotive shall 
be:
    (a) Equivalent to a \1/2\ inch steel plate with a 25,000 pounds-per-
square-inch yield strength--material of a higher yield strength may be 
used to decrease the required thickness of the material provided at 
least an equivalent level of strength is maintained;
    (b) Designed to inhibit the entry of fluids into the occupied cab 
area of the equipment; and

[[Page 563]]

    (c) Affixed to the collision posts or other main vertical structural 
members of the forward end structure so as to add to the strength of the 
end structure.
    (d) As used in this section, the term ``skin'' does not include 
forward-facing windows and doors.



Sec. 238.211  Collision posts.

    (a) Except as further specified in this paragraph and paragraphs (b) 
and (c) of this section--
    (1) All passenger equipment placed in service for the first time on 
or after September 8, 2000 shall have either:
    (i) Two full-height collision posts, located at approximately the 
one-third points laterally, at each end. Each collision post shall have 
an ultimate longitudinal shear strength of not less than 300,000 pounds 
at a point even with the top of the underframe member to which it is 
attached. If reinforcement is used to provide the shear value, the 
reinforcement shall have full value for a distance of 18 inches up from 
the underframe connection and then taper to a point approximately 30 
inches above the underframe connection; or
    (ii) An equivalent end structure that can withstand the sum of 
forces that each collision post in paragraph (a)(1)(i) of this section 
is required to withstand. For analysis purposes, the required forces may 
be assumed to be evenly distributed at the end structure at the 
underframe joint.
    (2) The requirements of this paragraph do not apply to unoccupied 
passenger equipment operating in a passenger train, or to the rear end 
of a locomotive if the end is unoccupied by design.
    (b) Each locomotive, including a cab car and an MU locomotive, 
ordered on or after September 8, 2000, or placed in service for the 
first time on or after September 9, 2002, shall have at its forward end, 
in lieu of the structural protection described in paragraph (a) of this 
section, either:
    (1) Two forward collision posts, located at approximately the one-
third points laterally, each capable of withstanding:
    (i) A 500,000-pound longitudinal force at the point even with the 
top of the underframe, without exceeding the ultimate strength of the 
joint; and
    (ii) A 200,000-pound longitudinal force exerted 30 inches above the 
joint of the post to the underframe, without exceeding the ultimate 
strength; or
    (2) An equivalent end structure that can withstand the sum of the 
forces that each collision post in paragraph (b)(1)(i) of this section 
is required to withstand.
    (c) The end structure requirements in paragraphs (a) and (b) of this 
section apply only to the ends of a semi-permanently coupled consist of 
articulated units, provided that:
    (1) The railroad submits to the FRA Associate Administrator for 
Safety under the procedures specified in Sec. 238.21 a documented 
engineering analysis establishing that the articulated connection is 
capable of preventing disengagement and telescoping to the same extent 
as equipment satisfying the anti-climbing and collision post 
requirements contained in this subpart; and
    (2) FRA finds the analysis persuasive.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]



Sec. 238.213  Corner posts.

    (a) Each passenger car shall have at each end of the car, placed 
ahead of the occupied volume, two full-height corner posts capable of 
resisting:
    (1) A horizontal load of 150,000 pounds at the point of attachment 
to the underframe without failure;
    (2) A horizontal load of 20,000 pounds at the point of attachment to 
the roof structure without failure; and
    (3) A horizontal load of 30,000 pounds applied 18 inches above the 
top of the floor without permanent deformation.
    (b) For purposes of this section, the orientation of the applied 
horizontal loads shall range from longitudinal inward to transverse 
inward.



Sec. 238.215  Rollover strength.

    (a) Each passenger car shall be designed to rest on its side and be 
uniformly supported at the top (``roof rail''), the bottom cords (``side 
sill'') of the side frame, and, if bi-level, the intermediate floor 
rail. The allowable stress in the structural members of the occupied 
volumes for this condition

[[Page 564]]

shall be one-half yield or one-half the critical buckling stress, 
whichever is less. Local yielding to the outer skin of the passenger car 
is allowed provided that the resulting deformations in no way intrude 
upon the occupied volume of the car.
    (b) Each passenger car shall also be designed to rest on its roof so 
that any damage in occupied areas is limited to roof sheathing and 
framing. Other than roof sheathing and framing, the allowable stress in 
the structural members of the occupied volumes for this condition shall 
be one-half yield or one-half the critical buckling stress, whichever is 
less. Deformation to the roof sheathing and framing is allowed to the 
extent necessary to permit the vehicle to be supported directly on the 
top chords of the side frames and end frames.



Sec. 238.217  Side structure.

    Each passenger car shall comply with the following:
    (a) Side posts and corner braces.
    (1) For modified girder, semi-monocoque, or truss construction, the 
sum of the section moduli in inches \3\--about a longitudinal axis, 
taken at the weakest horizontal section between the side sill and side 
plate--of all posts and braces on each side of the car located between 
the body corner posts shall be not less than 0.30 multiplied by the 
distance in feet between the centers of end panels.
    (2) For modified girder or semi-monocoque construction only, the sum 
of the section moduli in inches \3\--about a transverse axis, taken at 
the weakest horizontal section between the side sill and side plate--of 
all posts, braces and pier panels, to the extent available, on each side 
of the car located between body corner posts shall be not less than 0.20 
multiplied by the distance in feet between the centers of end panels.
    (3) The center of an end panel is the point midway between the 
center of the body corner post and the center of the adjacent side post.
    (4) The minimum section moduli or thicknesses specified in paragraph 
(a) of this section may be adjusted in proportion to the ratio of the 
yield strength of the material used to that of mild open-hearth steel 
for a car whose structural members are made of a higher strength steel.
    (b) Sheathing.
    (1) Outside sheathing of mild, open-hearth steel when used flat, 
without reinforcement (other than side posts) in a side frame of 
modified girder or semi-monocoque construction shall not be less than 1/
8 inch nominal thickness. Other metals may be used of a thickness in 
inverse proportion to their yield strengths.
    (2) Outside metal sheathing of less than \1/8\ inch thickness may be 
used only if it is reinforced so as to produce at least an equivalent 
sectional area at a right angle to reinforcements as that of the flat 
sheathing specified in paragraph (b)(1) of this section.
    (3) When the sheathing used for truss construction serves no load-
carrying function, the minimum thickness of that sheathing shall be not 
less than 40 percent of that specified in paragraph (b)(1) of this 
section.



Sec. 238.219  Truck-to-car-body attachment.

    Passenger equipment shall have a truck-to-car-body attachment with 
an ultimate strength sufficient to resist without failure the following 
individually applied loads: 2g vertically on the mass of the truck; and 
250,000 pounds in any horizontal direction on the truck, along with the 
resulting vertical reaction to this load. For purposes of this section, 
the mass of the truck includes axles, wheels, bearings, the truck-
mounted brake system, suspension system components, and any other 
component attached to the truck by design.

[67 FR 19991, Apr. 23, 2002]



Sec. 238.221  Glazing.

    (a) Passenger equipment shall comply with the applicable Safety 
Glazing Standards contained in part 223 of this chapter, if required by 
that part.
    (b) Each exterior window on a locomotive cab and a passenger car 
shall remain in place when subjected to:
    (1) The forces described in part 223 of this chapter; and
    (2) The forces due to air pressure differences caused when two 
trains pass

[[Page 565]]

at the minimum separation for two adjacent tracks, while traveling in 
opposite directions, each train traveling at the maximum authorized 
speed.



Sec. 238.223  Locomotive fuel tanks.

    Locomotive fuel tanks shall comply with either the following or an 
industry standard providing at least an equivalent level of safety if 
approved by FRA under Sec. 238.21:
    (a) External fuel tanks. External locomotive fuel tanks shall comply 
with the requirements contained in Appendix D to this part.
    (b) Internal fuel tanks.
    (1) Internal locomotive fuel tanks shall be positioned in a manner 
to reduce the likelihood of accidental penetration from roadway debris 
or collision.
    (2) Internal fuel tank vent systems shall be designed so they do not 
become a path of fuel loss in any tank orientation due to a locomotive 
overturning.
    (3) Internal fuel tank bulkheads and skin shall, at a minimum, be 
equivalent to a 5/16-inch thick steel plate with a yield strength of 
25,000 pounds per square inch. Material of a higher yield strength may 
be used to decrease the required thickness of the material provided at 
least an equivalent level of strength is maintained. Skid plates are not 
required.

[67 FR 19991, Apr. 23, 2002]



Sec. 238.225  Electrical system.

    All passenger equipment shall comply with the following:
    (a) Conductors. Conductor sizes shall be selected on the basis of 
current-carrying capacity, mechanical strength, temperature, flexibility 
requirements, and maximum allowable voltage drop. Current-carrying 
capacity shall be derated for grouping and for operating temperature.
    (b) Main battery system.
    (1) The main battery compartment shall be isolated from the cab and 
passenger seating areas by a non-combustible barrier.
    (2) Battery chargers shall be designed to protect against 
overcharging.
    (3) If batteries are of the type to potentially vent explosive 
gases, the battery compartment shall be adequately ventilated to prevent 
the accumulation of explosive concentrations of these gases.
    (c) Power dissipation resistors.
    (1) Power dissipating resistors shall be adequately ventilated to 
prevent overheating under worst-case operating conditions as determined 
by the railroad.
    (2) Power dissipation grids shall be designed and installed with 
sufficient isolation to prevent combustion.
    (3) Resistor elements shall be electrically insulated from resistor 
frames, and the frames shall be electrically insulated from the supports 
that hold them.
    (d) Electromagnetic interference and compatibility. (1) The 
operating railroad shall ensure electromagnetic compatibility of the 
safety-critical equipment systems with their environment. 
Electromagnetic compatibility may be achieved through equipment design 
or changes to the operating environment.
    (2) The electronic equipment shall not produce electrical noise that 
affects the safe performance of train line control and communications or 
wayside signaling systems.
    (3) To contain electromagnetic interference emissions, suppression 
of transients shall be at the source wherever possible.
    (4) All electronic equipment shall be self-protected from damage or 
improper operation, or both, due to high voltage transients and long-
term over-voltage or under-voltage conditions. This includes protection 
from both power frequency and harmonic effects as well as protection 
from radio frequency signals into the microwave frequency range.



Sec. 238.227  Suspension system.

    On or after November 8, 1999--
    (a) All passenger equipment shall exhibit freedom from hunting 
oscillations at all operating speeds. If hunting oscillations do occur, 
a railroad shall immediately take appropriate action to prevent 
derailment. For purposes of this paragraph, hunting oscillations shall 
be considered lateral oscillations of trucks that could lead to a 
dangerous instability.

[[Page 566]]

    (b) All passenger equipment intended for service above 110 mph shall 
demonstrate stable operation during pre-revenue service qualification 
tests at all operating speeds up to 5 mph in excess of the maximum 
intended operating speed under worst-case conditions--including 
component wear--as determined by the operating railroad.
    (c) Nothing in this section shall affect the requirements of part 
213 of this chapter as they apply to passenger equipment as provided in 
that part.



Sec. 238.229  Safety appliances.

    Except as provided in this part, all passenger equipment continues 
to be subject to the safety appliance requirements contained in Federal 
statute at 49 U.S.C. chapter 203 and in Federal regulations at part 231 
and Sec. 232.2 of this chapter.



Sec. 238.231  Brake system.

    Except as otherwise provided in this section, on or after September 
9, 1999 the following requirements apply to all passenger equipment and 
passenger trains.
    (a) A passenger train's primary brake system shall be capable of 
stopping the train with a service application from its maximum 
authorized operating speed within the signal spacing existing on the 
track over which the train is operating.
    (b) The brake system design of passenger equipment ordered on or 
after September 8, 2000 or placed in service for the first time on or 
after September 9, 2002, shall not require an inspector to place himself 
or herself on, under, or between components of the equipment to observe 
brake actuation or release.
    (c) Passenger equipment shall be provided with an emergency brake 
application feature that produces an irretrievable stop, using a brake 
rate consistent with prevailing adhesion, passenger safety, and brake 
system thermal capacity. An emergency brake application shall be 
available at any time, and shall be initiated by an unintentional 
parting of the train.
    (d) A passenger train brake system shall respond as intended to 
signals from a train brake control line or lines. Control lines shall be 
designed so that failure or breakage of a control line will cause the 
brakes to apply or will result in a default to control lines that meet 
this requirement.
    (e) Introduction of alcohol or other chemicals into the air brake 
system of passenger equipment is prohibited.
    (f) The operating railroad shall require that the design and 
operation of the brake system results in wheels that are free of 
condemnable cracks.
    (g) Disc brakes shall be designed and operated to produce a surface 
temperature no greater than the safe operating temperature recommended 
by the disc manufacturer and verified by testing or previous service.
    (h) Hand brakes and parking brakes. (1) Except for a locomotive that 
is ordered before September 8, 2000 or placed in service for the first 
time before Sepbember 9, 2002, and except for MU locomotives, all 
locomotives shall be equipped with a hand or parking brake that can:
    (i) Be applied or activated by hand;
    (ii) Be released by hand; and
    (iii) Hold the loaded unit on the maximum grade anticipated by the 
operating railroad.
    (2) Except for a private car and locomotives addressed in paragraph 
(h)(1) of this section, all other passenger equipment, including MU 
locomotives, shall be equipped with a hand brake that meets the 
requirements for hand brakes contained in part 231 of this chapter and 
that can:
    (i) Be applied or activated by hand;
    (ii) Be released by hand; and
    (iii) Hold the loaded unit on the maximum grade anticipated by the 
operating railroad.
    (3) The air brake shall not be depended upon to hold equipment 
standing unattended on a grade (including a locomotive, a car, or a 
train whether or not a locomotive is attached). When required, a 
sufficient number of hand brakes shall be applied to hold the train or 
equipment before the air brakes are released. Any hand brakes applied to 
hold equipment shall not be released until it is known that the air 
brake system is properly charged.
    (i) Passenger cars shall be equipped with a means to apply the 
emergency brake that is accessible to passengers and located in the 
vestibule or passenger compartment. The emergency

[[Page 567]]

brake shall be clearly identified and marked.
    (j) Locomotives ordered after September 8, 2000, or placed in 
service for the first time after September 9, 2002, that are equipped 
with blended brakes shall be designed so that:
    (1) The blending of friction and dynamic brake to obtain the correct 
retarding force is automatic;
    (2) Loss of power or failure of the dynamic brake does not result in 
exceeding the allowable stopping distance;
    (3) The friction brake alone is adequate to safely stop the train 
under all operating conditions; and
    (4) Operation of the friction brake alone does not result in thermal 
damage to wheels or disc rotor surface temperatures exceeding the 
manufacturer's recommendation.
    (k) For new designs of braking systems, the design process shall 
include computer modeling or dynamometer simulation of train braking 
that shows compliance with paragraphs (f) and (g) of this section over 
the range of equipment operating speeds. A new simulation is required 
prior to implementing a change in operating parameters.
    (l) Locomotives ordered on or after September 8, 2000 or placed in 
service for the first time on or after September 9, 2002, shall be 
equipped with effective air coolers or dryers that provide air to the 
main reservoir with a dew point at least 10 degrees F. below ambient 
temperature.
    (m) When a passenger train is operated in either direct or graduated 
release--
    (1) all the cars in the train consist shall be set up in the same 
operating mode or
    (2) up to two cars may be operated in direct release mode when the 
rest of the cars in the train are operated in graduated release mode, 
provided that the cars operated in direct release mode are hauled at the 
rear of the train consist.
    (n) Before adjusting piston travel or working on brake rigging, the 
cutout cock in the brake pipe branch must be closed and the air 
reservoirs must be voided of all compressed air. When cutout cocks are 
provided in brake cylinder pipes, these cutout cocks may be closed, and 
air reservoirs need not be voided of all compressed air.
    (o) All passenger trains to which this part applies shall comply 
with the requirements covering the use of two-way end-of-train devices 
contained in part 232 of this chapter.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]



Sec. 238.233  Interior fittings and surfaces.

    (a) Each seat in a passenger car shall--
    (1) Be securely fastened to the car body so as to withstand an 
individually applied acceleration of 4g acting in the lateral direction 
and 4g acting in the upward vertical direction on the deadweight of the 
seat or seats, if held in tandem; and
    (2) Have an attachment to the car body of an ultimate strength 
capable of resisting simultaneously:
    (i) The longitudinal inertial force of 8g acting on the mass of the 
seat; and
    (ii) The load associated with the impact into the seatback of an 
unrestrained 95th-percentile adult male initially seated behind the 
seat, when the floor to which the seat is attached decelerates with a 
triangular crash pulse having a peak of 8g and a duration of 250 
milliseconds.
    (b) Overhead storage racks in a passenger car shall provide 
longitudinal and lateral restraint for stowed articles. Overhead storage 
racks shall be attached to the car body with sufficient strength to 
resist loads due to the following individually applied accelerations 
acting on the mass of the luggage stowed as determined by the railroad:
    (1) Longitudinal: 8g;
    (2) Vertical: 4g; and
    (3) Lateral: 4g.
    (c) Other interior fittings within a passenger car shall be attached 
to the car body with sufficient strength to withstand the following 
individually applied accelerations acting on the mass of the fitting:
    (1) Longitudinal: 8g;
    (2) Vertical: 4g; and
    (3) Lateral: 4g.
    (d) To the extent possible, all interior fittings in a passenger 
car, except seats, shall be recessed or flush-mounted.

[[Page 568]]

    (e) Sharp edges and corners in a locomotive cab and a passenger car 
shall be either avoided or padded to mitigate the consequences of an 
impact with such surfaces.
    (f) Each seat provided for a crewmember regularly assigned to occupy 
the cab of a locomotive and each floor-mounted seat in the cab shall be 
secured to the car body with an attachment having an ultimate strength 
capable of withstanding the loads due to the following individually 
applied accelerations acting on the combined mass of the seat and a 
95th-percentile adult male occupying it:
    (1) Longitudinal: 8g;
    (2) Lateral: 4g; and
    (3) Vertical: 4g.
    (g) If, for purposes of showing compliance with the requirements of 
this section, the strength of a seat attachment is to be demonstrated 
through sled testing, the seat structure and seat attachment to the sled 
that is used in such testing must be representative of the actual seat 
structure in, and seat attachment to, the rail vehicle subject to the 
requirements of this section. If the attachment strength of any other 
interior fitting is to be demonstrated through sled testing, for 
purposes of showing compliance with the requirements of this section, 
such testing shall be conducted in a similar manner.



Sec. 238.235  Doors.

    (a) By December 31, 1999, each powered, exterior side door in a 
vestibule that is partitioned from the passenger compartment of a 
passenger car shall have a manual override device that is:
    (1) Capable of releasing the door to permit it to be opened without 
power from inside the car;
    (2) Located adjacent to the door which it controls; and
    (3) Designed and maintained so that a person may readily access and 
operate the override device from inside the car without requiring the 
use of a tool or other implement. If the door is dual-leafed, only one 
of the door leafs is required to respond to the manual override device.
    (b) Each passenger car ordered on or after September 8, 2000, or 
placed in service for the first time on or after September 9, 2002 shall 
have a minimum of two exterior side doors, each door providing a minimum 
clear opening with dimensions of 30 inches horizontally by 74 inches 
vertically.

    Note: The Americans with Disabilities Act (ADA) Accessibility 
Specifications for Transportation Vehicles also contain requirements for 
doorway clearance (See 49 CFR part 38).


Each powered, exterior side door on each such passenger car shall have a 
manual override device that is:
    (1) Capable of releasing the door to permit it to be opened without 
power from both inside and outside the car;
    (2) Located adjacent to the door which it controls; and
    (3) Designed and maintained so that a person may access the override 
device from both inside and outside the car without requiring the use of 
a tool or other implement.
    (c) A railroad may protect a manual override device used to open a 
powered, exterior door with a cover or a screen capable of removal 
without requiring the use of a tool or other implement.
    (d) Door exits shall be marked, and instructions provided for their 
use, as required by Sec. 239.107(a) of this chapter.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]



Sec. 238.237  Automated monitoring.

    (a) Except as further specified in this paragraph, on or after 
November 8, 1999 a working alerter or deadman control shall be provided 
in the controlling locomotive of each passenger train operating in other 
than cab signal, automatic train control, or automatic train stop 
territory. If the controlling locomotive is ordered on or after 
September 8, 2000, or placed into service for the first time on or after 
September 9, 2002, a working alerter shall be provided.
    (b) Alerter or deadman control timing shall be set by the operating 
railroad taking into consideration maximum train speed and capabilities 
of the signal system. The railroad shall document the basis for setting 
alerter or deadman control timing and make this documentation available 
to FRA upon request.
    (c) If the train operator does not respond to the alerter or 
maintain proper

[[Page 569]]

contact with the deadman control, it shall initiate a penalty brake 
application.
    (d) The following procedures apply if the alerter or deadman control 
fails en route and causes the locomotive to be in non-compliance with 
paragraph (a):
    (1)(i) A second person qualified on the signal system and trained to 
apply the emergency brake shall be stationed in the locomotive cab; or
    (ii) The engineer shall be in constant communication with a second 
crewmember until the train reaches the next terminal.
    (2)(i) A tag shall be prominently displayed in the locomotive cab to 
indicate that the alerter or deadman control is defective, until such 
device is repaired; and
    (ii) When the train reaches its next terminal or the locomotive 
undergoes its next calender day inspection, whichever occurs first, the 
alerter or deadman control shall be repaired or the locomotive shall be 
removed as the controlling locomotive in the train.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]



Subpart D--Inspection, Testing, and Maintenance Requirements for Tier I 
                           Passenger Equipment



Sec. 238.301  Scope.

    (a) This subpart contains requirements pertaining to the inspection, 
testing, and maintenance of passenger equipment operating at speeds not 
exceeding 125 miles per hour. The requirements in this subpart address 
the inspection, testing, and maintenance of the brake system as well as 
other mechanical and electrical components covered by this part.
    (b) Beginning on January 1, 2002, the requirements contained in this 
subpart shall apply to railroads operating Tier I passenger equipment 
covered by this part. A railroad may request earlier application of the 
requirements contained in this subpart upon written notification to 
FRA's Associate Administrator for Safety as provided in Sec. 238.1(c).
    (c) Paragraphs (b) and (c) of Sec. 238.309 shall apply beginning 
September 9, 1999.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]



Sec. 238.303   Exterior calendar day mechanical inspection of passenger equipment.

    (a) General.
    (1) Except as provided in paragraph (f) of this section, each 
passenger car and each unpowered vehicle used in a passenger train shall 
receive an exterior mechanical inspection at least once each calendar 
day that the equipment is placed in service.
    (2) Except as provided in paragraph (f) of this section, all 
passenger equipment shall be inspected as required in this section at 
least once each calendar day that the equipment is placed in service to 
ensure that the equipment conforms with the requirement contained in 
paragraph (e)(15) of this section.
    (3) If a passenger care is also classified as a locomotive under 
part 229 of this chapter, the passenger car shall also receive a daily 
inspection pursuant to the requirements of Sec. 229.21 of this chapter.
    (b) Each passenger car and each unpowered vehicle added to a 
passenger train shall receive an exterior calendar day mechanical 
inspection in accordance with the following:
    (1) Except as provided in paragraph (b)(2) of this section, each 
passenger car and each unpowered vehicle added to a passenger train 
shall receive an exterior calendar day mechanical inspection at the time 
it is added to the train unless notice is provided to the train crew 
that an exterior mechanical inspection was performed on the car or 
vehicle on the last day it was used in passenger service. The notice 
required by this section shall contain the date, time, and location of 
the last exterior mechanical inspection;
    (2) Each express car, freight car, and each unit of intermodal 
equipment (e.g., RoadRailers[reg]) added to a passenger train shall 
receive an exterior calendar day mechanical inspection at the time it is 
added to the train, unless notice is provided to the train crew that an 
exterior mechanical inspection

[[Page 570]]

was performed on the car within the previous calendar day. The notice 
required by this section shall contain the date, time, and location of 
the last exterior mechanical inspection.
    (c) The exterior calendar day mechanical inspection shall be 
performed by a qualified maintenance person.
    (d) The exterior calendar day mechanical inspection required by this 
section shall be conducted to the extent possible without uncoupling the 
trainset and without placing the equipment over a pit or on an elevated 
track.
    (e) As part of the exterior calendar day mechanical inspection, the 
railroad shall verify conformity with the following conditions, and 
nonconformity with any such condition renders the passenger car or 
unpowered vehicle used in a passenger train defective whenever 
discovered in service:
    (1) Products of combustion are released entirely outside the cab and 
other compartments.
    (2) Each battery container is vented and each battery is kept from 
gassing excessively.
    (3) Each coupler is in the following condition:
    (i) Sidewall or pin bearing bosses and the pulling face of the 
knuckles are not broken or cracked;
    (ii) The coupler assembly is equipped with anti-creep protection;
    (iii) The coupler carrier is not broken or cracked; and
    (iv) The yoke is not broken or cracked.
    (4) A device is provided under the lower end of all drawbar pins and 
articulated connection pins to prevent the pin from falling out of place 
in case of breakage.
    (5) The suspension system, including the spring rigging, is in the 
following condition:
    (i) Protective construction or safety hangers are provided to 
prevent spring planks, spring seats, or bolsters from dropping to the 
track structure in event of a hanger or spring failure;
    (ii) The top (long) leaf or any of the other three leaves of the 
elliptical spring is not broken, except when a spring is part of a nest 
of three or more springs and none of the other springs in the nest has 
its top leaf or any of the other three leaves broken;
    (iii) The outer coil spring or saddle is not broken;
    (iv) The equalizers, hangers, bolts, gibs, or pins are not cracked 
or broken;
    (v) The coil spring is not fully compressed when the car is at rest;
    (vi) The shock absorber is not broken or leaking oil or other fluid; 
and
    (vii) Each air bag or other pneumatic suspension system component 
inflates or deflates, as applicable, correctly and otherwise operates as 
intended.
    (6) Each truck is in the following condition:
    (i) Each tie bar is not loose;
    (ii) Each motor suspension lug, equalizer, hanger, gib, or pin is 
not cracked or broken; and
    (iii) The truck frame is not broken and is not cracked in a stress 
area that may affect its structural integrity.
    (7) Each side bearing is in the following condition:
    (i) Each friction side bearing with springs designed to carry weight 
does not have more than 25 percent of the springs in any one nest 
broken;
    (ii) Each friction side bearing does not run in contact unless 
designed to operate in that manner; and
    (iii) The maximum clearance of each side bearing does not exceed the 
manufacturer's recommendation.
    (8) Each wheel does not have any of the following conditions:
    (i) A single flat spot that is 2\1/2\ inches or more in length, or 
two adjoining spots that are each two or more inches in length;
    (ii) A gouge or chip in the flange that is more than 1\1/2\ inches 
in length and \1/2\ inch in width;
    (iii) A broken rim, if the tread, measured from the flange at a 
point \5/8\ of an inch above the tread, is less than 3\3/4\ inches in 
width;
    (iv) A shelled-out spot 2\1/2\ inches or more in length, or two 
adjoining spots that are each two or more inches in length;
    (v) A seam running lengthwise that is within 3\3/4\ inches of the 
flange;
    (vi) A flange worn to a \7/8\ inch thickness or less, gauged at a 
point \3/8\ of an inch above the tread;
    (vii) A tread worn hollow \5/16\ of an inch or more;

[[Page 571]]

    (viii) A flange height of 1\1/2\ inches or more measured from the 
tread to the top of the flange;
    (ix) A rim less than 1 inch thick;
    (x) Except as provided in paragraph (e)(8)(iii) of this section, a 
crack or break in the flange, tread, rim, plate, or hub;
    (xi) A loose wheel; or
    (xii) A weld.
    (9) No part or appliance of a passenger coach, except the wheels, is 
less than 2\1/2\ inches above the top of the rail.
    (10) Each unguarded, noncurrent-carrying metal part subject to 
becoming charged is grounded or thoroughly insulated.
    (11) Each jumper and cable connection is in the following condition:
    (i) Each jumpers and cable connection between coaches, between 
locomotives, or between a locomotive and a coach is located and guarded 
in a manner that provides sufficient vertical clearance. Jumpers and 
cable connections may not hang with one end free;
    (ii) The insulation is not broken or badly chafed;
    (iii) No plug, receptacle, or terminal is broken; and
    (iv) No strand of wire is broken or protruding.
    (12) Each door and cover plate guarding high voltage equipment is 
marked ``Danger--High Voltage'' or with the word ``Danger'' and the 
normal voltage carried by the parts so protected.
    (13) Each buffer plate is in place.
    (14) Each diaphragm, if any, is in place and properly aligned.
    (15) Each secondary braking system is in operating mode and does not 
have any known defective condition which prevents its proper operation. 
If the dynamic brakes on a locomotive are found not to be in operating 
mode or are known to have a defective condition which prevents their 
proper operation at the time that the exterior mechanical inspection is 
performed or at any other time while the locomotive is in service, the 
following requirements shall be met in order to continue the locomotive 
in service:
    (i) MU locomotives equipped with dynamic brakes found not to be in 
operating mode or containing a defective condition which prevents the 
proper operation of the dynamic brakes shall be handled in accordance 
with the following requirements:
    (A) A tag bearing the words ``inoperative dynamic brakes'' shall be 
securely displayed in a conspicuous location in the cab of the 
locomotive and contain the locomotive number, the date and location 
where the condition was discovered, and the signature of the individual 
who discovered the condition;
    (B) The locomotive engineer shall be informed in writing that the 
dynamic brakes on the locomotive are inoperative at the location where 
the locomotive engineer first takes charge of the train; and
    (C) The inoperative or defective dynamic brakes shall be repaired or 
removed from service by or at the locomotive's next exterior calendar 
day mechanical inspection.
    (ii) Conventional locomotives equipped with dynamic brakes found not 
to be in operating mode or containing a defective condition which 
prevents the proper operation of the dynamic brakes shall be handled in 
accordance with the following:
    (A) A tag bearing the words ``inoperative dynamic brakes'' shall be 
securely displayed in a conspicuous location in the cab of the 
locomotive and contain the locomotive number, the date and location 
where the condition was discovered, and the signature of the person 
discovering the condition;
    (B) The locomotive engineer shall be informed in writing that the 
dynamic brakes on the locomotive are inoperative at the location where 
the locomotive engineer first takes charge of the train; and
    (C) The inoperative or defective dynamic brakes shall be repaired 
within 3 calendar days of being found in defective condition or at the 
locomotive's next periodic inspection pursuant to Sec. 229.23 of this 
chapter, whichever occurs first.
    (16) All roller bearings do not have any of the following 
conditions:
    (i) A sign of having been overheated as evidenced by discoloration 
or other telltale sign of overheating, such as damage to the seal or 
distortion of any bearing component;
    (ii) A loose or missing cap screw;

[[Page 572]]

    (iii) A broken, missing, or improperly applied cap screw lock; or
    (iv) A seal that is loose or damaged or permits leakage of lubricant 
in clearly formed droplets.
    (f) Exception. A long-distance intercity passenger train that misses 
a scheduled exterior calendar day mechanical inspection due to a delay 
en route may continue in service to the location where the inspection 
was scheduled to be performed. At that point, an exterior calendar day 
mechanical inspection shall be performed prior to returning the 
equipment to service. This flexibility applies only to the exterior 
mechanical safety inspections required by this section, and does not 
relieve the railroad of the responsibility to perform a calendar day 
inspection on a unit classified as a ``locomotive'' under part 229 of 
this chapter as required by Sec. 229.21 of this chapter.
    (g) Records. A record shall be maintained of each exterior calendar 
day mechanical inspection performed.
    (1) This record may be maintained in writing or electronically 
provided FRA has access to the record upon request.
    (2) The written or electronic record must contain the following 
information:
    (i) The identification number of the unit;
    (ii) The place, date, and time of the inspection;
    (iii) Any non-complying conditions found; and
    (iv) The signature or electronic identification of the inspector.
    (3) This record may be part of a single master report covering an 
entire group of cars and equipment.
    (4) This record shall be maintained at the place where the 
inspection is conducted or at one central location and shall be retained 
for at least 92 days.
    (h) Cars requiring a single car test in accordance with Sec. 238.311 
that are being moved in service to a location where the single car test 
can be performed shall have the single car test completed prior to, or 
as a part of, the exterior calendar day mechanical inspection.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]



Sec. 238.305  Interior calendar day mechanical inspection of passenger cars.

    (a) Except as provided in paragraph (d) of this section, each 
passenger car shall receive an interior mechanical inspection at least 
once each calendar day that it is placed in service.
    (b) The interior calendar day mechanical inspection shall be 
performed by a qualified person or a qualified maintenance person.
    (c) As part of the interior calendar day mechanical inspection, the 
railroad shall verify conformity with the following conditions, and 
nonconformity with any such condition renders the car defective whenever 
discovered in service, except as provided in paragraphs (c)(5) through 
(c)(10), and paragraph (d) of this section:
    (1) All fan openings, exposed gears and pinions, exposed moving 
parts of mechanisms, pipes carrying hot gases and high-voltage 
equipment, switches, circuit breakers, contactors, relays, grid 
resistors, and fuses are installed in non-hazardous locations or 
equipped with guards to prevent personal injury.
    (2) Floors of passageways and compartments are free from oil, water, 
waste, or any obstruction that creates a slipping, tripping, or fire 
hazard, and floors are properly treated to provide secure footing.
    (3) All D rings, pull handles, or other means to access manual door 
releases are in place based on a visual inspection.
    (4) All emergency equipment, including a fire extinguisher, pry bar, 
auxiliary portable lighting, and first aid kits, as applicable, are in 
place.
    (5) The words ``Emergency Brake Valve'' are legibly stenciled or 
marked near each brake pipe valve or shown on an adjacent badge plate.
    (6) All doors and cover plates guarding high voltage equipment are 
marked ``Danger--High Voltage'' or with the word ``Danger'' and the 
normal voltage carried by the parts so protected.
    (7) All safety-related signage is in place and legible.
    (8) All trap doors safely operate and securely latch in place in 
both the up and down position. A non-complying car may continue in 
passenger service

[[Page 573]]

pursuant to paragraph (d) of this section, if the trap door can be 
secured by locking out the door for which it is used.
    (9) All vestibule steps are illuminated. A non-complying car may 
continue in passenger service pursuant to paragraph (d) of this section, 
if the car will be used solely in high-platform service.
    (10) All end doors and side doors operate safely and as intended. A 
non-complying car may continue in passenger service pursuant to 
paragraph (d) of this section, if at least one operative and accessible 
door is available on each side of the car; and a notice is prominently 
displayed directly on the defective door indicating that the door is 
defective.
    (d) Any passenger car found not to be in compliance with the 
requirements contained in paragraphs (c)(5) through (c)(10) of this 
section at the time of its interior calendar day mechanical inspection 
may remain in passenger service until the car's next interior calendar 
day mechanical inspection where it must be repaired or removed from 
passenger service; provided, all of the specific conditions contained in 
paragraphs (c)(8) through (c)(10) of this section are met and all of the 
following requirements are met:
    (1) A qualified person or a qualified maintenance person determines 
that the repairs necessary to bring the car into compliance cannot be 
performed at the time that the current day's interior mechanical 
inspection is conducted;
    (2) A qualified person or a qualified maintenance person determines 
that it is safe to move the equipment in passenger service; and
    (3) A record is maintained of the non-complying condition with the 
date and time that the condition was first discovered.
    (e) A long-distance intercity passenger train that misses a 
scheduled calendar day interior mechanical inspection due to a delay en 
route may continue in service to the location where the inspection was 
scheduled to be performed. At that point, an interior calendar day 
mechanical inspection shall be performed prior to returning the 
equipment to service.
    (f) Records. A record shall be maintained of each interior calendar 
day mechanical inspection performed.
    (1) This record may be maintained in writing or electronically 
provided FRA has access to the record upon request.
    (2) The written or electronic record must contain the following 
information:
    (i) The identification number of the unit;
    (ii) The place, date, and time of the inspection;
    (iii) Any non-complying conditions found; and
    (iv) The signature or electronic identification of the inspector.
    (3) This record may be part of a single master report covering an 
entire group of cars and equipment.
    (4) This record shall be maintained at the place where the 
inspection is conducted or at one central location and shall be retained 
for at least 92 days.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41308, July 3, 2000]



Sec. 238.307  Periodic mechanical inspection of passenger cars and unpowered vehicles used in passenger trains.

    (a) General.
    (1) Railroads shall conduct periodic mechanical inspections of all 
passenger cars and all unpowered vehicles used in a passenger train as 
required by this section or as warranted and justified by data developed 
pursuant to paragraph (a)(2) of this section. A periodic inspection 
conducted under part 229 of this chapter satisfies the requirement of 
this section with respect to the features inspected.
    (2) A railroad may, upon written notification to FRA's Associate 
Administrator for Safety, adopt and comply with alternative periodic 
mechanical inspection intervals for specific components or equipment in 
lieu of the requirements of this section. Any alternative interval must 
be based upon a documented reliability assessment conducted under a 
system safety plan subject to periodic peer audit. (See Appendix E to 
this part for a discussion of the general principles of reliability-
based maintenance programs.) The periodic inspection intervals provided 
in this section may be changed only

[[Page 574]]

when justified by accumulated, verifiable data that provides a high 
level of confidence that the component(s) will not fail in a manner 
resulting in harm to persons. FRA may monitor and review a railroad's 
implementation and compliance with any alternative interval adopted. 
FRA's Associate Administrator for Safety may prohibit or revoke a 
railroad's ability to utilize an alternative inspection interval if FRA 
determines that the adopted interval is not supported by credible data 
or does not provide adequate safety assurances. Such a determination 
will be made in writing and will state the basis for such action.
    (b) Each periodic mechanical inspection required by this section 
shall be performed by a qualified maintenance person.
    (c) The periodic mechanical inspection shall specifically include 
the following interior and exterior mechanical components, which shall 
be inspected not less frequently than every 184 days. At a minimum, this 
inspection shall determine that:
    (1) Seats and seat attachments are not broken or loose. If a car is 
found with a seat that is not in compliance with this requirement while 
being used between periodic mechanical inspections, the equipment may 
continue to be used in passenger service until the performance of an 
interior calendar day mechanical inspection pursuant to Sec. 238.305 on 
the day following the discovery of the defective condition provided the 
seat is rendered unuseable, a notice is prominently displayed on the 
seat, and a record is maintained with the date and time that the non-
complying condition was discovered.
    (2) Luggage racks are not broken or loose.
    (3) All beds and bunks are not broken or loose, and all restraints 
or safety latches and straps are in place and function as intended.
    (4) A representative sample of emergency window exits on the 
railroad's passenger cars properly operate, in accordance with the 
requirements of Sec. 239.107 of this chapter.
    (5) Emergency lighting systems are operational.
    (6) With regard to switches:
    (i) All hand-operated switches carrying currents with a potential of 
more than 150 volts that may be operated while under load are covered 
and are operative from the outside of the cover;
    (ii) A means is provided to display whether the switches are open or 
closed; and
    (iii) Switches not designed to be operated safely while under load 
are legibly marked with the voltage carried and the words ``must not be 
operated under load''.
    (7) Each coupler is in the following condition:
    (i) The distance between the guard arm and the knuckle nose is not 
more than 5\1/8\ inches on standard type couplers (MCB contour 1904), or 
not more than 5\5/16\ inches on D&E couplers;
    (ii) The free slack in the coupler or drawbar not absorbed by 
friction devices or draft gears is not more than \1/2\ inch; and
    (iii) The draft gear is not broken, to the extent possible without 
dropping cover plates.
    (8) All trucks are equipped with a device or securing arrangement to 
prevent the truck and car body from separating in case of derailment.
    (9) All center castings on trucks are not cracked or broken, to the 
extent possible without jacking the car and rolling out the trucks. 
However, an extensive inspection of all center castings shall be 
conducted by jacking the equipment and rolling out the trucks at each 
COT&S cycle provided in Sec. 238.309 for the equipment.
    (10) All mechanical systems and components of the equipment are free 
of all the following general conditions that endanger the safety of the 
crew, passengers, or equipment:
    (i) A continuous accumulation of oil or grease;
    (ii) Improper functioning of a component;
    (iii) A crack, break, excessive wear, structural defect, or weakness 
of a component;
    (iv) A leak;
    (v) Use of a component or system under a condition that exceeds that 
for which the component or system is designed to operate; and
    (vi) Insecure attachment of a component.

[[Page 575]]

    (11) All of the items identified in the exterior calendar day 
mechanical inspection contained at Sec. 238.303 are in conformity with 
the conditions prescribed in that section.
    (12) All of the items identified in the interior calendar day 
mechanical inspection contained at Sec. 238.305 are in conformity with 
the conditions prescribed in that section.
    (d) The periodic mechanical inspection shall specifically include 
the manual door releases, which shall be inspected not less frequently 
than every 368 days. At a minimum, this inspection shall determine that 
all manual door releases operate as intended.
    (e) Records. (1) A record shall be maintained of each periodic 
mechanical inspection required to be performed by this section. This 
record may be maintained in writing or electronically, provided FRA has 
access to the record upon request. The record shall be maintained either 
in the railroad's files, the cab of the locomotive, or a designated 
location in the passenger car. The record shall be retained until the 
next periodic mechanical inspection of the same type is performed and 
shall contain the following information:
    (i) The date of the inspection;
    (ii) The location where the inspection was performed;
    (iii) The signature or electronic identification of the inspector; 
and
    (iv) The signature or electronic identification of the inspector's 
supervisor.
    (2) Detailed documentation of any reliability assessments depended 
upon for implementing an alternative inspection interval under paragraph 
(a)(2) of this section, including underlying data, shall be retained 
during the period that the alternative inspection interval is in effect. 
Data documenting inspections, tests, component replacement and renewals, 
and failures shall be retained for not less than three (3) inspection 
intervals.
    (f) Nonconformity with any of the conditions set forth in this 
section renders the car or vehicle defective whenever discovered in 
service.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41308, July 3, 2000]



Sec. 238.309  Periodic brake equipment maintenance.

    (a) General. (1) This section contains the minimum intervals at 
which the brake equipment on various types of passenger equipment shall 
be periodically cleaned, repaired, and tested. This maintenance 
procedure requires that all of the equipment's brake system pneumatic 
components that contain moving parts and are sealed against air leaks be 
removed from the equipment, disassembled, cleaned, and lubricated and 
that the parts that can deteriorate with age be replaced.
    (2) A railroad may petition FRA's Associate Administrator for Safety 
to approve alternative maintenance procedures providing equivalent 
safety, in lieu of the requirements of this section. The petition shall 
be filed as provided in Sec. 238.21.
    (b) MU locomotives. The brake equipment of each MU locomotive shall 
be cleaned, repaired, and tested at intervals in accordance with the 
following schedule:
    (1) Every 736 days if the MU locomotive is part of a fleet that is 
not 100 percent equipped with air dryers;
    (2) Every 1,104 days if the MU locomotive is part of a fleet that is 
100 percent equipped with air dryers and is equipped with PS-68, 26-C, 
26-L, PS-90, CS-1, RT-2, RT-5A, GRB-1, CS-2, or 26-R brake systems. 
(This listing of brake system types is intended to subsume all brake 
systems using 26 type, ABD, or ABDW control valves and PS68, PS-90, 26B-
1, 26C, 26CE, 26-B1, 30CDW, or 30ECDW engineer's brake valves.); and
    (3) Every 736 days for all other MU locomotives.
    (c) Conventional locomotives. The brake equipment of each 
conventional locomotive shall be cleaned, repaired, and tested at 
intervals in accordance with the following schedule:
    (1) Every 1,104 days for a locomotive equipped with a 26-L or 
equivalent brake system; and
    (2) Every 736 days for a locomotive equipped with other than a 26-L 
or equivalent brake system.
    (d) Passenger coaches and other unpowered vehicles. The brake 
equipment on each passenger coach and each unpowered vehicle used in a 
passenger train shall be cleaned, repaired, and

[[Page 576]]

tested at intervals in accordance with following schedule:
    (1) Every 2,208 days for a coach or vehicle equipped with an AB-type 
brake system.
    (2) Every 1,476 days for a coach or vehicle equipped with a 26-C or 
equivalent brake system; and
    (3) Every 1,104 days for a coach or vehicle equipped with other than 
an AB, ABD, ABDX, 26-C, or equivalent brake system.
    (e) Cab cars. The brake equipment of each cab car shall be cleaned, 
repaired, and tested at intervals in accordance with the following 
schedule:
    (1) Every 1,476 days for that portion of the cab car brake system 
using brake valves that are identical to the passenger coach 26-C brake 
system;
    (2) Every 1,104 days for that portion of the cab car brake system 
using brake valves that are identical to the locomotive 26-L brake 
system; and
    (3) Every 736 days for all other types of cab car brake valves.
    (f) Records of periodic maintenance.
    (1) The date and place of the cleaning, repairing, and testing 
required by this section shall be recorded on Form FRA 6180-49A or a 
similar form developed by the railroad containing the same information, 
and the person performing the work and that person's supervisor shall 
sign the form, if possible. Alternatively, the railroad may stencil the 
vehicle with the date and place of the cleaning, repairing, and testing 
and maintain an electronic record of the person performing the work and 
that person's supervisor.
    (2) A record of the parts of the air brake system that are cleaned, 
repaired, and tested shall be kept in the railroad's files, the cab of 
the locomotive, or a designated location in the passenger car until the 
next such periodic test is performed.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000]



Sec. 238.311  Single car test.

    (a) Except for self-propelled passenger cars, single car tests of 
all passenger cars and all unpowered vehicles used in passenger trains 
shall be performed in accordance with either APTA Standard SS-M-005-98, 
``Code of Tests for Passenger Car Equipment Using Single Car Testing 
Device,'' published March, 1998; or an alternative procedure approved by 
FRA pursuant to Sec. 238.21. The incorporation by reference of this APTA 
standard was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy 
of the incorporated document from the American Public Transit 
Association, 1201 New York Avenue, NW., Washington, DC 20005. You may 
inspect a copy of the document at the Federal Railroad Administration, 
Docket Clerk, 1120 Vermont Avenue, NW., Suite 7000, Washington, DC or at 
the Office of the Federal Register, 800 North Capitol Street, NW., Suite 
700, Washington, DC.
    (b) Each single car test required by this section shall be performed 
by a qualified maintenance person.
    (c) A railroad shall perform a single car test of the brake system 
of a car or vehicle described in paragraph (a) of this section if the 
car or vehicle is found with one or more of the following wheel defects:
    (1) Built-up tread;
    (2) Slid flat wheel;
    (3) Thermal crack;
    (4) Overheated wheel; or
    (5) Shelling.
    (d) A railroad need not perform the single car test required in 
paragraph (c) of this section, if the railroad can establish that the 
wheel defect is other than built-up tread and is due to a cause other 
than a defective brake system on the car.
    (e) Except as provided in paragraph (f) of this section, a railroad 
shall perform a single car test of the brake system of a car or vehicle 
described in paragraph (a) of this section when:
    (1) Except for private cars, a car or vehicle is placed in service 
after having been out of service for 30 days or more; or
    (2) One or more of the following conventional air brake equipment 
items is removed, repaired, or replaced:
    (i) Relay valve;
    (ii) Service portion;
    (iii) Emergency portion; or
    (iv) Pipe bracket.
    (f) Exception. If the single car test cannot be made at the point 
where repairs are made, the car may be moved

[[Page 577]]

in passenger service to the next forward location where the test can be 
made. A railroad may move a car in this fashion only after visually 
verifying an application and release of the brakes on both sides of the 
car that was repaired, and provided that the car is appropriately tagged 
to indicate the need to perform a single car test. The single car test 
shall be completed prior to, or as a part of, the car's next calendar 
day mechanical inspection.
    (g) If one or more of the following conventional air brake equipment 
items is removed, repaired, or replaced only that portion which is 
renewed or replaced must be tested to satisfy the provisions of this 
section:
    (1) Brake reservoir;
    (2) Brake cylinder;
    (3) Piston assembly;
    (4) Vent valve;
    (5) Quick service valve;
    (6) Brake cylinder release valve;
    (7) Modulating valve or slack adjuster; or
    (8) Angle cock or cutout cock.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000]



Sec. 238.313  Class I brake test.

    (a) Each commuter and short-distance intercity passenger train shall 
receive a Class I brake test once each calendar day that the train is 
placed or continues in passenger service.
    (b) Except as provided in paragraph (i) of this section, each long-
distance intercity passenger train shall receive a Class I brake test:
    (1) Prior to the train's departure from an originating terminal; and
    (2) Every 1,500 miles or once each additional calendar day, 
whichever occurs first, that the train remains in continuous passenger 
service.
    (c) Each passenger car and each unpowered vehicle added to a 
passenger train shall receive a Class I or Class IA brake test at the 
time it is added to the train unless notice is provided to the train 
crew that a Class I brake test was performed on the car within the 
previous calendar day and the car has not been disconnected from a 
source of compressed air for more than four hours prior to being added 
to the train. The notice required by this section shall contain the 
date, time, and location of the last Class I brake test.
    (d) Each Class I brake test shall be performed by a qualified 
maintenance person.
    (e) Each Class I brake test may be performed either separately or in 
conjunction with the exterior calendar day mechanical inspection 
required under Sec. 238.303.
    (f) Except as provided in Sec. 238.15(b), a railroad shall not use 
or haul a passenger train in passenger service from a location where a 
Class I brake test has been performed, or was required by this part to 
have been performed, with less than 100 percent operative brakes.
    (g) A Class I brake test shall be performed at the air pressure at 
which the train's air brakes will be operated, but not less than 90 psi, 
and shall be made to determine and ensure that:
    (1) The friction brakes apply and remain applied on each car in the 
train until a release of the brakes has been initiated on each car in 
response to train line electric, pneumatic, or other signals. This test 
shall include a verification that each side of each car's brake system 
responds properly to application and release signals;
    (2) The brake shoes or pads are firmly seated against the wheel or 
disc with the brakes applied;
    (3) Piston travel is within prescribed limits, either by direct 
observation, observation of an actuator, or in the case of tread brakes 
by determining that the brake shoe provides pressure to the wheel. For 
vehicles equipped with 8\1/2\-inch or 10-inch diameter brake cylinders, 
piston travel shall be within 7 to 9 inches. If piston travel is found 
to be less than 7 inches or more than 9 inches, it must be adjusted to 
nominally 7\1/2\ inches. Proper release of the brakes can be determined 
by observation of the clearance between the brake shoe and the wheel or 
between the brake pad and the brake disc.
    (4) The communicating signal system is tested and known to be 
operating as intended; a tested and operating two-way radio system meets 
this requirement;
    (5) Each brake shoe or pad is securely fastened and correctly 
aligned in relation to the wheel or to the disc;

[[Page 578]]

    (6) The engineer's brake valve or controller will cause the proper 
train line commands for each position or brake level setting;
    (7) Brake pipe leakage does not exceed 5 pounds per square inch per 
minute if leakage will affect service performance;
    (8) The emergency brake application and deadman pedal or other 
emergency control devices function as intended;
    (9) Each brake shoe or pad is not below the minimum thickness 
established by the railroad. This thickness shall not be less than the 
minimum thickness necessary to safely travel the maximum distance 
allowed between Class I brake tests;
    (10) Each angle cock and cutout cock is properly positioned;
    (11) The brake rigging or the system mounted on the car for the 
transmission of the braking force operates as intended and does not bind 
or foul so as to impede the force delivered to a brake shoe, impede the 
release of a brake shoe, or otherwise adversely affect the operation of 
the brake system;
    (12) If the train is equipped with electropneumatic brakes, an 
electropneumatic application of the brakes is made and the train is 
walked to determine that the brakes on each car in the train properly 
apply;
    (13) Each brake disc is free of any crack in accordance with the 
manufacturer's specifications or, if no specifications exist, free of 
any crack to the extent that the design permits;
    (14) If the equipment is provided with a brake indicator, the brake 
indicator operates as intended; and
    (15) The communication of brake pipe pressure changes at the rear of 
the train is verified, which may be accomplished by observation of an 
application and release of the brakes on the last car in the train.
    (h) Records. A record shall be maintained of each Class I brake test 
performed.
    (1) This record may be maintained in writing or electronically, 
provided FRA has access to the record upon request.
    (2) The written or electronic record must contain the following 
information:
    (i) The date and time that the Class I brake test was performed;
    (ii) The location where the test was performed;
    (iii) The identification number of the controlling locomotive of the 
train;
    (iv) The total number of cars inspected during the test; and
    (v) The signature or electronic identification of the inspector.
    (3) This record shall be maintained at the place where the 
inspection is conducted or at one central location and shall be retained 
for at least 92 days.
    (i) A long-distance, intercity passenger train that misses a 
scheduled calendar day Class I brake test due to a delay en route may 
proceed to the point where the Class I brake test was scheduled to be 
performed. A Class I brake test shall be completed at that point prior 
to placing the train back in service.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000]



Sec. 238.315  Class IA brake test.

    (a) Except as provided in paragraph (b) of this section, either a 
Class I or a Class IA brake test shall be performed:
    (1) Prior to the first morning departure of each commuter or short-
distance intercity passenger train, unless all of the following 
conditions are satisfied:
    (i) A Class I brake test was performed within the previous twelve 
(12) hours;
    (ii) The train has not been used in passenger service since the 
performance of the Class I brake test; and
    (iii) The train has not been disconnected from a source of 
compressed air for more than four hours since the performance of the 
Class I brake test; and
    (2) Prior to placing a train in service that has been off a source 
of compressed air for more than four hours.
    (b) A commuter or short-distance intercity passenger train that 
provides continuing late night service that began prior to midnight may 
complete its daily operating cycle after midnight without performing 
another Class I or Class IA brake test. A Class I or Class IA brake test 
shall be performed on such a train before it starts a new daily 
operating cycle.
    (c) A Class IA brake test may be performed at a shop or yard site 
and is not

[[Page 579]]

required to be repeated at the first passenger terminal if the train 
remains on a source of compressed air and:
    (1) The train remains in the custody of the train crew; or
    (2) The train crew receives notice that the Class IA brake test has 
been performed.
    (d) The Class IA brake test shall be performed by either a qualified 
person or a qualified maintenance person.
    (e) Except as provided in Sec. 238.15(b), a railroad shall not use 
or haul a passenger train in passenger service from a location where a 
Class IA brake test has been performed, or was required by this part to 
have been performed, with less than 100 percent operative brakes.
    (f) A Class IA brake test shall be performed at the air pressure at 
which the train's air brakes will be operated and shall determine and 
ensure that:
    (1) Brake pipe leakage does not exceed 5 pounds per square inch per 
minute if brake pipe leakage will affect service performance;
    (2) Each brake sets and releases by inspecting in the manner 
described in paragraph (g) of this section;
    (3) For MU locomotives that utilize an electric signal to 
communicate a service brake application and only a pneumatic signal to 
propagate an emergency brake application, the emergency brake 
application functions as intended.
    (4) Each angle cock and cutout cock is properly set;
    (5) The communication of brake pipe pressure changes at the rear of 
the train is verified, which may be accomplished by observation of an 
application and release of the brakes on the last car in the train; and
    (6) The communicating signal system is tested and known to be 
operating as intended; a tested and operating two-way radio system meets 
this requirement.
    (g) In determining whether each brake sets and releases--
    (1) The inspection of the set and release of the brakes shall be 
completed by walking the train to directly observe the set and release 
of each brake, if the railroad determines that such a procedure is safe.
    (2) If the railroad determines that operating conditions pose a 
safety hazard to an inspector walking the brakes, brake indicators may 
be used to verify the set and release on cars so equipped. However, the 
observation of the brake indicators shall not be made from the cab of 
the locomotive. The inspector shall walk the train in order to position 
himself or herself to accurately observe each indicator.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 
FR 19991, Apr. 23, 2002]



Sec. 238.317  Class II brake test.

    (a) A Class II brake test shall be performed on a passenger train 
when any of the following events occurs:
    (1) Whenever the control stand used to control the train is changed; 
except if the control stand is changed to facilitate the movement of a 
passenger train from one track to another within a terminal complex 
while not in passenger service. In these circumstances, a Class II brake 
test shall be performed prior to the train's departure from the terminal 
complex with passengers;
    (2) Prior to the first morning departure of each commuter or short-
distance intercity passenger train where a Class I brake test remains 
valid as provided in Sec. 238.315(a)(1);
    (3) When previously tested units (i.e., cars that received a Class I 
brake test within the previous calendar day and have not been 
disconnected from a source of compressed air for more than four hours) 
are added to the train;
    (4) When cars or equipment are removed from the train; and
    (5) When an operator first takes charge of the train, except for 
face-to-face relief.
    (b) A Class II brake test shall be performed by a qualified person 
or a qualified maintenance person.
    (c) Except as provided in Sec. 238.15, a railroad shall not use or 
haul a passenger train in passenger service from a terminal or yard 
where a Class II brake test has been performed, or was required by this 
part to have been performed, with any of the brakes cut-out, 
inoperative, or defective.
    (d) In performing a Class II brake test on a train, a railroad shall 
determine that:
    (1) The brakes on the rear unit of the train apply and release in 
response to a

[[Page 580]]

signal from the engineer's brake valve or controller of the leading or 
controlling unit, or a gauge or similar device located at the rear of 
the train or in the cab of the rear unit indicates that brake pipe 
pressure changes are properly communicated at the rear of the train;
    (2) For MU locomotives that utilize an electric signal to 
communicate a service brake application and only a pneumatic signal to 
propagate an emergency brake application, the emergency brake 
application functions as intended.
    (3) The communicating signal system is tested and known to be 
operating as intended; a tested and operating two-way radio system meets 
this requirement.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 
FR 19991, Apr. 23, 2002]



Sec. 238.319  Running brake test.

    (a) As soon as conditions safely permit, a running brake test shall 
be performed on each passenger train after the train has received, or 
was required under this part to have received, either a Class I, Class 
IA, or Class II brake test.
    (b) A running brake test shall be performed whenever the control 
stand used to control the train is changed to facilitate the movement of 
a passenger train from one track to another within a terminal complex 
while not in passenger service.
    (c) The running brake test shall be conducted in accordance with the 
railroad's established operating rules, and shall be made by applying 
brakes in a manner that allows the engineer to ascertain whether the 
brakes are operating properly.
    (d) If the engineer determines that the brakes are not operating 
properly, the engineer shall stop the train and follow the procedures 
provided in Sec. 238.15.



    Subpart E--Specific Requirements for Tier II Passenger Equipment



Sec. 238.401  Scope.

    This subpart contains specific requirements for railroad passenger 
equipment operating at speeds exceeding 125 mph but not exceeding 150 
mph. The requirements of this subpart apply beginning on September 9, 
1999. As stated in Sec. 238.433(b), all such passenger equipment remains 
subject to the requirements concerning couplers and uncoupling devices 
contained in Federal statute at 49 U.S.C. chapter 203 and in FRA 
regulations at part 231 and Sec. 232.2 of this chapter.



Sec. 238.403  Crash energy management.

    (a) Each power car and trailer car shall be designed with a crash 
energy management system to dissipate kinetic energy during a collision. 
The crash energy management system shall provide a controlled 
deformation and collapse of designated sections within the unoccupied 
volumes to absorb collision energy and to reduce the decelerations on 
passengers and crewmembers resulting from dynamic forces transmitted to 
occupied volumes.
    (b) The design of each unit shall consist of an occupied volume 
located between two normally unoccupied volumes. Where practical, 
sections within the unoccupied volumes shall be designed to be 
structurally weaker than the occupied volume. During a collision, the 
designated sections within the unoccupied volumes shall start to deform 
and eventually collapse in a controlled fashion to dissipate energy 
before any structural damage occurs to the occupied volume.
    (c) At a minimum, each Tier II passenger train shall be designed to 
meet the following requirements:
    (1) Thirteen megajoules (MJ) shall be absorbed at each end of the 
train through the controlled crushing of unoccupied volumes, and of this 
amount a minimum of 5 MJ shall be absorbed ahead of the operator's cab 
in each power car;
    (2) A minimum of an additional 3 MJ shall be absorbed by the power 
car structure between the operator's cab and the first trailer car; and
    (3) The end of the first trailer car adjacent to each power car 
shall absorb a minimum of 5 MJ through controlled crushing.

[[Page 581]]

    (d) For a 30-mph collision of a Tier II passenger train on tangent, 
level track with an identical stationary train:
    (1) When seated anywhere in a trailer car, the velocity at which a 
50th-percentile adult male contacts the seat back ahead of him shall not 
exceed 25 mph; and
    (2) The deceleration of the occupied volumes of each trailer car 
shall not exceed 8g. For the purpose of demonstrating compliance with 
this paragraph, deceleration measurements may be processed through a 
low-pass filter having a bandwidth of 50 Hz.
    (e) Compliance with paragraphs (a) through (d) of this section shall 
be demonstrated by analysis using a dynamic collision computer model. 
For the purpose of demonstrating compliance, the following assumptions 
shall be made:
    (1) The train remains upright, in line, and with all wheels on the 
track throughout the collision; and
    (2) Resistance to structural crushing follows the force-versus-
displacement relationship determined during the structural analysis 
required as part of the design of the train.
    (f) Passenger seating shall not be permitted in the leading unit of 
a Tier II passenger train.



Sec. 238.405  Longitudinal static compressive strength.

    (a) To form an effective crash refuge for crewmembers occupying the 
cab of a power car, the underframe of the cab of a power car shall 
resist a minimum longitudinal static compressive force of 2,100,000 
pounds without permanent deformation to the cab, unless equivalent 
protection to crewmembers is provided under an alternate design 
approach, validated through analysis and testing, and approved by FRA 
under the provisions of Sec. 238.21.
    (b) The underframe of the occupied volume of each trailer car shall 
resist a minimum longitudinal static compressive force of 800,000 pounds 
without permanent deformation to the car. To demonstrate compliance with 
this requirement, the 800,000-pound load shall be applied to the 
underframe of the occupied volume as it would be transmitted to the 
underframe by the full structure of the vehicle.
    (c) Unoccupied volumes of a power car or a trailer car designed to 
crush as part of the crash energy management design are not subject to 
the requirements of this section.



Sec. 238.407  Anti-climbing mechanism.

    (a) Each power car shall have an anti-climbing mechanism at its 
forward end capable of resisting an ultimate upward or downward static 
vertical force of 200,000 pounds. A power car constructed with a crash 
energy management design is permitted to crush in a controlled manner 
before the anti-climbing mechanism fully engages.
    (b) Interior train coupling points between units, including between 
units of articulated cars or other permanently joined units of cars, 
shall have an anti-climbing mechanism capable of resisting an upward or 
downward vertical force of 100,000 pounds without yielding.
    (c) The forward coupler of a power car shall be attached to the car 
body to resist a vertical downward force of 100,000 pounds for any 
horizontal position of the coupler without yielding.



Sec. 238.409  Forward end structures of power car cabs.

    This section contains requirements for the forward end structure of 
the cab of a power car. (A conceptual implementation of this end 
structure is provided in Figure 1 to this subpart.)
    (a) Center collision post. The forward end structure shall have a 
full-height center collision post, or its structural equivalent, capable 
of withstanding the following:
    (1) A shear load of 500,000 pounds at its joint with the underframe 
without exceeding the ultimate strength of the joint;
    (2) A shear load of 150,000 pounds at its joint with the roof 
without exceeding the ultimate strength of the joint; and
    (3) A horizontal, longitudinal force of 300,000 pounds, applied at a 
point on level with the bottom of the windshield, without exceeding its 
ultimate strength.

[[Page 582]]

    (b) Side collision posts. The forward end structure shall have two 
side collision posts, or their structural equivalent, located at 
approximately the one-third points laterally, each capable of 
withstanding the following:
    (1) A shear load of 500,000 pounds at its joint with the underframe 
without exceeding the ultimate strength of the joint; and
    (2) A horizontal, longitudinal force of 300,000 pounds, applied at a 
point on level with the bottom of the windshield, without exceeding its 
ultimate strength.
    (c) Corner posts. The forward end structure shall have two full-
height corner posts, or their structural equivalent, each capable of 
withstanding the following:
    (1) A horizontal, longitudinal or lateral shear load of 300,000 
pounds at its joint with the underframe, without exceeding the ultimate 
strength of the joint;
    (2) A horizontal, lateral force of 100,000 pounds applied at a point 
30 inches up from the underframe attachment, without exceeding the yield 
or the critical buckling stress; and
    (3) A horizontal, longitudinal or lateral shear load of 80,000 
pounds at its joint with the roof, without exceeding the ultimate 
strength of the joint.
    (d) Skin. The skin covering the forward-facing end of each power car 
shall be:
    (1) Equivalent to a \1/2\-inch steel plate with a 25,000 pounds-per-
square-inch yield strength--material of a higher yield strength may be 
used to decrease the required thickness of the material provided at 
least an equivalent level of strength is maintained;
    (2) Securely attached to the end structure; and
    (3) Sealed to prevent the entry of fluids into the occupied cab area 
of the equipment. As used in paragraph (d), the term ``skin'' does not 
include forward-facing windows and doors.



Sec. 238.411  Rear end structures of power car cabs.

    The rear end structure of the cab of a power car shall be designed 
to include the following elements, or their structural equivalent. (A 
conceptual implementation of this end structure is provided in Figure 2 
to this subpart.)
    (a) Corner posts. The rear end structure shall have two full-height 
corner posts, or their structural equivalent, each capable of 
withstanding the following:
    (1) A horizontal, longitudinal or lateral shear load of 300,000 
pounds at its joint with the underframe without exceeding the ultimate 
strength of the joint; and
    (2) A horizontal, longitudinal or lateral shear load of 80,000 
pounds at its joint with the roof without exceeding the ultimate 
strength of the joint.
    (b) Collision posts. The rear end structure shall have two full-
height collision posts, or their structural equivalent, each capable of 
withstanding the following:
    (1) A horizontal, longitudinal shear load of 500,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint; and
    (2) A horizontal, longitudinal shear load of 75,000 pounds at its 
joint with the roof without exceeding the ultimate strength of the 
joint.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]



Sec. 238.413  End structures of trailer cars.

    (a) Except as provided in paragraph (b) of this section, the end 
structure of a trailer car shall be designed to include the following 
elements, or their structural equivalent. (A conceptual implementation 
of this end structure is provided in Figure 3 to this subpart.)
    (1) Corner posts. Two full-height corner posts, each capable of 
withstanding the following:
    (i) A horizontal, longitudinal shear load of 150,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint;
    (ii) A horizontal, longitudinal or lateral force of 30,000 pounds 
applied at a point 18 inches up from the underframe attachment without 
exceeding the yield or the critical buckling stress; and
    (iii) A horizontal, longitudinal or lateral shear load of 20,000 
pounds at its joint with the roof without exceeding the ultimate 
strength of the joint.

[[Page 583]]

    (2) Collision posts. Two full-height collision posts each capable of 
withstanding the following:
    (i) A horizontal, longitudinal shear load of 300,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint; and
    (ii) A horizontal, longitudinal shear load of 60,000 pounds at its 
joint with the roof without exceeding the ultimate strength of the 
joint.
    (b) If the trailer car is designed with an end vestibule, the end 
structure inboard of the vestibule shall have two full-height corner 
posts, or their structural equivalent, each capable of withstanding the 
following (A conceptual implementation of this end structure is provided 
in Figure 4 to this subpart):
    (1) A horizontal, longitudinal shear load of 200,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint;
    (2) A horizontal, lateral force of 30,000 pounds applied at a point 
18 inches up from the underframe attachment without exceeding the yield 
or the critical buckling stress;
    (3) A horizontal, longitudinal force of 50,000 pounds applied at a 
point 18 inches up from the underframe attachment without exceeding the 
yield or the critical buckling stress; and
    (4) A horizontal, longitudinal or lateral shear load of 20,000 
pounds at its joint with the roof without exceeding the ultimate 
strength of the joint.



Sec. 238.415  Rollover strength.

    (a) Each passenger car and power car shall be designed to rest on 
its side and be uniformly supported at the top (``roof rail'') and the 
bottom chords (``side sill'') of the side frame. The allowable stress in 
the structural members of the occupied volumes for this condition shall 
be one-half yield or one-half the critical buckling stress, whichever is 
less. Minor localized deformations to the outer side skin of the 
passenger car or power car is allowed provided such deformations in no 
way intrude upon the occupied volume of each car.
    (b) Each passenger car and power car shall also be designed to rest 
on its roof so that any damage in occupied areas is limited to roof 
sheathing and framing. The allowable stress in the structural members of 
the occupied volumes for this condition shall be one-half yield or one-
half the critical buckling stress, whichever is less. Deformation to the 
roof sheathing and framing is allowed to the extent necessary to permit 
the vehicle to be supported directly on the top chords of the side 
frames and end frames.



Sec. 238.417  Side loads.

    (a) Each passenger car body structure shall be designed to resist an 
inward transverse load of 80,000 pounds of force applied to the side 
sill and 10,000 pounds of force applied to the belt rail (horizontal 
members at the bottom of the window opening in the side frame).
    (b) These loads shall be considered to be applied separately over 
the full vertical dimension of the specified member for any distance of 
8 feet in the direction of the length of the car.
    (c) The allowable stress shall be the lesser of the yield stress, 
except as otherwise allowed by this paragraph, or the critical buckling 
stress. In calculating the stress to show compliance with this 
requirement, local yielding of the side skin adjacent to the side sill 
and belt rail, and local yielding of the side sill bend radii at the 
crossbearer and floor-beam connections is allowed. For purposes of this 
paragraph, local yielding is allowed provided the resulting deformations 
in no way intrude upon the occupied volume of the car.
    (d) The connections of the side frame to the roof and underframe 
shall support the loads specified in this section.



Sec. 238.419  Truck-to-car-body and truck component attachment.

    (a) The ultimate strength of the truck-to-car-body attachment for 
each unit in a train shall be sufficient to resist without failure the 
following individually applied loads: a vertical force equivalent to 2g 
acting on the mass of the truck; and a force of 250,000 pounds acting in 
any horizontal direction on the truck, along with the resulting vertical 
reaction to this load.
    (b) Each component of a truck (which include axles, wheels, 
bearings, the truck-mounted brake system, suspension system components, 
and any other components attached to the truck by design) shall remain 
attached to the

[[Page 584]]

truck when a force equivalent to 2g acting on the mass of the component 
is exerted in any direction on that component.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]



Sec. 238.421  Glazing.

    (a) General. Except as provided in paragraphs (b) and (c) of this 
section, each exterior window on a passenger car and a power car cab 
shall comply with the requirements contained in part 223 of this 
chapter.
    (b) Particular end-facing exterior glazing requirements. Each end-
facing exterior window in a passenger car and a power car cab shall 
also, in the orientation in which it is installed in the car:
    (1) Resist the impact of a 12-pound solid steel sphere traveling (i) 
at the maximum speed at which the car will operate (ii) at an impact 
angle no less severe than horizontal to the car, with no penetration or 
spall. An impact angle that is perpendicular (90 degrees) to the 
window's surface shall be considered the most severe impact angle for 
purposes of this requirement; and
    (2) Demonstrate anti-spalling performance by the use of a 0.001-inch 
thick aluminum witness plate, placed 12 inches from the window's surface 
during all impact tests. The witness plate shall contain no marks from 
spalled glazing particles after any impact test; and
    (3) Be permanently marked, prior to installation, in such a manner 
that the marking is clearly visible after the material has been 
installed. The marking shall include:
    (i) The words ``FRA TYPE IHP'' to indicate that the material has 
successfully passed the testing requirements specified in this 
paragraph;
    (ii) The name of the manufacturer; and
    (iii) The type or brand identification of the material.
    (c) Passenger equipment ordered prior to May 12, 1999. Each exterior 
window in passenger equipment ordered prior to May 12, 1999, may comply 
with the following glazing requirements in lieu of the requirements 
specified in paragraphs (a) and (b) of this section:
    (1) Each end-facing exterior window shall, in the orientation in 
which it is installed in the vehicle, resist the impact of a 12-pound 
solid steel sphere traveling (i) at the maximum speed at which the 
vehicle will operate (ii) at an impact angle no less severe than 
horizontal to the vehicle, with no penetration or spall. An impact angle 
that is perpendicular to the window's surface shall be considered the 
most severe impact angle for purposes of this requirement.
    (2) Each side-facing exterior window shall resist the impact of a:
    (i) 12-pound solid steel sphere at 15 mph, at an angle of 90 degrees 
to the window's surface, with no penetration or spall; and
    (ii) A granite ballast stone weighing a minimum of 0.5 pounds, 
traveling at 75 mph and impacting at a 90-degree angle to the window's 
surface, with no penetration or spall.
    (3) All exterior windows shall:
    (i) Resist a single impact of a 9-mm, 147-grain bullet traveling at 
an impact velocity of 900 feet per second, with no bullet penetration or 
spall; and
    (ii) Demonstrate anti-spalling performance by the use of a 0.002-
inch thick aluminum witness plate, placed 12 inches from the window's 
surface during all impact tests. The witness plate shall contain no 
marks from spalled glazing particles after any impact test; and
    (iii) Be permanently marked, prior to installation, in such a manner 
that the marking is clearly visible after the material has been 
installed. The marking shall include:
    (A) The words ``FRA TYPE IH'' for end-facing glazing or ``FRA TYPE 
IIH'' for side-facing glazing, to indicate that the material has 
successfully passed the testing requirements of this section;
    (B) The name of the manufacturer; and
    (C) The type or brand identification of the material.
    (d) Glazing securement. Each exterior window on a passenger car and 
a power car cab shall remain in place when subjected to:
    (1) The forces due to air pressure differences caused when two 
trains pass

[[Page 585]]

at the minimum separation for two adjacent tracks, while traveling in 
opposite directions, each train traveling at the maximum authorized 
speed; and
    (2) The impact forces that the glazed window is required to resist 
as specified in this section.
    (e) Stenciling. Each car that is fully equipped with glazing 
materials that meet the requirements of this section shall be stenciled 
on an interior wall as follows: ``Fully Equipped with FRA Part 238 
Glazing'' or similar words conveying that meaning, in letters at least 
\3/8\ of an inch high.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]



Sec. 238.423  Fuel tanks.

    (a) External fuel tanks. Each type of external fuel tank must be 
approved by FRA's Associate Administrator for Safety upon a showing that 
the fuel tank provides a level of safety at least equivalent to a fuel 
tank that complies with the external fuel tank requirements in 
Sec. 238.223(a).
    (b) Internal fuel tanks. Internal fuel tanks shall comply with the 
requirements specified in Sec. 238.223(b).



Sec. 238.425  Electrical system.

    (a) Circuit protection. (1) The main propulsion power line shall be 
protected with a lightning arrestor, automatic circuit breaker, and 
overload relay. The lightning arrestor shall be run by the most direct 
path possible to ground with a connection to ground of not less than No. 
6 AWG. These overload protection devices shall be housed in an enclosure 
designed specifically for that purpose with the arc chute vented 
directly to outside air.
    (2) Head end power, including trainline power distribution, shall be 
provided with both overload and ground fault protection.
    (3) Circuits used for purposes other than propelling the equipment 
shall be connected to their power source through circuit breakers or 
equivalent current-limiting devices.
    (4) Each auxiliary circuit shall be provided with a circuit breaker 
located as near as practical to the point of connection to the source of 
power for that circuit; however, such protection may be omitted from 
circuits controlling safety-critical devices.
    (b) Main battery system. (1) The main batteries shall be isolated 
from the cab and passenger seating areas by a non-combustible barrier.
    (2) Battery chargers shall be designed to protect against 
overcharging.
    (3) Battery circuits shall include an emergency battery cut-off 
switch to completely disconnect the energy stored in the batteries from 
the load.
    (4) If batteries are of the type to potentially vent explosive 
gases, the batteries shall be adequately ventilated to prevent 
accumulation of explosive concentrations of these gases.
    (c) Power dissipation resistors. (1) Power dissipating resistors 
shall be adequately ventilated to prevent overheating under worst-case 
operating conditions.
    (2) Power dissipation grids shall be designed and installed with 
sufficient isolation to prevent combustion between resistor elements and 
combustible material.
    (3) Power dissipation resistor circuits shall incorporate warning or 
protective devices for low ventilation air flow, over-temperature, and 
short circuit failures.
    (4) Resistor elements shall be electrically insulated from resistor 
frames, and the frames shall be electrically insulated from the supports 
that hold them.
    (d) Electromagnetic interference and compatibility. (1) The 
operating railroad shall ensure electromagnetic compatibility of the 
safety-critical equipment systems with their environment. 
Electromagnetic compatibility can be achieved through equipment design 
or changes to the operating environment.
    (2) The electronic equipment shall not produce electrical noise that 
interferes with trainline control and communications or with wayside 
signaling systems.
    (3) To contain electromagnetic interference emissions, suppression 
of transients shall be at the source wherever possible.
    (4) Electrical and electronic systems of equipment shall be capable 
of operation in the presence of external electromagnetic noise sources.

[[Page 586]]

    (5) All electronic equipment shall be self-protected from damage or 
improper operation, or both, due to high voltage transients and long-
term over-voltage or under-voltage conditions.



Sec. 238.427  Suspension system.

    (a) General requirements. (1) Suspension systems shall be designed 
to reasonably prevent wheel climb, wheel unloading, rail rollover, rail 
shift, and a vehicle from overturning to ensure safe, stable performance 
and ride quality. These requirements shall be met:
    (i) In all operating environments, and under all track conditions 
and loading conditions as determined by the operating railroad; and
    (ii) At all track speeds and over all track qualities consistent 
with the Track Safety Standards in part 213 of this chapter, up to the 
maximum operating speed and maximum cant deficiency of the equipment.
    (2) Passenger equipment shall meet the safety performance standards 
for suspension systems contained in appendix C to this part, or 
alternative standards providing at least equivalent safety if approved 
by FRA under the provisions of Sec. 238.21.
    (b) Car body accelerations. (1) A passenger car shall not operate 
under conditions that result in a steady-state lateral acceleration 
greater than 0.12g as measured parallel to the car floor inside the 
passenger compartment. During pre-revenue service acceptance testing of 
the equipment under Sec. 238.111 and Sec. 213.345 of this chapter, a 
passenger car shall demonstrate that steady-state lateral acceleration 
does not exceed 0.1g at the maximum intended cant deficiency.
    (2) While traveling at the maximum operating speed over the intended 
route, the train suspension system shall be designed to:
    (i) Limit the vertical acceleration, as measured by a vertical 
accelerometer mounted on the car floor, to no greater than 0.55g single 
event, peak-to-peak over a one second period;
    (ii) Limit lateral acceleration, as measured by a lateral 
accelerometer mounted on the car floor, to no greater than 0.3g single 
event, peak-to-peak over a one second period; and
    (iii) Limit the combination of lateral acceleration (aL) 
and vertical acceleration (aV) occurring over a one second 
period as expressed by the square root of (aL\2\ 
+aV\2\) to no greater than 0.6g, where aL may not 
exceed 0.3g and aV may not exceed 0.55g. Compliance with the 
requirements of paragraph (b)(2) shall be demonstrated during the pre-
revenue service acceptance testing of the equipment required under 
Sec. 238.111 and Sec. 213.345 of this chapter.
    (3) For purposes of this paragraph:
    (i) Car body acceleration measurements shall be processed through a 
filter having a cut-off frequency of 10 Hz; and
    (ii) Steady-state lateral acceleration shall be computed as the 
mathematical average of the accelerations in the body of a curve, 
between the spiral/curve points. In a compound curve, steady-state 
lateral acceleration shall be measured separately for each curve 
segment.
    (c) Truck (hunting) acceleration.Each truck shall be equipped with a 
permanently installed lateral accelerometer mounted on the truck frame. 
The accelerometer output signals shall be processed through a filter 
having a band pass of 0.5 to 10 Hz to determine if hunting oscillations 
of the truck are occurring. If hunting oscillations are detected, the 
train monitoring system shall provide an alarm to the operator, and the 
train shall be slowed to a speed at least 5 mph less than the speed at 
which the hunting oscillations stopped. For purposes of this paragraph, 
hunting oscillations are considered a sustained cyclic oscillation of 
the truck which is evidenced by lateral accelerations in excess of 0.4g 
root mean square (mean-removed) for 2 seconds.
    (d) Overheat sensors. Overheat sensors for each wheelset journal 
bearing shall be provided. The sensors may be placed either onboard the 
equipment or at reasonable intervals along the railroad's right-of-way.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]



Sec. 238.429  Safety appliances.

    (a) Couplers. (1) The leading and the trailing ends of a semi-
permanently coupled trainset shall each be equipped with an automatic 
coupler that couples

[[Page 587]]

on impact and uncouples by either activation of a traditional uncoupling 
lever or some other type of uncoupling mechanism that does not require a 
person to go between the equipment units.
    (2) The automatic coupler and uncoupling device on the leading and 
trailing ends of a semi-permanently coupled trainset may be stored 
within a removable shrouded housing.
    (3) If the units in a train are not semi-permanently coupled, both 
ends of each unit shall be equipped with an automatic coupler that 
couples on impact and uncouples by either activation of a traditional 
uncoupling lever or some other type of uncoupling mechanism that does 
not require a person to go between the equipment units.
    (b) Hand brakes. Except as provided in paragraph (f) of this 
section, Tier II trains shall be equipped with a parking or hand brake 
that can be applied and released manually and that is capable of holding 
the train on a 3-percent grade.
    (c) Safety appliance mechanical strength and fasteners. (1) All 
handrails, handholds, and sill steps shall be made of 1-inch diameter 
steel pipe, \5/8\-inch thickness steel, or a material of equal or 
greater mechanical strength.
    (2) All safety appliances shall be securely fastened to the car body 
structure with mechanical fasteners that have mechanical strength 
greater than or equal to that of a \1/2\-inch diameter SAE grade steel 
bolt mechanical fastener.
    (i) Safety appliance mechanical fasteners shall have mechanical 
strength and fatigue resistance equal to or greater than a \1/2\-inch 
diameter SAE steel bolt.
    (ii) Mechanical fasteners shall be installed with a positive means 
to prevent unauthorized removal. Self-locking threaded fasteners do not 
meet this requirement.
    (iii) Mechanical fasteners shall be installed to facilitate 
inspection.
    (d) Handrails and handholds. Except as provided in paragraph (f) of 
this section:
    (1) Handrails shall be provided for passengers on both sides of all 
steps used to board or depart the train.
    (2) Exits on a power vehicle shall be equipped with handrails and 
handholds so that crewmembers can get on and off the vehicle safely.
    (3) Throughout their entire length, handrails and handholds shall be 
a color that contrasts with the color of the vehicle body to which they 
are fastened.
    (4) The maximum distance above the top of the rail to the bottom of 
vertical handrails and handholds shall be 51 inches, and the minimum 
distance shall be 21 inches.
    (5) Vertical handrails and handholds shall be installed to continue 
to a point at least equal to the height of the top edge of the control 
cab door.
    (6) The minimum hand clearance distance between a vertical handrail 
or handhold and the vehicle body shall be 2\1/2\ inches for the entire 
length.
    (7) All vertical handrails and handholds shall be securely fastened 
to the vehicle body.
    (8) If the length of the handrail exceeds 60 inches, it shall be 
securely fastened to the power vehicle body with two fasteners at each 
end.
    (e) Sill steps. Except as provided in paragraph (f) of this section, 
each power vehicle shall be equipped with a sill step below each 
exterior door as follows:
    (1) The sill step shall have a minimum cross-sectional area of \1/2\ 
by 3 inches;
    (2) The sill step shall be made of steel or a material of equal or 
greater strength and fatigue resistance;
    (3) The minimum tread length of the sill step shall be 10 inches;
    (4) The minimum clear depth of the sill step shall be 8 inches;
    (5) The outside edge of the tread of the sill step shall be flush 
with the side of the car body structure;
    (6) Sill steps shall not have a vertical rise between treads 
exceeding 18 inches;
    (7) The lowest sill step tread shall be not more than 24, preferably 
not more than 22, inches above the top of the track rail;
    (8) Sill steps shall be a color that contrasts with the color of the 
power vehicle body to which they are fastened;
    (9) Sill steps shall be securely fastened;

[[Page 588]]

    (10) At least 50 percent of the tread surface area of each sill step 
shall be open space; and
    (11) The portion of the tread surface area of each sill step which 
is not open space and is normally contacted by the foot shall be treated 
with an anti-skid material.
    (f) Exceptions. (1) If the units of the equipment are semi-
permanently coupled, with uncoupling done only at maintenance 
facilities, the equipment units that are not required by paragraph (a) 
of this section to be equipped with automatic couplers need not be 
equipped with sill steps or end or side handholds that would normally be 
used to safely perform coupling and uncoupling operations.
    (2) If the units of the equipment are not semi-permanently coupled, 
the units shall be equipped with hand brakes, sill steps, end handholds, 
and side handholds that meet the requirements contained in Sec. 231.14 
of this chapter.
    (3) If two trainsets are coupled to form a single train that is not 
semi-permanently coupled (i.e., that is coupled by an automatic 
coupler), the automatically coupled ends shall be equipped with an end 
handhold that is located and installed so that an individual can safely 
couple and uncouple the trainsets. The end handhold shall be not more 
than 16 inches from each side of the car and shall extend the remaining 
length of the end of the car. (If the equipment is designed with a 
tapered nose, the side of the car shall be determined based on the outer 
dimension of the tapered nose where the end handhold is attached.) The 
end handhold shall also meet the mechanical strength and design 
requirements contained in paragraphs (c), (d)(3), and (d)(6) of this 
section. If the trainsets are semi-permanently coupled, this safety 
appliance is not required.
    (g) Optional safety appliances. Safety appliances installed at the 
option of the railroad shall be firmly attached with mechanical 
fasteners and shall meet the design and installation requirements 
provided in this section.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]



Sec. 238.431  Brake system.

    (a) A passenger train's brake system shall be capable of stopping 
the train from its maximum operating speed within the signal spacing 
existing on the track over which the train is operating under worst-case 
adhesion conditions.
    (b) The brake system shall be designed to allow an inspector to 
determine that the brake system is functioning properly without having 
to place himself or herself in a dangerous position on, under, or 
between the equipment.
    (c) Passenger equipment shall be provided with an emergency brake 
application feature that produces an irretrievable stop, using a brake 
rate consistent with prevailing adhesion, passenger safety, and brake 
system thermal capacity. An emergency brake application shall be 
available at any time, and shall be initiated by an unintentional 
parting of the train. A means to initiate an emergency brake application 
shall be provided at two locations in each unit of the train; however, 
where a unit of the train is 45 feet or less in length a means to 
initiate an emergency brake application need only be provided at one 
location in the unit.
    (d) The brake system shall be designed to prevent thermal damage to 
wheels and brake discs. The operating railroad shall demonstrate through 
analysis and testing that no thermal damage results to the wheels or 
brake discs under conditions resulting in maximum braking effort being 
exerted on the wheels or discs.
    (e) The following requirements apply to blended braking systems:
    (1) Loss of power or failure of the dynamic brake does not result in 
exceeding the allowable stopping distance;
    (2) The friction brake alone is adequate to safely stop the train 
under all operating conditions;
    (3) The operational status of the electric portion of the brake 
system shall be displayed for the train operator in the control cab; and
    (4) The operating railroad shall demonstrate through analysis and 
testing the maximum operating speed for safe operation of the train 
using only the friction brake portion of the blended

[[Page 589]]

brake with no thermal damage to wheels or discs.
    (f) The brake system design shall allow a disabled train's pneumatic 
brakes to be controlled by a conventional locomotive, during a rescue 
operation, through brake pipe control alone.
    (g) An independent failure-detection system shall compare brake 
commands with brake system output to determine if a failure has 
occurred. The failure detection system shall report brake system 
failures to the automated train monitoring system.
    (h) Passenger equipment shall be equipped with an adhesion control 
system designed to automatically adjust the braking force on each wheel 
to prevent sliding during braking. In the event of a failure of this 
system to prevent wheel slide within preset parameters, a wheel slide 
alarm that is visual or audible, or both, shall alert the train operator 
in the cab of the controlling power car to wheel-slide conditions on any 
axle of the train.



Sec. 238.433  Draft system.

    (a) Leading and trailing automatic couplers of trains shall be 
compatible with standard AAR couplers with no special adapters used.
    (b) All passenger equipment continues to be subject to the 
requirements concerning couplers and uncoupling devices contained in 
Federal Statute at 49 U.S.C. chapter 203 and in FRA regulations at part 
231 and Sec. 232.2 of this chapter.



Sec. 238.435  Interior fittings and surfaces.

    (a) Each seat back and seat attachment in a passenger car shall be 
designed to withstand, with deflection but without total failure, the 
load associated with the impact into the seat back of an unrestrained 
95th-percentile adult male initially seated behind the seat back, when 
the floor to which the seat is attached decelerates with a triangular 
crash pulse having a peak of 8g and a duration of 250 milliseconds.
    (b) Each seat back in a passenger car shall include shock-absorbent 
material to cushion the impact of occupants with the seat ahead of them.
    (c) The ultimate strength of each seat attachment to a passenger car 
body shall be sufficient to withstand the following individually applied 
accelerations acting on the mass of the seat plus the mass of a seat 
occupant who is a 95th-percentile adult male:
    (1) Lateral: 4g; and
    (2) Vertical: 4g.
    (d)(1) Other interior fittings shall be attached to the passenger 
car body with sufficient strength to withstand the following 
individually applied accelerations acting on the mass of the fitting:
    (i) Longitudinal: 8g;
    (ii) Lateral: 4g; and
    (iii) Vertical: 4g.
    (2) Fittings that can be expected to be impacted by a person during 
a collision, such as tables between facing seats, shall be designed for 
the mass of the fitting plus the mass of the number of occupants who are 
95th-percentile adult males that could be expected to strike the 
fitting, when the floor of the passenger car decelerates with a 
triangular crash pulse having a peak of 8g and a duration of 250 
milliseconds.
    (e) The ultimate strength of the interior fittings and equipment in 
power car control cabs shall be sufficient to resist without failure 
loads due to the following individually applied accelerations acting on 
the mass of the fitting or equipment:
    (1) Longitudinal: 12g;
    (2) Lateral: 4g; and
    (3) Vertical: 4g.
    (f) To the extent possible, interior fittings, except seats, shall 
be recessed or flush-mounted. Corners and sharp edges shall be avoided 
or otherwise padded.
    (g) Energy-absorbent material shall be used to pad surfaces likely 
to be impacted by occupants during collisions or derailments.
    (h) Luggage stowage compartments shall be enclosed, and have an 
ultimate strength sufficient to resist loads due to the following 
individually applied accelerations acting on the mass of the luggage 
that the compartments are designed to accommodate:
    (1) Longitudinal: 8g;
    (2) Lateral: 4g; and
    (3) Vertical: 4g.
    (i) If, for purposes of showing compliance with the requirements of 
this section, the strength of a seat attachment

[[Page 590]]

is to be demonstrated through sled testing, the seat structure and seat 
attachment to the sled that are used in such testing must be 
representative of the actual seat structure in, and seat attachment to, 
the rail vehicle subject to the requirements of this section. If the 
attachment strength of any other interior fitting is to be demonstrated 
through sled testing, for purposes of showing compliance with the 
requirements of this section, such testing shall be conducted in a 
similar manner.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]



Sec. 238.437  Emergency communication.

    A means of emergency communication throughout a train shall be 
provided and shall include the following:
    (a) Except as further specified, transmission locations at each end 
of each passenger car, adjacent to the car's end doors, and accessible 
to both passengers and crewmembers without requiring the use of a tool 
or other implement. If the passenger car does not exceed 45 feet in 
length, or if the passenger car was ordered prior to May 12, 1999, only 
one transmission location is required;
    (b) Transmission locations that are clearly marked with luminescent 
material;
    (c) Clear and understandable operating instructions at or near each 
transmission location; and
    (d) Back-up power for a minimum period of 90 minutes.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19993, Apr. 23, 2002]



Sec. 238.439  Doors.

    (a) Each passenger car shall have a minimum of two exterior side 
doors, each door providing a minimum clear opening with dimensions of 30 
inches horizontally by 74 inches vertically.

    Note: The Americans with Disabilities Act (ADA) Accessibility 
Specifications for Transportation Vehicles also contain requirements for 
doorway clearance (See 49 CFR part 38).

    (b) Each passenger car shall be equipped with a manual override 
feature for each powered, exterior side door. Each manual override must 
be:
    (1) Capable of releasing the door to permit it to be opened, without 
power, from both inside and outside the car;
    (2) Located adjacent to the door which it controls; and
    (3) Designed and maintained so that a person may readily access and 
operate the override device from both inside and outside the car without 
the use of any tool or other implement.
    (c) The status of each powered, exterior side door in a passenger 
car shall be displayed to the crew in the operating cab. If door 
interlocks are used, the sensors used to detect train motion shall be 
nominally set to operate at 3 mph.
    (d) Each powered, exterior side door in a passenger car shall be 
connected to an emergency back-up power system.
    (e) A railroad may protect a manual override device used to open a 
powered, exterior door with a cover or a screen capable of removal 
without requiring the use of a tool or other implement.
    (f) A passenger compartment end door (other than a door providing 
access to the exterior of the trainset) shall be equipped with a kick-
out panel, pop-out window, or other similar means of egress in the event 
the door will not open, or shall be so designed as to pose a negligible 
probability of becoming inoperable in the event of car body distortion 
following a collision or derailment.
    (g) Door exits shall be marked, and instructions provided for their 
use, as required by Sec. 239.107(a) of this chapter.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19993, Apr. 23, 2002]



Sec. 238.441  Emergency roof entrance location.

    (a) Each passenger car and power car cab shall have a minimum of one 
roof hatch emergency entrance location with a minimum opening of 18 
inches by 24 inches, or at least one clearly marked structural weak 
point in the roof having a minimum opening of the same dimensions to 
provide quick access for properly equipped emergency response personnel.
    (b) Marking and instructions. [Reserved]

[[Page 591]]



Sec. 238.443  Headlights.

    (a) Each power car shall be equipped with at least two headlights. 
Each headlight shall produce no less than 200,000 candela. One headlight 
shall be arranged to illuminate a person standing between the rails 800 
feet ahead of the power car under clear weather conditions. The other 
headlight shall be arranged to illuminate a person standing between the 
rails 1,500 feet ahead of the power car under clear weather conditions.
    (b) A power car with a headlight not in compliance with the 
requirements of paragraph (a) of this section shall be moved in 
accordance with the following:
    (1) If one of the headlights is defective, the defect shall be 
considered a non-running gear defect subject to the provisions contained 
in Sec. 238.17 of this part.
    (2) If both headlights are defective, the power car shall be 
inspected and tagged in accordance with the requirements contained in 
Sec. 238.17(c) relating to non-running gear defects. The power car may 
continue to be used in passenger service only to the nearest forward 
location where the repairs necessary to bring the power car into 
compliance can be made or to the power car's next calendar day 
mechanical inspection, whichever occurs first.

[67 FR 19993, Apr. 23, 2002]



Sec. 238.445  Automated monitoring.

    (a) Each passenger train shall be equipped to monitor the 
performance of the following systems or components:
    (1) Reception of cab signals and train control signals;
    (2) Truck hunting;
    (3) Dynamic brake status;
    (4) Friction brake status;
    (5) Fire detection systems;
    (6) Head end power status;
    (7) Alerter or deadman control;
    (8) Horn and bell;
    (9) Wheel slide;
    (10) Tilt system, if so equipped; and
    (11) On-board bearing-temperature sensors, if so equipped.
    (b) When any such system or component is operating outside of its 
predetermined safety parameters:
    (1) The train operator shall be alerted; and
    (2) Immediate corrective action shall be taken, if the system or 
component defect impairs the train operator's ability to safely operate 
the train. Immediate corrective action includes limiting the speed of 
the train.
    (c) The monitoring system shall be designed with an automatic self-
test feature that notifies the train operator that the monitoring 
capability is functioning correctly and alerts the train operator when a 
system failure occurs.



Sec. 238.447  Train operator's controls and power car cab layout.

    (a) Train operator controls in the power car cab shall be arranged 
so as to minimize the chance of human error, and be comfortably within 
view and within easy reach when the operator is seated in the normal 
train control position.
    (b) The train operator's control panel buttons, switches, levers, 
knobs, and the like shall be distinguishable by sight and by touch.
    (c) An alerter shall be provided in the power car cab. If not 
acknowledged, the alerter shall cause a brake application to stop the 
train.
    (d) Power car cab information displays shall be designed with the 
following characteristics:
    (1) Simplicity and standardization shall be the driving criteria for 
design of formats for the display of information in the cab;
    (2) Essential, safety-critical information shall be displayed as a 
default condition;
    (3) Operator selection shall be required to display other than 
default information;
    (4) Cab or train control signals shall be displayed for the 
operator; and
    (5) Displays shall be readable from the operators's normal position 
under all lighting conditions.
    (e) The power car cab shall be designed so at to permit the crew to 
have an effective field of view in the forward direction, as well as to 
the right and left of the direction of travel to observe objects 
approaching the train from either side. Field-of-view obstructions due 
to required structural members shall be minimized.

[[Page 592]]

    (f) Each seat provided for an employee regularly assigned to occupy 
a power car cab and any floor-mounted seat in the cab shall be:
    (1) Secured to the car body with an attachment having an ultimate 
strength capable of withstanding the loads due to the following 
individually applied accelerations acting on the combined mass of the 
seat and the mass of a seat occupant who is a 95th-percentile adult 
male:
    (i) Longitudinal: 12g;
    (ii) Lateral: 4g; and
    (iii) Vertical: 4g;
    (2) Designed so that all adjustments have the range necessary to 
accommodate a person ranging from a 5th-percentile adult female to a 
95th-percentile adult male, as persons possessing such characteristics 
are specified, correcting for clothing as appropriate, in any recognized 
survey after 1958 of weight, height, and other body dimensions of U.S. 
adults;
    (3) Equipped with lumbar support that is adjustable from the seated 
position;
    (4) Equipped with force-assisted, vertical-height adjustment, 
operated from the seated position;
    (5) Equipped with a manually reclining seat back, adjustable from 
the seated position;
    (6) Equipped with an adjustable headrest; and
    (7) Equipped with folding, padded armrests.
    (g) Sharp edges and corners shall be eliminated from the interior of 
the power car cab, and interior surfaces of the cab likely to be 
impacted by an employee during a collision or derailment shall be padded 
with shock-absorbent material.

[[Page 593]]

 Figure 1 to Subpart E of Part 238--Power Car Cab Forward End Structure 
                        Conceptual Implementation
[GRAPHIC] [TIFF OMITTED] TR12MY99.000


[[Page 594]]



  Figure 2 to Subpart E of Part 238--Power Car Cab Rear End Structure 
                Conceptual Implementation1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR23AP02.006


[[Page 595]]



Figure 3 to Subpart E of Part 238--Trailer Car End Structure Conceptual 
                      Implementation1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR12MY99.002


[[Page 596]]



 Figure 4 to Subpart E of Part 238--Trailer Car In-Board Vestibule End 
           Structure Conceptual Implementation1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR12MY99.003



Subpart F--Inspection, Testing, and Maintenance Requirements for Tier II 
                           Passenger Equipment



Sec. 238.501  Scope.

    This subpart contains inspection, testing, and maintenance 
requirements for railroad passenger equipment that operates at speeds 
exceeding 125 mph but not exceeding 150 mph.



Sec. 238.503  Inspection, testing, and maintenance requirements.

    (a) General. Under the procedures provided in Sec. 238.505, each 
railroad shall obtain FRA approval of a written inspection, testing, and 
maintenance program for Tier II passenger equipment prior to 
implementation of that program and prior to commencing passenger 
operations using that equipment. As further specified in this section, 
the program shall describe in detail the procedures, equipment, and 
other means necessary for the safe operation of the passenger equipment, 
including:
    (1) Inspection procedures, intervals, and criteria;
    (2) Testing procedures and intervals;
    (3) Scheduled preventive-maintenance intervals;
    (4) Maintenance procedures;
    (5) Special testing equipment or measuring devices required to 
perform inspections, tests, and maintenance; and

[[Page 597]]

    (6) The training, qualification, and designation of employees and 
contractors to perform inspections, tests, and maintenance.
    (b) Compliance. After the railroad's inspection, testing, and 
maintenance program is approved by FRA under Sec. 238.505, the railroad 
shall adopt the program and shall perform--
    (1) The inspections and tests of power brakes and other primary 
brakes as described in the program;
    (2) The other inspections and tests described in the program in 
accordance with the procedures and criteria that the railroad identified 
as safety-critical; and
    (3) The maintenance tasks described in the program in accordance 
with the procedures and intervals that the railroad identified as 
safety-critical.
    (c) General safety inspection, testing, and maintenance procedures. 
The inspection, testing, and maintenance program under paragraph (a) of 
this section shall contain the railroad's written procedures to ensure 
that all systems and components of in service passenger equipment are 
free of any general condition that endangers the safety of the crew, 
passengers, or equipment. These procedures shall protect against:
    (1) A continuous accumulation of oil or grease;
    (2) Improper functioning of a component;
    (3) A crack, break, excessive wear, structural defect, or weakness 
of a component;
    (4) A leak;
    (5) Use of a component or system under a condition that exceeds that 
for which the component or system is designed to operate; and
    (6) Insecure attachment of a component.
    (d) Specific inspections. The program under paragraph (a) of this 
section shall specify that all Tier II passenger equipment shall receive 
thorough inspections in accordance with the following standards:
    (1) Except as provided in paragraph (d)(3) of this section, the 
equivalent of a Class I brake test contained in Sec. 238.313 shall be 
conducted prior to a train's departure from an originating terminal and 
every 1,500 miles or once each calendar day, whichever comes first, that 
the train remains in continuous service.
    (i) Class I equivalent brake tests shall be performed by a qualified 
maintenance person.
    (ii) Except as provided in Sec. 238.15(b), a railroad shall not use 
or haul a Tier II passenger train in passenger service from a location 
where a Class I equivalent brake test has been performed, or was 
required by this part to have been performed, with less than 100 percent 
operative brakes.
    (2) Except as provided in paragraph (d)(3) of this section, a 
complete exterior and interior mechanical inspection, in accordance with 
the railroad's inspection program, shall be conducted by a qualified 
maintenance person at least once during each calendar day the equipment 
is used in service.
    (3) Trains that miss a scheduled Class I brake test or mechanical 
inspection due to a delay en route may proceed to the point where the 
Class I brake test or mechanical inspection was scheduled to be 
performed.
    (e) Movement of trains with power brake defects. Movement of trains 
with a power brake defect as defined in Sec. 238.15 (any primary brake 
defect) shall be governed by Sec. 238.15.
    (f) Movement of trains with other defects. The movement of a train 
with a defect other than a power brake defect shall be conducted in 
accordance with Sec. 238.17, with the following exceptions:
    (1) The movement of a Tier II power car with a non-complying 
headlight shall be conducted in accordance with Sec. 238.443(b) of this 
part; and
    (2) When a failure of a secondary brake on a Tier II passenger train 
occurs en route, that train may remain in service until its next 
scheduled calendar day Class I brake test equivalent at a speed no 
greater than the maximum safe operating speed demonstrated through 
analysis and testing for braking with the friction brake alone. The 
brake system shall be restored to 100 percent operation before the train 
departs that inspection location.
    (g) Maintenance intervals. The program under paragraph (a) of this 
section shall include the railroad's initial scheduled maintenance 
intervals for

[[Page 598]]

Tier II equipment based on an analysis completed pursuant to the 
railroad's safety plan. The maintenance interval of a safety-critical 
component shall be changed only when justified by accumulated, 
verifiable operating data and approved by FRA under Sec. 238.505 before 
the change takes effect.
    (h) Training, qualification, and designation program. The program 
under paragraph (a) of this section shall describe the training, 
qualification, and designation program, as defined in the training 
program plan under Sec. 238.109, established by the railroad to qualify 
individuals to inspect, test, and maintain the equipment.
    (1) If the railroad deems it safety-critical, then only qualified 
individuals shall inspect, test, and maintain the equipment.
    (2) Knowledge of the procedures described in paragraph (a) of this 
section shall be required to qualify an employee or contractor to 
perform an inspection, testing, or maintenance task under this part.
    (i) Standard procedures. The program under paragraph (a) of this 
section shall include the railroad's written standard procedures for 
performing all safety-critical equipment inspection, testing, 
maintenance, and repair tasks necessary to ensure the safe and proper 
operation of the equipment. The inspection, testing, and maintenance 
program required by this section is not intended to address and should 
not include procedures to address employee working conditions that arise 
in the course of conducting the inspections, tests, and maintenance set 
forth in the program. When reviewing the railroad's program, FRA does 
not intend to review any portion of the program that relates to employee 
working conditions.
    (j) Annual review. The inspection, testing, and maintenance program 
required by this section shall be reviewed by the railroad annually.
    (k) Quality control program. Each railroad shall establish an 
inspection, testing, and maintenance quality control program enforced by 
railroad or contractor supervisors to reasonably ensure that 
inspections, tests, and maintenance are performed in accordance with 
Federal safety standards and the procedures established by the railroad.
    (l) Identification of safety-critical items. In the program under 
paragraph (a) of this section, the railroad shall identify all 
inspection and testing procedures and criteria as well as all 
maintenance intervals that the railroad deems to be safety-critical.

[64 25660, May 12, 1999, as amended at 67 FR 19994, Apr. 23, 2002]



Sec. 238.505  Program approval procedure.

    (a) Submission. Not less than 90 days prior to commencing passenger 
operations using Tier II passenger equipment, each railroad to which 
this subpart applies shall submit for approval an inspection, testing, 
and maintenance program for that equipment meeting the requirements of 
this subpart with the Associate Administrator for Safety, Federal 
Railroad Administration, 1120 Vermont Ave, Mail Stop 25, Washington, DC 
20590. If a railroad seeks to amend an approved program, the railroad 
shall file with FRA's Associate Administrator for Safety a petition for 
approval of such amendment not less than 60 days prior to the proposed 
effective date of the amendment. A program responsive to the 
requirements of this subpart or any amendment to the program shall not 
be implemented prior to FRA approval.
    (1) Each program or amendment under Sec. 238.503 shall contain:
    (i) The information prescribed in Sec. 238.503 for such program or 
amendment;
    (ii) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the program or 
amendment; and
    (iii) A statement affirming that the railroad has served a copy of 
the program or amendment on designated representatives of railroad 
employees, together with a list of the names and addresses of persons 
served.
    (2) Each railroad shall serve a copy of each submission to FRA on 
designated representatives of railroad employees responsible for the 
equipment's operation, inspection, testing, and maintenance under this 
subpart.
    (b) Comment. Not later than 45 days from the date of filing the 
program or

[[Page 599]]

amendment, any person may comment on the program or amendment.
    (1) Each comment shall set forth specifically the basis upon which 
it is made, and contain a concise statement of the interest of the 
commenter in the proceeding.
    (2) Three copies of each comment shall be submitted to the Associate 
Administrator for Safety, Federal Railroad Administration, 1120 Vermont 
Ave., Mail Stop 25, Washington, DC 20590.
    (3) The commenter shall certify that a copy of the comment was 
served on the railroad.
    (c) Approval.
    (1) Within 60 days of receipt of each initial inspection, testing, 
and maintenance program, FRA will conduct a formal review of the 
program. FRA will then notify the primary railroad contact person and 
the designated employee representatives in writing whether the 
inspection, testing, and maintenance program is approved and, if not 
approved, the specific points in which the program is deficient. If a 
program is not approved by FRA, the railroad shall amend its program to 
correct all deficiencies and resubmit its program with the required 
revisions not later than 45 days prior to commencing passenger 
operations.
    (2) FRA will review each proposed amendment to the program within 45 
days of receipt. FRA will then notify the primary railroad contact 
person and the designated employee representatives in writing whether 
the proposed amendment has been approved by FRA and, if not approved, 
the specific points in which the proposed amendment is deficient. The 
railroad shall correct any deficiencies and file the corrected amendment 
prior to implementing the amendment.
    (3) Following initial approval of a program or amendment, FRA may 
reopen consideration of the program or amendment for cause stated.



 Subpart G--Specific Safety Planning Requirements for Tier II Passenger 
                                Equipment



Sec. 238.601  Scope.

    This subpart contains specific safety planning requirements for the 
operation of Tier II passenger equipment, procurement of Tier II 
passenger equipment, and the introduction or major upgrade of new 
technology in existing Tier II passenger equipment that affects a safety 
system on such equipment.



Sec. 238.603  Safety planning requirements.

    (a) Prior to commencing revenue service operation of Tier II 
passenger equipment, each railroad shall prepare and execute a written 
plan for the safe operation of such equipment. The plan may be combined 
with any other plan required under this part. The plan shall be updated 
at least every 365 days. At a minimum, the plan shall describe the 
approaches and processes to:
    (1) Identify all requirements necessary for the safe operation of 
the equipment in its operating environment;
    (2) Identify all known or potential hazards to the safe operation of 
the equipment;
    (3) Eliminate or reduce the risk posed by each hazard identified to 
an acceptable level using a formal safety methodology such as MIL-STD-
882; and
    (4) Impose operational limitations, as necessary, on the operation 
of the equipment if the equipment cannot meet safety requirements.
    (b) For the procurement of Tier II passenger equipment, and for each 
major upgrade or introduction of new technology in existing Tier II 
passenger equipment that affects a safety system on such equipment, each 
railroad shall prepare and execute a written safety plan. The plan may 
be combined with any other plan required under this part. The plan shall 
describe the approaches and processes to:
    (1) Identify all safety requirements governing the design of the 
passenger equipment and its supporting systems;
    (2) Evaluate the total system, including hardware, software, 
testing, and support activities, to identify known or potential safety 
hazards over the life cycle of the equipment;
    (3) Identify safety issues during design reviews;

[[Page 600]]

    (4) Eliminate or reduce the risk posed by each hazard identified to 
an acceptable level using a formal safety methodology such as MIL-STD-
882;
    (5) Monitor the progress in resolving safety issues, reducing 
hazards, and meeting safety requirements;
    (6) Develop a program of testing or analysis, or both, to 
demonstrate that safety requirements have been met; and
    (7) Impose operational limitations, as necessary, on the operation 
of the equipment if the equipment cannot meet safety requirements.
    (c) Each railroad shall maintain sufficient documentation to 
demonstrate how the operation and design of its Tier II passenger 
equipment complies with safety requirements or, as appropriate, 
addresses safety requirements under paragraphs (a)(4) and (b)(7) of this 
section. Each railroad shall maintain sufficient documentation to track 
how safety issues are raised and resolved.
    (d) Each railroad shall make available to FRA for inspection and 
copying upon request each safety plan required by this section and any 
documentation required pursuant to such plan.

[64 25660, May 12, 1999, as amended at 67 FR 19994, Apr. 23, 2002]

         Appendix A to Part 238--Schedule of Civil Penalties\1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
              SUBPART A--GENERAL
 
238.15 Movement of power brake defects:
    (b) Improper movement from Class I or IA          5,000        7,500
     brake test...............................
    (c) Improper movement of en route defect..        2,500        5,000
        (2), (3) Insufficient tag or record...        1,000        2,000
        (4) Failure to determine percent              2,500        5,000
         operative brake......................
    (d) Failure to follow operating                   5,000        7,500
     restrictions.............................
    (e) Failure to follow restrictions for            2,500        5,000
     inoperative front or rear unit...........
238.17 Movement of other than power brake
 defects: \1\
    (c)(4), (5) Insufficient tag or record....        1,000        2,000
    (d) Failure to inspect or improper use of         2,500        5,000
     roller bearings..........................
    (e) Improper movement of defective safety           (1)
     appliances...............................
238.19 Reporting and tracking defective
 equipment:
    (a) Failure to have reporting or tracking         7,500       11,000
     system...................................
    (b) Failure to retain records.............        2,000        4,000
    (c) Failure to make records available.....        1,000        2,000
    (d) Failure to list power brake repair            2,000        4,000
     points...................................
 
    SUBPART B--SAFETY PLANNING AND GENERAL
                 REQUIREMENTS
 
238.103 Fire protection plan/fire safety:
    (a) Failure to use proper materials.......        5,000        7,500
    (b) Improper certification................        1,000        2,000
    (c) Failure to consider fire safety on new        5,000        7,500
     equipment................................
    (d) Failure to perform fire safety                5,000        7,500
     analysis.................................
    (e) Failure to develop, adopt or comply           5,000        7,500
     with procedures..........................
238.105 Train electronic hardware and software
 safety:
    (a), (b), (c) Failure to develop and              7,500       11,000
     maintain hardware and software safety....
    (d) Failure to include required design            5,000        7,500
     features.................................
    (e) Failure to comply with hardware and           5,000        7,500
     software safety program..................
238.107 Inspection, testing, and maintenance
 plan:
    (b) Failure to develop plan...............        7,500       11,000
    (b)(1)-(5) Failure of plan to address             3,000        6,000
     specific item............................
    (d) Failure to conduct annual review......        5,000        7,500
238.109 Training, qualification, and
 designation program:
    (a) Failure to develop or adopt program...        7,500       11,000
    (b)(1)-(4) Failure of plan to address             3,000        6,000
     specific item............................
    (b)(5)-(12) Failure to comply with                5,000        7,500
     specific required provision of the
     program..................................
    (b)(13) Failure to maintain adequate              2,500        5,000
     records..................................
238.111 Pre-revenue service acceptance testing
 plan:
    (a) Failure to properly test previously           7,500       11,000
     used equipment...........................
    (b)(1) Failure to develop plan............        7,500       11,000
    (b)(2) Failure to submit plan to FRA......        5,000        7,500
    (b)(3) Failure to comply with plan........        5,000        7,500
    (b)(4) Failure to document results of             5,000        7,500
     testing..................................
    (b)(5) Failure to correct safety                  5,000        7,500
     deficiencies or impose operating limits..
    (b)(6) Failure to maintain records........        3,000        6,000
    (b)(7) Failure to obtain FRA approval.....        5,000        7,500

[[Page 601]]

 
238.113 Emergency window exits................        2,500        5,000
238.115 Emergency lighting....................        2,500        5,000
238.117 Protection against personal injury....        2,500        5,000
238.119 Rim-stamped straight plate wheels.....        2,500        5,000
 
  SUBPART C--SPECIFIC REQUIREMENTS FOR TIER I
                   EQUIPMENT
 
238.203 Static end strength...................        2,500        5,000
238.205 Anti-climbing mechanism...............        2,500        5,000
238.207 Link between coupling mechanism and           2,500        5,000
 car body.....................................
238.209 Forward-facing end structure of               2,500        5,000
 locomotives..................................
238.211 Collision posts.......................        2,500        5,000
238.213 Corner posts..........................        2,500        5,000
238.215 Rollover strength.....................        2,500        5,000
238.217 Side structure........................        2,500        5,000
238.219 Truck-to-car-body attachment..........        2,500        5,000
238.221 Glazing...............................        2,500        5,000
238.223 Fuel tanks............................        2,500        5,000
238.225 Electrical System.....................        2,500        5,000
238.227 Suspension system.....................        2,500        5,000
238.231 Brake System (a)-(g), (i)-(n).........        2,500        5,000
    (h)(1), (2) Hand or parking brake missing         5,000        7,500
     or inoperative...........................
    (h)(3) Hand or parking brake not applied          5,000        7,500
     to hold equipment unattended on grade or
     prematurely released.....................
238.233 Interior fittings and surfaces........        2,500        7,500
238.235 Doors.................................        2,500        5,000
238.237 Automated monitoring..................        2,500        5,000
 
      SUBPART D--INSPECTION, TESTING, AND
 MAINTENANCE REQUIREMENTS FOR TIER I EQUIPMENT
 
238.303 Exterior mechanical inspection of
 passenger equipment:
    (a)(1) Failure to perform mechanical          \1\ 2,000        4,000
     inspection...............................
    (a)(2) Failure to inspect secondary brake         2,500        5,000
     system...................................
    (b) Failure to perform inspection on car      \1\ 2,000        4,000
     added to train...........................
    (c) Failure to utilize properly qualified         2,000        4,000
     personnel................................
    (e)(1) Products of combustion not released        2,500        5,000
     outside cab..............................
    (e)(2) Battery not vented or gassing              2,500        5,000
     excessively..............................
    (e)(3) Coupler not in proper condition....        2,500        5,000
    (e)(4) No device under drawbar pins or            2,500        5,000
     connection pins..........................
    (e)(5) Suspension system and spring               2,500        5,000
     rigging not in proper condition..........
    (e)(6) Truck not in proper condition......        2,500        5,000
    (e)(7) Side bearing not in proper                 2,500        5,000
     condition................................
    (e)(8) Wheel not in proper condition:
      (i), (iv) Flat spot(s) and shelled
       spot(s):
          (A) One spot 2\1/2\ or           2,500        5,000
           more but less than 3 in
           length.............................
          (B) One spot 3 or more in        5,000        7,500
           length.............................
          (C) Two adjoining spots each of             2,500        5,000
           which is 2 or more in
           length but less than 2\1/2\ in length......................
          (D) Two adjoining spots each of             5,000        7,500
           which are at least 2 in
           length, if either spot is 2\1/
           2\7 or more in length...
      (ii) Gouge or chip in flange:
          (A) More than 1\1/2\ but         2,500        5,000
           less than 1\5/8\ in
           length; and more than \1/2\ but less than \5/8\
           in width...........................
          (B) 1\5/8\ or more in            5,000        7,500
           length and \5/8\ or more
           in width...........................
      (iii) Broken rim........................        5,000        7,500
      (v) Seam in tread.......................        2,500        5,000
      (vi) Flange thickness of:                       2,500        5,000
          (A) \7/8\ or less but
           more than..........................
          (B) \13/16\ or less......        5,000        7,500
      (vii) Tread worn hollow.................        2,500        5,000
      (viii) Flange height of:
          (A) 1\1/2\ or greater but        2,500        5,000
           less than 1\5/8\........
          (B) 1\5/8\ or more.......        5,000        7,500
      (ix) Rim thickness:
          (A) Less than 1..........        2,500        5,000
          (B) \15/16\ or less......        5,000        7,500
      (x) Crack or break in flange, tread,
       rim, plate, or hub:
          (A) Crack of less than 1.        2,500        5,000
          (B) Crack of 1 or more...        5,000        7,500
          (C) Break...........................        5,000        7,500
      (xi) Loose wheel........................        5,000        7,500
      (xii) Welded wheel......................        5,000        7,500
    (e)(10) Improper grounding or insulation..        5,000        7,500
    (e)(11) Jumpers or cable connections not          2,500        5,000
     in proper condition......................

[[Page 602]]

 
    (e)(12) Door or cover plate not properly          2,500        5,000
     marked...................................
    (e)(13) Buffer plate not properly placed..        2,500        5,000
    (e)(14) Diaphragm not properly placed or          2,500        5,000
     aligned..................................
    (e)(15) Secondary braking system not in           2,500        5,000
     operating mode or contains known defect..
    (e)(16) Roller bearings:
        (i) Overheated........................        5,000        7,500
        (ii) Cap screw loose or missing.......        2,500        5,000
        (iii) Cap screw lock broken or missing        1,000        2,000
        (iv) Seal loose, damaged, or leaks            2,500        5,000
         lubricant............................
    (g) Record of inspection:
        (1), (4) Failure to maintain record of        5,000        4,000
         inspection...........................
        (2) Record contains insufficient              1,000        2,000
         information..........................
238.305 Interior mechanical inspection of
 passenger cars:
    (a) Failure to perform inspection.........    \1\ 1,000        2,000
    (b) Failure to utilize properly qualified         1,000        2,000
     personnel................................
    (c)(1) Failure to protect against personal        2,500        5,000
     injury...................................
    (c)(2) Floors not free of condition that          2,500        5,000
     creates hazard...........................
    (c)(3) Access to manual door release not          2,000        4,000
     in place.................................
    (c)(4) Emergency equipment not in place...        1,000        2,000
    (c)(5) Emergency brake valve not stenciled        2,500        5,000
     or marked................................
    (c)(6) Door or cover plates not properly          2,500        5,000
     marked...................................
    (c)(7) Safety signage not in place or             1,000        2,000
     legible..................................
    (c)(8) Trap door unsafe or improperly             2,500        5,000
     secured..................................
    (c)(9) Vestibule steps not illuminated....        2,000        4,000
    (c)(10) Door not safely operate as                2,500        5,000
     intended.................................
    (c)(11) Seat broken, loose, or not                2,500        5,000
     properly attached........................
    (e) Record of inspection:
        (1), (4) Failure to maintain record of        2,000        4,000
         inspection...........................
        (2) Record contains insufficient              1,000        1,000
         information..........................
    (f) Record of inspection:
        (1), (4) Failure to maintain record of        2,000        4,000
         inspection...........................
        (2) Record contains insufficient              1,000        2,000
         information..........................
238.307 Periodic mechanical inspection of
 passenger cars and unpowered vehicles:
    (a) Failure to perform periodic mechanical    \1\ 2,500        5,000
     inspection...............................
    (b) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (c)(1) Seat or seat attachment broken or          2,500        5,000
     loose....................................
    (c)(2) Luggage rack broken or loose.......        2,500        5,000
    (c)(3) Bed, bunks, or restraints broken or        2,500        5,000
     loose....................................
    (c)(4) Emergency window exit not properly         2,500        5,000
     operate..................................
    (c)(5) Emergency lighting not operational.        2,500        5,000
    (c)(6) Switches not in proper condition...        2,500        5,000
    (c)(7) Coupler not in proper condition....        2,500        5,000
    (c)(8) Truck not equipped with securing           2,500        5,000
     arrangement..............................
    (c)(9) Truck center casting cracked or            5,000        7,500
     broken...................................
    (c)(10) General conditions endangering            2,500        5,000
     crew, passengers.........................
    (d) Manual door release not operate as            2,500        5,000
     intended.................................
    (d)(1) Seat or seat attachment broken or          2,500        5,000
     loose....................................
    (d)(2) Luggage rack broken or loose.......        2,500        5,000
    (d)(3) Bed, bunks, or restraints broken or        2,500        5,000
     loose....................................
    (d)(4) Emergency window exit not properly         2,500        5,000
     operate..................................
    (d)(5) Coupler not in proper condition....        2,500        5,000
    (e)(1) Failure to maintain record of              2,000        4,000
     inspection...............................
        (i)-(iv) Record contains insufficient         1,000        2,000
         information..........................
    (f)(1) Record of inspection:
        (i) Failure to maintain record of             2,000        4,000
         inspection...........................
        (ii) Record contains insufficient             1,000        2,000
         information..........................
238.309 Periodic brake equipment maintenance:
    (b) Failure to perform on MU locomotive...        2,500        5,000
    (c) Failure to perform on conventional            2,500        5,000
     locomotive...............................
    (d) Failure to perform on passenger               2,500        5,000
     coaches or other unpowered vehicle.......
    (e) Failure to perform on cab car.........        2,500        5,000
    (f) Record of periodic maintenance:
        (1), (2) Failure to maintain record or        2,000        4,000
         stencil..............................
 238.311 Single car tests:
    (a) Failure to test in accord with                2,500        5,000
     required procedure.......................
    (b) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (c), (e) Failure to perform single car            2,500        5,000
     test.....................................
    (f) Improper movement of car for testing..        2,000        4,000
    (g) Failure to test after repair or               2,000        4,000
     replacement of component.................
238.313 Class I brake test:
    (a) Failure to perform on commuter or        \1\ 10,000       15,000
     short distance intercity passenger train.
    (b) Failure to perform on long-distance      \1\ 10,000       15,000
     intercity passenger train................
    (c) Failure to perform on cars added to       \1\ 5,000        7,500
     passenger train..........................

[[Page 603]]

 
    (d) Failure to utilized properly qualified        5,000        7,500
     personnel................................
    (f) Passenger train used from Class I             5,000        7,500
     brake test with less than 100% operative
     brakes...................................
    (g) Partial failure to perform inspection         5,000        7,500
     on a passenger train.....................
        (3) Failure to adjust piston travel           2,500        5,000
         (per car)............................
    (h) Failure to maintain record............        2,000        4,000
238.315 Class IA brake test:
    (a) Failure to perform inspection.........    \1\ 5,000        7,500
    (d) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (e) Passenger train used from Class IA            5,000        7,500
     brake test with improper percentage of
     operative brakes.........................
    (f) Partial failure to perform inspection         2,500        5,000
     on passenger train.......................
238.317 Class II brake test:
    (a) Failure to perform inspection.........    \1\ 2,500        5,000
    (b) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (c) Improper use of defective equipment           2,500        5,000
     from Class II brake test.................
238.319 Running brake tests:
    (a), (b) Failure to perform test..........        2,000        4,000
 
 SUBPART E--SPECIFIC REQUIREMENTS FOR TIER II
              PASSENGER EQUIPMENT
 
238.403 Crash energy management...............        2,500        5,000
238.405 Longitudinal static compressive               2,500        5,000
 strength.....................................
238.407 Anti-climbing mechanism...............        2,500        5,000
238.409 Forward end structures of power car
 cabs:
    (a) Center collision post.................        2,500        5,000
    (b) Side collision posts..................        2,500        5,000
    (c) Corner posts..........................        2,500        5,000
    (d) Skin..................................        2,500        5,000
238.411 Rear end structures of power car cabs:
    (a) Corner posts..........................        2,500        5,000
    (b) Collision posts.......................        2,500        5,000
238.413 End structures of trailer cars........        2,500        5,000
238.415 Rollover strength.....................        2,500        5,000
238.417 Side loads............................        2,500        5,000
238.419 Truck-to-car-body and truck component         2,500        5,000
 attachment...................................
238.421 Glazing:
    (b) End-facing exterior glazing...........        2,500        5,000
    (c) Alternate glazing requirements........        2,500        5,000
    (d) Glazing securement....................        1,000        2,000
    (e) Stenciling............................        2,500        5,000
238.423 Fuel tanks:
    (a) External fuel tanks...................        2,500        5,000
    (b) Internal fuel tanks...................        2,500        5,000
238.425 Electrical system:
    (a) Circuit protection....................        2,500        5,000
    (b) Main battery system...................        2,500        5,000
    (c) Power dissipation resistors...........        2,500        5,000
    (d) Electromagnetic interference and              2,500        5,000
     compatibility............................
238.427 Suspension system.....................        2,500        5,000
238.429 Safety Appliances:
    (a) Couplers..............................        5,000        7,500
    (b) Hand/parking brakes...................        5,000        7,500
    (d) Handrail and handhold missing.........        2,500        5,000
        (d)(1)-(8) Handrail or handhold               2,500        5,000
         improper design......................
    (e) Sill step missing.....................        5,000        7,500
        (e)(1)-(11) Sill step improper design.        2,500        5,000
    (g) Optional safety appliances............        2,500        5,000
238.431 Brake system..........................        2,500        5,000
238.433 Draft System..........................        2,500        5,000
238.435 Interior fittings and surfaces........        2,500        5,000
238.437 Emergency communication...............        2,500        5,000
238.439 Doors:
    (a) Exterior side doors...................        2,500        5,000
    (b) Manual override feature...............        2,500        5,000
    (c) Notification to crew of door status...        2,500        5,000
    (d) Emergency back-up power...............        2,500        5,000
    (f) End door kick-out panel or pop-out            2,500        5,000
     window...................................
    (g) Marking and instructions..............   [Reserved]
238.441 Emergency roof hatch entrance location        2,500        5,000
238.443 Headlights............................        2,500        5,000
238.445 Automated monitoring..................        2,500        5,000
238.447 Train operator's controls and power           2,500        5,000
 car cab layout...............................
 
      SUBPART F--INSPECTION, TESTING, AND
MAINTENANCE REQUIREMENTS FOR TIER II PASSENGER
                   EQUIPMENT
 
238.503 Inspection, testing, and maintenance
 requirements:

[[Page 604]]

 
    (a) Failure to develop inspection,               10,000       15,000
     testing, and maintenance program or
     obtain FRA approval......................
    (b) Failure to comply with provisions of          5,000        7,500
     the program..............................
    (c) Failure to ensure equipment free of           2,500        5,000
     conditions which endanger safety of crew,
     passengers, or equipment.................
    (d) Specific safety inspections:
        (1)(i) Failure to perform Class I            10,000       15,000
         brake test or equivalent.............
        (1)(ii) Partial failure to perform            5,000        7,500
         Class I brake test or equivalent.....
        (2)(i) Failure to perform exterior        \1\ 2,000        4,000
         mechanical inspection................
        (2)(ii) Failure to perform interior       \1\ 1,000        2,000
         mechanical inspection................
    (g) Failure to perform scheduled                  2,500        5,000
     maintenance as required in program.......
    (h) Failure to comply with training,              5,000        7,500
     qualification and designation program....
    (i) Failure to develop or comply with             2,500        5,000
     standard procedures for performing
     inspection, tests, and maintenance.......
    (j) Failure to conduct annual review......        5,000        7,500
    (k) Failure to establish or utilize               5,000        7,500
     quality control program..................
 
      SUBPART G--SPECIFIC SAFETY PLANNING
 REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT
238.603 Safety plan:
    (a) Failure to develop safety operating           7,500       11,000
     plan.....................................
    (b) Failure to develop procurement plan...        7,500       11,000
        (1)-(7) Failure to develop portion of         2,500        5,000
         plan.................................
        (c) Failure to maintain documentation.        2,500        5,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation Generally when two or more violations of these regulations
  are discovered with respect to a single unit of passenger equipment
  that is placed or continued in service by a railroad, the appropriate
  penalties set forth above are aggregated up to a maximum of $10,000
  per day. However, failure to perform, with respect to a particular
  unit of passenger equipment, any of the inspections and tests required
  under subparts D and F of this part will be treated as a violation
  separate and distinct from, and in addition to, any substantive
  violative conditions found on that unit of passenger equipment.
  Moreover, the Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. Failure to observe any condition for
  movement of defective equipment set forth in Sec.  238.17 will deprive
  the railroad of the benefit of the movement-for-repair provision and
  make the railroad and any responsible individuals liable for penalty
  under the particular regulatory section(s) concerning the substantive
  defect(s) present on the unit of passenger equipment at the time of
  movement Failure to observe any condition for the movement of
  passenger equipment containing defective safety appliances, other than
  power brakes, set forth in Sec.  238.17(e) will deprive the railroad
  of the movement-for-repair provision and make the railroad and any
  responsible individuals liable for penalty under the particular
  regulatory section(s) contained in part 231 of this chapter or Sec.
  238.429 concerning the substantive defective condition. The penalties
  listed for failure to perform the exterior and interior mechanical
  inspections and tests required under Sec.  238.303 and Sec.  238.305
  may be assessed for each unit of passenger equipment contained in a
  train that is not properly inspected Whereas, the penalties listed for
  failure to perform the brake inspections and tests under Sec.  238.313
  through Sec.  238.319 may be assessed for each train that is not
  properly inspected.


[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 
FR 19994, Apr. 23, 2002]]

 Appendix B to Part 238--Test Methods and Performance Criteria for the 
  Flammability and Smoke Emission Characteristics of Materials Used in 
                   Passenger Cars and Locomotive Cabs

    This appendix contains the test methods and performance criteria for 
the flammability and smoke emission characteristics of materials used in 
passenger cars and locomotive cabs, in accordance with the requirements 
of Sec. 238.103.
    (a) Incorporation by reference.
    Certain documents are incorporated by reference into this appendix 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. You may inspect a copy of each 
document during normal business hours at the Federal Railroad 
Administration, Docket Clerk, 1120 Vermont Ave., N.W., Suite 7000 or at 
the Office of the Federal Register, 800 North Capitol Street, N.W., 
Suite 700, Washington, D.C. The documents incorporated by reference into 
this appendix and the sources from which you may obtain these documents 
are listed below:
    (1) American Society for Testing and Materials (ASTM), 100 Barr 
Harbor Dr., West Conshohocken, PA 19428-2959.
    (i) ASTM C 1166-00, Standard Test Method for Flame Propagation of 
Dense and Cellular Elastomeric Gaskets and Accessories.
    (ii) ASTM D 2724-87, Standard Test Methods for Bonded, Fused, and 
Laminated Apparel Fabrics.
    (iii) ASTM D 3574-95, Standard Test Methods for Flexible Cellular 
Materials-Slab, Bonded, and Molded Urethane Foams.
    (iv) ASTM D 3675-98, Standard Test Method for Surface Flammability 
of Flexible Cellular Materials Using a Radiant Heat Energy Source.
    (v) ASTM E 119-00a, Standard Test Methods for Fire Tests of Building 
Construction and Materials.
    (vi) ASTM E 162-98, Standard Test Method for Surface Flammability of 
Materials Using a Radiant Heat Energy Source.
    (vii) ASTM E 648-00, Standard Test Method for Critical Radiant Flux 
of Floor-Covering

[[Page 605]]

Systems Using a Radiant Heat Energy Source.
    (viii) ASTM E 662-01, Standard Test Method for Specific Optical 
Density of Smoke Generated by Solid Materials.
    (ix) ASTM E 1354-99, Standard Test Method for Heat and Visible Smoke 
Release Rates for Materials and Products Using an Oxygen Consumption 
Calorimeter.
    (x) ASTM E 1537-99, Standard Test Method for Fire Testing of 
Upholstered Furniture.
    (xi) ASTM E 1590-01, Standard Test Method for Fire Testing of 
Mattresses.
    (2) General Services Administration, Federal Supply Service, 
Specification Section, 470 E. L'Enfant Plaza, S.W., Suite 8100, 
Washington, D.C., 20407. FED-STD-191A-Textile Test Method 5830, Leaching 
Resistance of Cloth; Standard Method (July 20, 1978).
    (3) State of California, Department of Consumer Affairs, Bureau of 
Home Furnishings and Thermal Insulation, 3485 Orange Grove Avenue, North 
Highlands, CA 95660-5595.
    (i) California Technical Bulletin (Cal TB) 129, Flammability Test 
Procedure for Mattresses for Use in Public Buildings (October, 1992).
    (ii) Cal TB 133, Flammability Test Procedure for Seating Furniture 
for Use in Public Occupancies (January, 1991).
    (b) Definitions. As used in this appendix--
    Average heat release rate (q//180) means, as 
defined in ASTM E 1354-99, the average heat release rate per unit area 
in the time period beginning at the time of ignition and ending 180 
seconds later.
    Critical radiant flux (C.R.F.) means, as defined in ASTM E 648-00, a 
measure of the behavior of horizontally-mounted floor covering systems 
exposed to a flaming ignition source in a graded radiant heat energy 
environment in a test chamber.
    Flame spread index (Is) means, as defined in ASTM E 162-
98, a factor derived from the rate of progress of the flame front 
(Fs) and the rate of heat liberation by the material under 
test (Q), such that Is = Fs x Q.
    Flaming dripping means periodic dripping of flaming material from 
the site of material burning or material installation.
    Flaming running means continuous flaming material leaving the site 
of material burning or material installation.
    Heat release rate means, as defined in ASTM E 1354-99, the heat 
evolved from a specimen per unit of time.
    Specific extinction area ([sigma]f) means, as defined in 
ASTM E 1354-99, specific extinction area for smoke.
    Specific optical density (Ds) means, as defined in ASTM E 
662-01, the optical density measured over unit path length within a 
chamber of unit volume, produced from a specimen of unit surface area, 
that is irradiated by a heat flux of 2.5 watts/cm2 for a 
specified period of time.
    Surface flammability means the rate at which flames will travel 
along surfaces.
    (c) Required test methods and performance criteria. The materials 
used in locomotive cabs and passenger cars shall be tested according to 
the methods and meet the performance criteria set forth in the following 
table and notes:

[[Page 606]]

[GRAPHIC] [TIFF OMITTED] TR25JN02.000

    \1\ Materials tested for surface flammability shall not exhibit any 
flaming running or dripping.
    \2\ The ASTM E 662-01 maximum test limits for smoke emission 
(specific optical density) shall be measured in either the flaming or

[[Page 607]]

non-flaming mode, utilizing the mode which generates the most smoke.
    \3\ Testing of a complete seat assembly (including cushions, fabric 
layers, upholstery) according to ASTM E 1537-99 using the pass/fail 
criteria of Cal TB 133, and testing of a complete mattress assembly 
(including foam and ticking) according to ASTM E 1590-01 using the pass/
fail criteria of Cal TB 129 shall be permitted in lieu of the test 
methods prescribed herein, provided the assembly component units remain 
unchanged or new (replacement) assembly components possess equivalent 
fire performance properties to the original components tested. A fire 
hazard analysis must also be conducted that considers the operating 
environment within which the seat or mattress assembly will be used in 
relation to the risk of vandalism, puncture, cutting, or other acts 
which may expose the individual components of the assemblies to an 
ignition source. Notes 5, 6, 7, and 8 apply.
    \4\ Testing is performed without upholstery.
    \5\ The surface flammability and smoke emission characteristics 
shall be demonstrated to be permanent after dynamic testing according to 
ASTM D 3574-95, Test I 2 (Dynamic Fatigue Test by the Roller 
Shear at Constant Force) or Test I 3 (Dynamic Fatigue Test by 
Constant Force Pounding) both using Procedure B, except that the test 
samples shall be a minimum of 6 inches (154 mm) by 18 inches (457 mm) by 
the thickness of the material in its end use configuration, or multiples 
thereof. If Test I 3 is used, the size of the indentor 
described in paragraph 96.2 shall be modified to accommodate the 
specified test specimen.
    \6\ The surface flammability and smoke emission characteristics 
shall be demonstrated to be permanent by washing, if appropriate, 
according to FED-STD-191A Textile Test Method 5830.
    \7\ The surface flammability and smoke emission characteristics 
shall be demonstrated to be permanent by dry-cleaning, if appropriate, 
according to ASTM D 2724-87.
    \8\ Materials that cannot be washed or dry-cleaned shall be so 
labeled and shall meet the applicable performance criteria after being 
cleaned as recommended by the manufacturer.
    \9\ Signage is not required to meet any flammability or smoke 
emission performance criteria specified in this Appendix.
    \10\ Materials used to fabricate miscellaneous, discontinuous small 
parts (such as knobs, rollers, fasteners, clips, grommets, and small 
electrical parts) that will not contribute materially to fire growth in 
end use configuration are exempt from flammability and smoke emission 
performance requirements, provided that the surface area of any 
individual small part is less than 16 square inches (100 cm2) 
in end use configuration and an appropriate fire hazard analysis is 
conducted which addresses the location and quantity of the materials 
used, and the vulnerability of the materials to ignition and 
contribution to flame spread.
    \11\ If the surface area of any individual small part is less than 
16 square inches (100 cm2) in end use configuration, 
materials used to fabricate such a part may be tested in accordance with 
ASTM E 1354-99 as an alternative to both (a) the ASTM E 162-98 
flammability test procedure, or the appropriate flammability test 
procedure otherwise specified in the table, and (b) the ASTM E 662-01 
smoke generation test procedure. Testing shall be at 50 kW/m 
2 applied heat flux with a retainer frame. Materials tested 
in accordance with ASTM E 1354-99 shall meet the following performance 
criteria: average heat release rate (q// 180) less 
than or equal to 100 kW/m\2\, and average specific extinction area 
([sigma]f) less than or equal to 500 m2/kg over 
the same 180-second period.
    \12\ Carpeting used as a wall or ceiling covering shall be tested 
according to ASTM E 162-98 and ASTM E 662-01 and meet the respective 
criteria of I s less than or equal to 35 and D s 
(1.5) less than or equal to 100 and D s (4.0) less than or 
equal to 200. Notes 1 and 2 apply.
    \13\ Floor covering shall be tested with padding in accordance with 
ASTM E 648-00, if the padding is used in the actual installation.
    \14\ For double window glazing, only the interior glazing is 
required to meet the requirements specified herein. (The exterior 
glazing is not required to meet these requirements.)
    \15\ Penetrations (ducts, etc.) shall be designed against acting as 
passageways for fire and smoke and representative penetrations shall be 
included as part of test assemblies.
    \16\ A structural flooring assembly separating the interior of a 
vehicle from its undercarriage shall meet the performance criteria 
during a nominal test period as determined by the railroad. The nominal 
test period must be twice the maximum expected time period under normal 
circumstances for a vehicle to stop completely and safely from its 
maximum operating speed, plus the time necessary to evacuate all the 
vehicle's occupants to a safe area. The nominal test period must not be 
less than 15 minutes. Only one specimen need be tested. A proportional 
reduction may be made in the dimensions of the specimen provided it 
serves to truly test the ability of the structural flooring assembly to 
perform as a barrier against under-vehicle fires. The fire resistance 
period required shall be consistent with the safe evacuation of a full 
load of passengers from the vehicle under worst-case conditions.
    \17\ Portions of the vehicle body which separate major ignition 
sources, energy sources, or sources of fuel-load from vehicle interiors, 
shall have sufficient fire endurance as determined by a fire hazard 
analysis acceptable to

[[Page 608]]

the railroad which addresses the location and quantity of the materials 
used, as well as vulnerability of the materials to ignition, flame 
spread, and smoke generation. These portions include equipment carrying 
portions of a vehicle's roof and the interior structure separating the 
levels of a bi-level car, but do not include a flooring assembly subject 
to Note 16. A railroad is not required to use the ASTM E 119-00a test 
method.

[67 FR 42910, June 25, 2002]

 Appendix C to Part 238--Suspension System Safety Performance Standards

    This appendix contains the minimum suspension system safety 
performance standards for Tier II passenger equipment as required by 
Sec. 238.427. These requirements shall be the basis for evaluating 
suspension system safety performance until an industry standard 
acceptable to FRA is developed and approved under the procedures 
provided in Sec. 238.21.
    (a) Passenger equipment suspension systems shall be designed to 
limit the lateral and vertical forces and lateral to vertical (L/V) 
ratios, for the time duration required to travel five feet at any 
operating speed or over any class of track, under all operating 
conditions as determined by the railroad, as follows:
    (1) The maximum single wheel lateral to vertical force (L/V) ratio 
shall not exceed Nadal's limit as follows:
[GRAPHIC] [TIFF OMITTED] TR12MY99.005

where: [delta]=flange angle (deg).
[mu]=coefficient of friction of 0.5.

    (2) The net axle lateral force shall not exceed 0.5 times the static 
vertical axle load.
    (3) The vertical wheel/rail force shall not be less than or equal to 
10 percent of the static vertical wheel load.
    (4) The sum of the vertical wheel loads on one side of any truck 
shall not be less than or equal to 20 percent of the static vertical 
axle load. This shall include the effect of a crosswind allowance as 
specified by the railroad for the intended service.
    (5) The maximum truck side L/V ratio shall not exceed 0.6.
    (6) When stopped on track with a uniform 6-inch superelevation, 
vertical wheel loads, at all wheels, shall not be less than or equal to 
60 percent of the nominal vertical wheel load on level track.
    (b) For purposes of this appendix, wheel/rail force measurements 
shall be processed through a low pass filter having a cut-off frequency 
of 25 Hz.

 Appendix D to Part 238--Requirements for External Fuel Tanks on Tier I 
                               Locomotives

    The requirements contained in this appendix are intended to address 
the structural and puncture resistance properties of the locomotive fuel 
tank to reduce the risk of fuel spillage to acceptable levels under 
derailment and minor collision conditions.
    (a) Structural strength.
    (1) Load case 1--minor derailment. The end plate of the fuel tank 
shall support a sudden loading of one-half the weight of the car body at 
a vertical acceleration of 2g, without exceeding the ultimate strength 
of the material. The load is assumed to be supported on one rail, within 
an eight inch band (plus or minus) at a point nominally above the head 
of the rail, on tangent track. Consideration should be given in the 
design of the fuel tank to maximize the vertical clearance between the 
top of the rail and the bottom of the fuel tank.
    (2) Load case 2--jackknifed locomotive. The fuel tank shall support 
transversely at the center a sudden loading equivalent to one half the 
weight of the locomotive at a vertical acceleration of 2g, without 
exceeding the ultimate strength of the material. The load is assumed to 
be supported on one rail, distributed between the longitudinal center 
line and the edge of the tank bottom, with a rail head surface of two 
inches.
    (3) Load case 3--side impact. In a side impact collision by an 
80,000 pound Gross Vehicle Weight tractor/trailer at the longitudinal 
center of the fuel tank, the fuel tank shall withstand, without 
exceeding the ultimate strength, a 200,000 pound load (2.5g) distributed 
over an area of six inches by forty-eight inches (half the bumper area) 
at a height of thirty inches above the rail (standard DOT bumper 
height).
    (4) Load case 4--penetration resistance. The minimum thickness of 
the sides, bottom sheet and end plates of the fuel tank shall be 
equivalent to a \5/16\-inch steel plate with a 25,000 pounds-per-square-
inch yield strength (where the thickness varies inversely with the 
square root of yield strength). The lower one third of the end plates 
shall have the equivalent penetration resistance by the above method of 
a \3/4\-inch steel plate with a 25,000 pounds-per-square-inch yield 
strength. This may be accomplished by any combination of materials or 
other mechanical protection.
    (b) Sideswipe. To minimize fuel tank damage during sideswipes 
(railroad vehicles and grade crossings), all drain plugs, clean-out 
ports, inspection covers, sight glasses, gauge openings, etc., must be 
flush with the tank surface or adequately protected to avoid catching 
foreign objects or breakage. All seams must be protected or flush to 
avoid catching foreign objects.

[[Page 609]]

    (c) Spill controls. Vents and fills shall be designed to avert 
spillage of fuel in the event of a roll over.

    Appendix E to Part 238--General Principles of Reliability-Based 
                          Maintenance Programs

    (a) Any maintenance program has the following four basic objectives:
    (1) To ensure realization of the design level of safety and 
reliability of the equipment;
    (2) To restore safety and reliability to their design levels when 
deterioration has occurred;
    (3) To obtain the information necessary for design improvements of 
those items whose design reliability proves inadequate; and
    (4) To accomplish these goals at a minimum total cost, including 
maintenance costs and the costs of residual failures.
    (b) Reliability-based maintenance programs are based on the 
following general principles. A failure is an unsatisfactory condition. 
There are two types of failures: functional and potential. Functional 
failures are usually reported by operating crews. Conversely, 
maintenance crews usually discover potential failures. A potential 
failure is an identifiable physical condition, which indicates that a 
functional failure is imminent. The consequences of a functional failure 
determine the priority of a maintenance effort. These consequences fall 
into the following general categories:
    (1) Safety consequences, involving possible loss of the equipment 
and its occupants;
    (2) Operational consequences, which involve an indirect economic 
loss as well as the direct cost of repair;
    (3) Non-operational consequences, which involve only the direct cost 
of repair; or
    (4) Hidden failure consequences, which involve exposure to a 
possible multiple failure as a result of the undetected failure of a 
hidden function.
    (c) In a reliability-based maintenance program, scheduled 
maintenance is required for any item whose loss of function or mode of 
failure could have safety consequences. If preventative tasks cannot 
reduce the risk of such failures to an acceptable level, the item 
requires redesign to alter its failure consequences. Scheduled 
maintenance is also required for any item whose functional failure will 
not be evident to the operating crew, and therefore reported for 
corrective action. In all other cases the consequences of failure are 
economic, and maintenance tasks directed at preventing such failures 
must be justified on economic grounds. All failure consequences, 
including economic consequences, are established by the design 
characteristics of the equipment and can be altered only by basic 
changes in the design. Safety consequences can, in nearly all cases, be 
reduced to economic consequences by the use of redundancy. Hidden 
functions can usually be made evident by instrumentation or other design 
features. The feasibility and cost effectiveness of scheduled 
maintenance depend on the inspectablility of the component, and the cost 
of corrective maintenance depends on its failure modes and design 
reliability.
    (d) The design reliability of equipment or components will only be 
achieved with an effective maintenance program. This level of 
reliability is established by the design of each component and the 
manufacturing processes that produced it. Scheduled maintenance can 
ensure that design reliability of each component is achieved, but 
maintenance alone cannot yield a level of reliability beyond the design 
reliability.
    (e) When a maintenance program is developed, it includes tasks that 
satisfy the criteria for both applicability and effectiveness. The 
applicability of a task is determined by the characteristics of the 
component or equipment to be maintained. The effectiveness is stated in 
terms of the consequences that the task is designed to prevent. The 
basics types of tasks that are performed by maintenance personnel are 
each applicable under a unique set of conditions. Tasks may be directed 
at preventing functional failures or preventing a failure event 
consisting of the sequential occurrence of two or more independent 
failures which may have consequences that would not be produced by any 
of the failures occurring separately. The task types include:
    (1) Inspections of an item to find and correct any potential 
failures;
    (2) Rework/remanufacture/overhaul of an item at or before some 
specified time or age limit;
    (3) Discard of an item (or parts of it) at or before some specified 
life limit; and
    (4) Failure finding inspections of a hidden-function item to find 
and correct functional failures that have already occurred but were not 
evident to the operating crew.
    (b) Components or systems in a reliability-based maintenance program 
may be defined as simple or complex. A simple component or system is one 
that is subject to only one or a very few failure modes. This type of 
component or system frequently shows decreasing reliability with 
increasing operating age. An age/time limit may be used to reduce the 
overall failure rate of simple components or systems. Here, safe-life 
limits, fail-safe designs, or damage tolerance-based residual life 
calculations may be imposed on a single component or system to play a 
crucial role in controlling critical failures. Complex components or 
systems are ones whose functional failure may result from many different 
failure modes and show little or no decrease in overall reliability with 
increasing age unless there is a dominant failure mode. Therefore, age 
limits imposed on complex

[[Page 610]]

components or systems have little or no effect on their overall failure 
rates.
    (g) When planning the maintenance of a component or system to 
protect the safety and operating capability of the equipment, a number 
of items must be considered in the reliability assessment process:
    (1) The consequences of each type of functional failure;
    (2) The visibility of a functional failure to the operating crew 
(evidence that a failure has occurred);
    (3) The visibility of reduced resistance to failure (evidence that a 
failure is imminent);
    (4) The age-reliability characteristics of each item;
    (5) The economic tradeoff between the cost of scheduled maintenance 
and the benefits to be derived from it;
    (6) A multiple failure, resulting from a sequence of independent 
failures, may have consequences that would not be caused by any one of 
the individual failures alone. These consequences are taken into account 
in the definition of the failure consequences for the first failure; and
    (7) A default strategy governs decision making in the absence of 
full information or agreement. This strategy provides for conservative 
initial decisions, to be revised on the basis of information derived 
from operating experience.
    (h) A successful reliability-based maintenance program must be 
dynamic. Any prior-to-service program is based on limited information. 
As such, the operating organization must be prepared to collect and 
respond to real data throughout the operating life of the equipment. 
Management of the ongoing maintenance program requires an organized 
information system for surveillance and analysis of the performance of 
each item under actual operating conditions. This information is needed 
to determine the refinements and modifications to be made in the initial 
maintenance program (including the adjustment of task intervals) and to 
determine the need for product improvement. The information derived from 
operating experience may be considered to have the following hierarchy 
of importance in the reliability-based maintenance program:
    (1) Failures that could affect operating safety;
    (2) Failures that have operational consequences;
    (3) The failure modes of units removed as a result of failures;
    (4) The general condition of unfailed parts in units that have 
failed; and
    (5) The general condition of serviceable units inspected as samples.
    (i) At the time an initial maintenance program is developed, 
information is usually available to determine the tasks necessary to 
protect safety and operating capability. However, the information 
required to determine optimum task intervals and the applicability of 
age or life limits can be obtained only from age or life exploration 
after the equipment enters service. With any new equipment there is 
always the possibility of unanticipated failure modes. The first 
occurrence of any serious unanticipated failure should immediately set 
into motion the following improvement cycle:
    (1) An inspection task is developed to prevent recurrences while the 
item is being redesigned;
    (2) The operating fleet is modified to incorporate the redesigned 
part; and
    (3) After the modification has proved successful, the special 
inspection task is eliminated from the maintenance program.
    (j) Component improvements based on identification of the actual 
reliability characteristics of each item through age or life 
exploration, is part of the normal development cycle of all complex 
equipment.



PART 239--PASSENGER TRAIN EMERGENCY PREPAREDNESS--Table of Contents




                           Subpart A--General

Sec.
239.1 Purpose and scope.
239.3 Application.
239.5 Preemptive effect.
239.7 Definitions.
239.9 Responsibility for compliance.
239.11 Penalties.
239.13 Waivers.
239.15 Information collection.

                    Subpart B--Specific Requirements

239.101 Emergency preparedness plan.
239.103 Passenger train emergency simulations.
239.105 Debriefing and critique.
239.107 Emergency exits.

  Subpart C--Review, Approval, and Retention of Emergency Preparedness 
                                  Plans

239.201 Emergency preparedness plan; filing and approval.
239.203 Retention of emergency preparedness plan.

  Subpart D--Operational (Efficiency) Tests; Inspection of Records and 
                              Recordkeeping

239.301 Operational (efficiency) tests.
239.303 Electronic recordkeeping.

Appendix A to Part 239--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301, 21304, 
and 21311; 49 U.S.C. 20133; 28 U.S.C. 2461 note; and 49 CFR 1.49(c), 
(g), (m).

[[Page 611]]


    Source: 63 FR 24676, May 4, 1998, unless otherwise noted.



                           Subpart A--General



Sec. 239.1  Purpose and scope.

    (a) The purpose of this part is to reduce the magnitude and severity 
of casualties in railroad operations by ensuring that railroads involved 
in passenger train operations can effectively and efficiently manage 
passenger train emergencies.
    (b) This part prescribes minimum Federal safety standards for the 
preparation, adoption, and implementation of emergency preparedness 
plans by railroads connected with the operation of passenger trains, and 
requires each affected railroad to instruct its employees on the 
provisions of its plan. This part does not restrict railroads from 
adopting and enforcing additional or more stringent requirements not 
inconsistent with this part.
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $22,000 for any violation where circumstances warrant. 
See 49 U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. Further 
designations, not found in the CFR citation for certain provisions are 
FRA Office of Chief Counsel computer codes added as a suffix to the CFR 
citation and used to expedite imposition of civil penalties for 
violations. FRA reserves the right, should litigation become necessary, 
to substitute in its complaint the CFR citation in place of the combined 
designation cited in the penalty demand letter.
---------------------------------------------------------------------------



Sec. 239.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all:
    (1) Railroads that operate intercity or commuter passenger train 
service on standard gage track which is part of the general railroad 
system of transportation;
    (2) Railroads that provide commuter or other short-haul rail 
passenger train service in a metropolitan or suburban area (as described 
by 49 U.S.C. 20102(1)), including public authorities operating passenger 
train service; and
    (3) Passenger or freight railroads hosting the operation of 
passenger train service described in paragraph (a)(1) or (a)(2) of this 
section.
    (b) This part does not apply to:
    (1) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation;
    (2) Operation of private cars, including business/office cars and 
circus trains; or
    (3) Tourist, scenic, historic, or excursion operations, whether on 
or off the general railroad system.



Sec. 239.5  Preemptive effect.

    Under 49 U.S.C. 20106 (formerly section 205 of the Federal Railroad 
Safety Act of 1970 (45 U.S.C. 434)), issuance of this part preempts any 
State law, rule, regulation, order, or standard covering the same 
subject matter, except a provision necessary to eliminate or reduce an 
essentially local safety hazard, that is not incompatible with Federal 
law or regulation and does not unreasonably burden interstate commerce.



Sec. 239.7  Definitions.

    As used in this part--
    Adjacent rail modes of transportation means other railroads, 
trolleys, light rail, heavy transit, and other vehicles operating on 
rails or electromagnetic guideways which are expressly identified in a 
railroad's emergency preparedness plan.
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Control center means a central location on a railroad with 
responsibility for directing the safe movement of trains.
    Crewmember means a person, other than a passenger, who is assigned 
to perform either:
    (1) On-board functions connected with the movement of the train 
(i.e., an employee of a railroad, or of a contractor to a railroad, who 
is assigned to perform service subject to the Federal hours of service 
laws during a tour of duty) or
    (2) On-board functions in a sleeping car or coach assigned to 
intercity service, other than food, beverage, or security service.

[[Page 612]]

    Division headquarters means the location designated by the railroad 
where a high-level operating manager (e.g., a superintendent, division 
manager, or equivalent), who has jurisdiction over a portion of the 
railroad, has an office.
    Emergency or emergency situation means an unexpected event related 
to the operation of passenger train service involving a significant 
threat to the safety or health of one or more persons requiring 
immediate action, including:
    (1) A derailment;
    (2) A fatality at a grade crossing;
    (3) A passenger or employee fatality, or a serious illness or injury 
to one or more passengers or crewmembers requiring admission to a 
hospital;
    (4) An evacuation of a passenger train; and
    (5) A security situation (e.g., a bomb threat).
    Emergency preparedness plan means one or more documents focusing on 
preparedness and response in dealing with a passenger train emergency.
    Emergency responder means a member of a police or fire department, 
or other organization involved with public safety charged with providing 
or coordinating emergency services, who responds to a passenger train 
emergency.
    Emergency window means that segment of a side facing glazing 
location which has been designed to permit rapid and easy removal in an 
emergency situation.
    FRA means the Federal Railroad Administration.
    Joint operations means rail operations conducted by more than one 
railroad on the same track, except as necessary for the purpose of 
interchange, regardless of whether such operations are the result of:
    (1) Contractual arrangements between the railroads;
    (2) Order of a governmental agency or a court of law; or
    (3) Any other legally binding directive.
    Passenger train service means the transportation of persons (other 
than employees, contractors, or persons riding equipment to observe or 
monitor railroad operations) by railroad in intercity passenger service 
or commuter or other short-haul passenger service in a metropolitan or 
suburban area.
    Person includes all categories of entities covered under 1 U.S.C. 1, 
including, but not limited to, a railroad; any manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any passenger; any trespasser or nontrespasser; any 
independent contractor providing goods or services to a railroad; any 
volunteer providing goods or services to a railroad; and any employee of 
such owner, manufacturer, lessor, lessee, or independent contractor.
    Private car means a rail passenger car used to transport non-revenue 
passengers on an occasional contractual basis, and includes business or 
office cars and circus trains.
    Qualified means a status attained by an employee who has 
successfully completed any required training for, has demonstrated 
proficiency in, and has been authorized by the employer to perform the 
duties of a particular position or function involving emergency 
preparedness.
    Railroad means:
    (1) Any form of non-highway ground transportation that runs on rails 
or electromagnetic guideways, including--
    (i) Commuter or other short-haul rail passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979, and
    (ii) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads, but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation and
    (2) A person that provides railroad transportation, whether directly 
or by contracting out operation of the railroad to another person.
    Railroad officer means any supervisory employee of a railroad.
    System headquarters means the location designated by the railroad as 
the general office for the railroad system.

[[Page 613]]



Sec. 239.9  Responsibility for compliance.

    Although the requirements of this part are stated in terms of the 
duty of a railroad, when any person, including a contractor to a 
railroad, performs any function required by this part, that person 
(whether or not a railroad) shall perform that function in accordance 
with this part.



Sec. 239.11  Penalties.

    Any person who violates any requirement of this part or causes the 
violation of any such requirement is subject to a civil penalty of at 
least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. Any person who knowingly and willfully 
falsifies a record or report required by this part may be subject to 
criminal penalties under 49 U.S.C. 21311 (formerly codified in 45 U.S.C. 
438(e)). Appendix A contains a schedule of civil penalty amounts used in 
connection with this part.



Sec. 239.13  Waivers.

    (a) Any person subject to a requirement of this part may petition 
the Administrator for a waiver of compliance with such requirement. The 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for waiver must be filed in the manner and contain 
the information required by part 211 of this chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.



Sec. 239.15  Information collection.

    (a) The information collection requirements of this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d) et seq.), and have 
been assigned OMB control number 2130-0545.
    (b) The information collection requirements are found in the 
following sections: Secs. 239.101, 239.103, 239.105, 239.107, 239.201, 
239.203, 239.301, and 239.303.



                    Subpart B--Specific Requirements



Sec. 239.101  Emergency preparedness plan.

    (a) Each railroad to which this part applies shall adopt and comply 
with a written emergency preparedness plan approved by FRA under the 
procedures of Sec. 239.201. The plan shall include the following 
elements and procedures for implementing each plan element.
    (1) Communication. (i) Initial and on-board notification. An on-
board crewmember shall quickly and accurately assess the passenger train 
emergency situation and then notify the control center as soon as 
practicable by the quickest available means. As appropriate, an on-board 
crewmember shall inform the passengers about the nature of the emergency 
and indicate what corrective countermeasures are in progress.
    (ii) Notifications by control center. The control center shall 
promptly notify outside emergency responders, adjacent rail modes of 
transportation, and appropriate railroad officials that a passenger 
train emergency has occurred. Each railroad shall designate an employee 
responsible for maintaining current emergency telephone numbers for use 
in making such notifications.
    (2) Employee training and qualification. (i) On-board personnel. The 
railroad's emergency preparedness plan shall address individual employee 
responsibilities and provide for initial training, as well as periodic 
training at least once every two calendar years thereafter, on the 
applicable plan provisions. As a minimum, the initial and periodic 
training shall include:
    (A) Rail equipment familiarization;
    (B) Situational awareness;
    (C) Passenger evacuation;
    (D) Coordination of functions; and

[[Page 614]]

    (E) ``Hands-on'' instruction concerning the location, function, and 
operation of on-board emergency equipment.
    (ii) Control center personnel. The railroad's emergency preparedness 
plan shall require initial training of responsible control center 
personnel, as well as periodic training at least once every two calendar 
years thereafter, on appropriate courses of action for each potential 
emergency situation. As a minimum, the initial and periodic training 
shall include:
    (A) Dispatch territory familiarization; and
    (B) Protocols governing internal communications between appropriate 
control center personnel whenever an imminent potential emergency 
situation exists.
    (iii) Initial training schedule for current employees. The 
railroad's emergency preparedness plan shall provide for the completion 
of initial training of all on-board and control center employees who are 
employed by the railroad on the date that the plan is conditionally 
approved under Sec. 239.201(b)(1), in accordance with the following 
schedule:
    (A) For each railroad that provides commuter or other short-haul 
passenger train service and whose operations include less than 150 route 
miles and less than 200 million passenger miles annually, not more than 
one year after January 29, 1999, or not more than 90 days after 
commencing passenger operations, whichever is later.
    (B) For each railroad that provides commuter or other short-haul 
passenger train service and whose operations include at least 150 route 
miles or at least 200 million passenger miles annually, not more than 
two years after January 29, 1999, or not more than 180 days after 
commencing passenger operations, whichever is later.
    (C) For each railroad that provides intercity passenger train 
service, regardless of the number of route miles or passenger miles, not 
more than two years after January 29, 1999, or not more than 180 days 
after commencing passenger operations, whichever is later.
    (D) For each freight railroad that hosts passenger train service, 
regardless of the number of route miles or passenger miles of that 
service, not more than one year after January 29, 1999, or not more than 
90 days after the hosting begins, whichever is later.
    (iv) Initial training schedule for new employees. The railroad's 
emergency preparedness plan shall provide for the completion of initial 
training of all on-board and control center employees who are hired by 
the railroad after the date on which the plan is conditionally approved 
under Sec. 239.201(b)(1). Each employee shall receive initial training 
within 90 days after the employee's initial date of service.
    (v) Testing of on-board and control center personnel. A railroad 
shall have procedures for testing a person being evaluated for 
qualification under the emergency preparedness plan. The types of 
testing selected by the railroad shall be:
    (A) Designed to accurately measure an individual employee's 
knowledge of his or her responsibilities under the plan;
    (B) Objective in nature;
    (C) Administered in written form; and
    (D) Conducted without reference by the person being tested to open 
reference books or other materials, except to the degree the person is 
being tested on his or her ability to use such reference books or 
materials.
    (vi) On-board staffing. (A) Except as provided in paragraph 
(a)(2)(vi)(B), all crewmembers on board a passenger train shall be 
qualified to perform the functions for which they are responsible under 
the provisions of the applicable emergency preparedness plan.
    (B) A freight train crew relieving an expired passenger train crew 
en route is not required to be qualified under the emergency 
preparedness plan, provided that at least one member of the expired 
passenger train crew remains on board and is available to perform excess 
service under the Federal hours of service laws in the event of an 
emergency.
    (3) Joint operations. (i) Each railroad hosting passenger train 
service shall address its specific responsibilities consistent with this 
part.
    (ii) In order to achieve an optimum level of emergency preparedness, 
each

[[Page 615]]

railroad hosting passenger train service shall communicate with each 
railroad that provides or operates such service and coordinate 
applicable portions of the emergency preparedness plan. All of the 
railroads involved in hosting, providing, and operating a passenger 
train service operation shall jointly adopt one emergency preparedness 
plan that addresses each entity's specific responsibilities consistent 
with this part. Nothing in this paragraph shall restrict the ability of 
the railroads to provide for an appropriate assignment of responsibility 
for compliance with this part among those railroads through a joint 
operating agreement or other binding contract. However, the assignor 
shall not be relieved of responsibility for compliance with this part.
    (4) Special circumstances. (i) Tunnels. When applicable, the 
railroad's emergency preparedness plan shall reflect readiness 
procedures designed to ensure passenger safety in an emergency situation 
occurring in a tunnel of 1,000 feet or more in length. The railroad's 
emergency preparedness plan shall address, as a minimum, availability of 
emergency lighting, access to emergency evacuation exits, benchwall 
readiness, ladders for detraining, effective radio or other 
communication between on-board crewmembers and the control center, and 
options for assistance from other trains.
    (ii) Other operating considerations. When applicable, the railroad's 
emergency preparedness plan shall address passenger train emergency 
procedures involving operations on elevated structures, including 
drawbridges, and in electrified territory.
    (iii) Parallel operations. When applicable, the railroad's emergency 
preparedness plan shall require reasonable and prudent action to 
coordinate emergency efforts where adjacent rail modes of transportation 
run parallel to either the passenger railroad or the railroad hosting 
passenger operations.
    (5) Liaison with emergency responders. Each railroad to which this 
part applies shall establish and maintain a working relationship with 
the on-line emergency responders by, as a minimum:
    (i) Developing and making available a training program for all on-
line emergency responders who could reasonably be expected to respond 
during an emergency situation. The training program shall include an 
emphasis on access to railroad equipment, location of railroad 
facilities, and communications interface, and provide information to 
emergency responders who may not have the opportunity to participate in 
an emergency simulation. Each affected railroad shall either offer the 
training directly or provide the program information and materials to 
state training institutes, firefighter organizations, or police 
academies;
    (ii) Inviting emergency responders to participate in emergency 
simulations; and
    (iii) Distributing applicable portions of its current emergency 
preparedness plan at least once every three years, or whenever the 
railroad materially changes its plan in a manner that could reasonably 
be expected to affect the railroad's interface with the on-line 
emergency responders, whichever occurs earlier, including documentation 
concerning the railroad's equipment and the physical characteristics of 
its line, necessary maps, and the position titles and telephone numbers 
of relevant railroad officers to contact.
    (6) On-board emergency equipment. (i) General. Each railroad's 
emergency preparedness plan shall state the types of emergency equipment 
to be kept on board and indicate their location(s) on each passenger car 
that is in service. Effective May 4, 1999, or not more than 120 days 
after commencing passenger operations, whichever is later, this 
equipment shall include, at a minimum:
    (A) One fire extinguisher per passenger car;
    (B) One pry bar per passenger car; and
    (C) One flashlight per on-board crewmember.
    (ii) Effective May 4, 1999, or not more than 120 days after 
commencing passenger operations, whichever is later, each railroad that 
provides intercity passenger train service shall also equip each 
passenger train that is in service

[[Page 616]]

with at least one first-aid kit accessible to crewmembers that contains, 
at a minimum:
    (A) Two small gauze pads (at least 4x4 inches);
    (B) Two large gauze pads (at least 8x10 inches);
    (C) Two adhesive bandages;
    (D) Two triangular bandages;
    (E) One package of gauge roller bandage that is at least two inches 
wide;
    (F) Wound cleaning agent, such as sealed moistened towelettes;
    (G) One pair of scissors;
    (H) One set of tweezers;
    (I) One roll of adhesive tape;
    (J) Two pairs of latex gloves; and
    (K) One resuscitation mask.
    (iii) On-board emergency lighting. Consistent with the requirements 
of part 238 of this chapter, auxiliary portable lighting (e.g., a 
handheld flashlight) must be accessible and provide, at a minimum:
    (A) Brilliant illumination during the first 15 minutes after the 
onset of an emergency situation; and
    (B) Continuous or intermittent illumination during the next 60 
minutes after the onset of an emergency situation.
    (iv) Maintenance. Each railroad's emergency preparedness plan shall 
provide for scheduled maintenance and replacement of first-aid kits, on-
board emergency equipment, and on-board emergency lighting.
    (7) Passenger safety information. (i) General. Each railroad's 
emergency preparedness plan shall provide for passenger awareness of 
emergency procedures, to enable passengers to respond properly during an 
emergency.
    (ii) Passenger awareness program activities. Each railroad shall 
conspicuously and legibly post emergency instructions inside all 
passenger cars (e.g., on car bulkhead signs, seatback decals, or seat 
cards) and shall utilize one or more additional methods to provide 
safety awareness information including, but not limited to, one of the 
following:
    (A) On-board announcements;
    (B) Laminated wallet cards;
    (C) Ticket envelopes;
    (D) Timetables;
    (E) Station signs or video monitors;
    (F) Public service announcements; or
    (G) Seat drops.
    (b) [Reserved]



Sec. 239.103  Passenger train emergency simulations.

    (a) General. Each railroad operating passenger train service shall 
conduct full-scale emergency simulations, in order to determine its 
capability to execute the emergency preparedness plan under the variety 
of scenarios that could reasonably be expected to occur on its 
operation, and ensure coordination with all emergency responders who 
voluntarily agree to participate in the emergency simulations.
    (b) Frequency of the emergency simulations. Except as provided in 
paragraph (c) of this section:
    (1) Each railroad that provides commuter or other short-haul 
passenger train service and whose operations include less than 150 route 
miles and less than 200 million passenger miles annually, shall conduct 
a minimum of one full-scale emergency simulation during every two 
calendar years.
    (2) Each railroad that provides commuter or other short-haul 
passenger train service and whose operations include at least 150 route 
miles or at least 200 million passenger miles annually, shall conduct a 
minimum of one full-scale emergency simulation during each calendar 
year.
    (3) Each railroad that provides intercity passenger train service, 
shall conduct a minimum of one full-scale emergency simulation during 
each calendar year, regardless of the number of route miles or passenger 
miles.
    (c) Actual emergency situations. Neither a tabletop exercise nor the 
activation of its emergency preparedness plan during an actual emergency 
situation may be credited toward the minimum number of full-scale 
emergency simulations required under paragraph (b) of this section. 
However, a railroad that has activated its emergency preparedness plan 
in response to a major emergency may elect to postpone a scheduled full-
scale simulation for up to 180 calendar days beyond the applicable 
calendar year completion date in order to evaluate the effectiveness of 
its plan during that major emergency and, as appropriate, modify the 
rescheduled simulation.

[[Page 617]]

    (d) Definition. As used in this section, major emergency means an 
unexpected event related to the operation of passenger train service 
that results in serious injury or death to one or more persons and 
property damage greater than the current reporting threshold of part 225 
of this chapter to railroad on-track equipment, signals, tracks, track 
structures, or roadbeds, including labor costs and the costs for 
acquiring new equipment and material.



Sec. 239.105  Debriefing and critique.

    (a) General. Except as provided in paragraph (b) of this section, 
each railroad operating passenger train service shall conduct a 
debriefing and critique session after each passenger train emergency 
situation or full-scale simulation to determine the effectiveness of its 
emergency preparedness plan, and shall improve or amend its plan, or 
both, as appropriate, in accordance with the information developed. The 
debriefing and critique session shall be conducted within 60 days of the 
date of the passenger train emergency situation or full-scale 
simulation.
    (b) Exceptions. (1) No debriefing and critique session shall be 
required in the case of an emergency situation involving only a 
collision between passenger railroad rolling stock and: a pedestrian; a 
trespasser; or a motor vehicle or other highway conveyance at a highway-
rail grade crossing, provided that the collision does not result in: a 
passenger or employee fatality, or an injury to one or more crewmembers 
or passengers requiring admission to a hospital; or the evacuation of a 
passenger train. (2) For purposes of this section, highway-rail grade 
crossing means a location where a public highway, road, street, or 
private roadway, including associated sidewalks and pathways, crosses 
one or more railroad tracks at grade, and trespasser means a person who 
is on that part of railroad property used in railroad operation and 
whose presence is prohibited, forbidden, or unlawful.
    (c) Purpose of debriefing and critique. The debriefing and critique 
session shall be designed to determine, at a minimum:
    (1) Whether the on-board communications equipment functioned 
properly;
    (2) How much time elapsed between the occurrence of the emergency 
situation or full-scale simulation and notification to the emergency 
responders involved;
    (3) Whether the control center promptly initiated the required 
notifications;
    (4) How quickly and effectively the emergency responders responded 
after notification; and
    (5) How efficiently the passengers exited from the car through the 
emergency exits.
    (d) Records. (1) Each railroad shall maintain records of its 
debriefing and critique sessions at its system headquarters and 
applicable division headquarters for two calendar years after the end of 
the calendar year to which they relate, including the following 
information:
    (i) Date and location of the passenger train emergency situation or 
full-scale simulation;
    (ii) Date and location of the debriefing and critique session; and
    (iii) Names of all participants in the debriefing and critique 
session.
    (2) These records shall be made available to representatives of FRA 
and States participating under part 212 of this chapter for inspection 
and copying during normal business hours.



Sec. 239.107  Emergency exits.

    For additional requirements related to emergency window exits, see 
part 223 of this chapter.
    (a) Marking. Each railroad operating passenger train service shall 
determine for each passenger car that is in service, except for self-
propelled cars designed to carry baggage, mail, or express:
    (1) That all door exits intended for emergency egress are either 
lighted or conspicuously and legibly marked with luminescent material on 
the inside of the car and that clear and understandable instructions are 
posted at or near such exits.
    (2) That all door exits intended for emergency access by emergency 
responders for extrication of passengers are marked with retroreflective 
material and that clear and understandable instructions are posted at 
each such door.

[[Page 618]]

    (b) Inspection, maintenance, and repair. Consistent with the 
requirements of part 223 of this chapter, each railroad operating 
passenger train service shall:
    (1) Provide for scheduled inspection, maintenance, and repair of 
emergency window and door exits;
    (2) Test a representative sample of emergency window exits on its 
cars at least once every 180 days to verify that they are operating 
properly; and
    (3) Repair each inoperative emergency window and door exit on a car 
before returning the car to service.
    (c) Records. Each railroad operating passenger service shall 
maintain records of its inspection, maintenance, and repair of emergency 
window and door exits at its system headquarters and applicable division 
headquarters for two calendar years after the end of the calendar year 
to which they relate. These records shall be made available to 
representatives of FRA and States participating under part 212 of this 
chapter for inspection and copying during normal business hours.
    (d) Electronic recordkeeping. Each railroad to which this part 
applies is authorized to retain by electronic recordkeeping the 
information prescribed in paragraph (b) of this section, provided that 
all of the following conditions are met:
    (1) The railroad adequately limits and controls accessibility to 
such information retained in its database system and identifies those 
individuals who have such access;
    (2) The railroad has a terminal at the system headquarters and at 
each division headquarters;
    (3) Each such terminal has a desk-top computer (i.e., monitor, 
central processing unit, and keyboard) and either a facsimile machine or 
a printer connected to the computer to retrieve and produce information 
in a usable format for immediate review by representatives of FRA and 
States participating under part 212 of this chapter;
    (4) The railroad has a designated representative who is authorized 
to authenticate retrieved information from the electronic system as true 
and accurate copies of the electronically kept records; and
    (5) The railroad provides representatives of FRA and States 
participating under part 212 of this chapter with immediate access to 
these records for inspection and copying during normal business hours 
and provides printouts of such records upon request.



  Subpart C--Review, Approval, and Retention of Emergency Preparedness 
                                  Plans



Sec. 239.201  Emergency preparedness plan; filing and approval.

    (a) Filing. Each passenger railroad to which this part applies and 
all railroads hosting its passenger train service (if applicable) shall 
jointly adopt a single emergency preparedness plan for that service and 
the passenger railroad shall file one copy of that plan with the 
Associate Administrator for Safety, Federal Railroad Administration, 
Mail Stop 25, 400 Seventh Street, S.W., Washington, D.C. 20590, not more 
than 180 days after May 4, 1998, or not less than 45 days prior to 
commencing passenger operations, whichever is later. The emergency 
preparedness plan shall include the name, title, address, and telephone 
number of the primary person on each affected railroad to be contacted 
with regard to review of the plan, and shall include a summary of each 
railroad's analysis supporting each plan element and describing how 
every condition on the railroad's property that is likely to affect 
emergency response is addressed in the plan. Each subsequent amendment 
to a railroad's emergency preparedness plan shall be filed with FRA by 
the passenger railroad not less than 60 days prior to the proposed 
effective date.
    (b) Approval. (1) Preliminary review. (i) Within 90 days of receipt 
of each proposed emergency preparedness plan, and within 45 days of 
receipt of each plan for passenger operations to be commenced after the 
initial deadline for plan submissions, FRA will conduct a preliminary 
review of the proposed plan to determine if the elements prescribed in 
Sec. 239.101 are sufficiently addressed and discussed in the railroad's 
plan submission. FRA will then notify the primary contact person of each 
affected railroad in writing of the results of the review, whether the 
proposed

[[Page 619]]

plan has been conditionally approved by FRA, and if not conditionally 
approved, the specific points in which the plan is deficient.
    (ii) If a proposed emergency preparedness plan is not conditionally 
approved by FRA, the affected railroad or railroads shall amend the 
proposed plan to correct all deficiencies identified by FRA (and provide 
FRA with a corrected copy) not later than 30 days following receipt of 
FRA's written notice that the proposed plan was not conditionally 
approved.
    (2) Final review. (i) Within 18 months of receipt of each proposed 
plan, and within 180 days of receipt of each proposed plan for passenger 
operations to be commenced after the initial deadline for plan 
submissions, FRA will conduct a comprehensive review of the 
conditionally approved plan to evaluate implementation of the elements 
included. This review will include ongoing dialogues with rail 
management and labor representatives, and field analysis and 
verification. FRA will then notify the primary contact person of each 
affected railroad in writing of the results of the review, whether the 
conditionally approved plan has been finally approved by FRA, and if not 
approved, the specific points in which the plan is deficient.
    (ii) If an emergency preparedness plan of a railroad or railroads is 
not finally approved by FRA, the affected railroad or railroads shall 
amend the plan to correct all deficiencies (and provide FRA with a 
corrected copy) not later than 30 days following receipt of FRA's 
written notice that the plan was not finally approved.
    (3) Review of amendments. (i) FRA will review each proposed plan 
amendment within 45 days of receipt. FRA will then notify the primary 
contact person of each affected railroad of the results of the review, 
whether the proposed amendment has been approved by FRA, and if not 
approved, the specific points in which the proposed amendment is 
deficient.
    (ii) If the amendment is not approved, the railroad shall correct 
any deficiencies identified by FRA and file the corrected amendment 
prior to implementing the amendment.
    (4) Reopened review. Following initial approval of a plan, or 
amendment, FRA may reopen consideration of the plan, or amendment, for 
cause stated.



Sec. 239.203  Retention of emergency preparedness plan.

    Each passenger railroad to which this part applies, and all 
railroads hosting its passenger train service (if applicable), shall 
each retain one copy of the emergency preparedness plan required by 
Sec. 239.201 and one copy of each subsequent amendment to that plan at 
the system and division headquarters of each, and shall make such 
records available to representatives of FRA and States participating 
under part 212 of this chapter for inspection and copying during normal 
business hours.



  Subpart D--Operational (Efficiency) Tests; Inspection of Records and 
                              Recordkeeping



Sec. 239.301  Operational (efficiency) tests.

    (a) Each railroad to which this part applies shall periodically 
conduct operational (efficiency) tests of its on-board and control 
center employees to determine the extent of compliance with its 
emergency preparedness plan.
    (b) Each railroad to which this part applies shall maintain a 
written record of the date, time, place, and result of each operational 
(efficiency) test that was performed in accordance with paragraph (a) of 
this section. Each record shall also specify the name of the railroad 
officer who administered the test, the name of each employee tested, and 
sufficient information to identify the relevant facts relied on for 
evaluation purposes.
    (c) Each record required by paragraph (a) of this section shall be 
retained at the system headquarters of the railroad and at the division 
headquarters for the division where the test was conducted for one 
calendar year after the end of the calendar year to which the test 
relates. Each such record shall be made available to representatives of 
FRA and States participating under part 212 of this chapter for 
inspection and copying during normal business hours.

[[Page 620]]



Sec. 239.303  Electronic recordkeeping.

    Each railroad to which this part applies is authorized to retain by 
electronic recordkeeping the information prescribed in Sec. 239.301, 
provided that all of the following conditions are met:
    (a) The railroad adequately limits and controls accessibility to 
such information retained in its database system and identifies those 
individuals who have such access;
    (b) The railroad has a terminal at the system headquarters and at 
each division headquarters;
    (c) Each such terminal has a desk-top computer (i.e., monitor, 
central processing unit, and keyboard) and either a facsimile machine or 
a printer connected to the computer to retrieve and produce information 
in a usable format for immediate review by representatives of FRA and 
States participating under part 212 of this chapter;
    (d) The railroad has a designated representative who is authorized 
to authenticate retrieved information from the electronic system as true 
and accurate copies of the electronically kept records; and
    (e) The railroad provides representatives of FRA and States 
participating under part 212 of this chapter with immediate access to 
these records for inspection and copying during normal business hours 
and provides printouts of such records upon request.

         Appendix A to Part 239--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
Subpart B--Specific Requirements:
239.101(a) Failure of a railroad to               $7,500         $11,000
 adopt a written emergency preparedness
 plan...................................
    (a)(1) Failure of the plan to
     provide for:
        (i) Initial or on-board                    2,500           5,000
         notifications by an on-board
         crewmember.....................
        (ii) Notification of outside               2,500           5,000
         emergency responders by control
         center.........................
    (a)(2) Failure of the plan to
     provide for:
        (i) Initial or periodic training           2,500           5,000
         of on-board personnel..........
        (ii) Initial or periodic                   2,500           5,000
         training of control center
         personnel......................
        (iii) Completion of initial                2,500           5,000
         training of all on-board and
         control center personnel by the
         specified date.................
        (iv) Completion of initial                 2,500           5,000
         training of all newly hired on-
         board and control center
         personnel by the specified date
        (v) Adequate procedures to                 2,500           5,000
         evaluate and test on-board and
         control center personnel for
         qualification under the
         emergency preparedness plan....
        (vi) Adequate on-board staffing.           2,500           5,000
    (a)(3) Failure of a host railroad              3,000           6,000
     involved in joint operations to
     coordinate applicable portions of
     the emergency preparedness plan
     with the railroad or railroads
     providing or operating a passenger
     train service operation............
    (a)(4) Failure of the plan to
     address:
        (i) Readiness procedures for               2,500           5,000
         emergencies in tunnels.........
        (ii) Readiness procedures for              2,500           5,000
         emergencies on an elevated
         structure or in electrified
         territory......................
        (iii) Coordination efforts                 2,500           5,000
         involving adjacent rail modes
         of transportation..............
    (a)(5) Failure of the plan to
     address relationships with on-line
     emergency responders by providing
     for:
        (i) The development and                    3,000           6,000
         availability of training
         programs.......................
        (ii) Invitations to emergency              3,000           6,000
         responders to participate in
         emergency simulations..........
        (iii) Distribution of applicable           3,000           6,000
         portions of the current
         emergency preparedness plan....
    (a)(6) Failure of the plan to
     provide for, or the railroad to
     include on board each train and
     maintain and replace:
        (i) Emergency equipment.........           2,500           5,000
        (ii) First-aid kits.............           2,500           5,000
        (iii) Emergency lighting........           2,500           5,000
    (a)(7) Failure of the plan to                  3,500           7,000
     provide for emergency instructions
     inside each passenger car or to
     include additional safety awareness
     information........................
239.103 Failure to conduct a required              5,000           7,500
 full-scale simulation in accordance
 with the frequency schedule............
239.105 Debriefing and critique
    (a) Failure to conduct a debriefing            4,000           7,500
     and critique session after an
     emergency or full-scale simulation.
    (d)(1) Failure to maintain a record.           2,500           5,000
        (i) Failure to include date or             1,000           2,000
         location of the emergency or
         simulation.....................
        (ii) Failure to include date or            1,000           2,000
         location of the debriefing and
         critique session...............
        (iii) Failure to include names             1,000           2,000
         of participants in the
         debriefing and critique session
    (d)(2) Failure to make record                  1,000           2,000
     available..........................
239.107 Emergency exits

[[Page 621]]

 
    (a)(1), (a)(2):
        (i) Door not marked or                     2,500           5,000
         instructions not posted........
        (ii) Door improperly marked or             2,500           5,000
         instructions 1,000-2,000-
         improperly posted..............
    (b)(1) Failure to provide for                  5,000           7,500
     scheduled inspection, maintenance,
     and repair of emergency windows and
     doors..............................
    (b)(2):
        (i) Failure to test a                      3,000           6,000
         representative sample of
         emergency windows..............
        (ii) Emergency windows tested              1,500           3,000
         too infrequently...............
    (b)(3) Failure to repair an                    3,500           7,000
     inoperative emergency window or
     door exit..........................
    (c):
        (i) Failure to maintain a record           2,500           5,000
        (ii) Failure to make record                1,000           2,000
         available......................
    (d)(1) Insufficient limits or                  2,500           5,000
     controls on accessibility to
     records............................
    (d)(2) Missing terminal.............           1,000           2,000
    (d)(3) Inability of railroad to                1,000           2,000
     produce information in a usable
     format for immediate review........
    (d)(4) Failure by railroad to                  1,000           2,000
     designate an authorized
     representative.....................
    (d)(5) Failure to make record                  1,000           2,000
     available..........................
Subpart C--Review, Approval, and
 Retention of Emergency Preparedness
 Plans:
239.201 Filing and approval
    (a):
        (i) Failure of a railroad to               5,000           7,500
         file a written emergency
         preparedness plan..............
        (ii) Failure to designate a                1,000           2,000
         primary person to contact for
         plan review....................
        (iii) Failure of a railroad to             2,500           5,000
         file an amendment to its plan..
    (b)(1), (b)(2):
        (i) Failure of a railroad to               2,500           5,000
         correct a plan deficiency......
        (ii) Failure to provide FRA with           1,000           2,000
         a corrected copy of the plan...
    (b)(3):
        (i) Failure of a railroad to               2,500           5,000
         correct an amendment deficiency
        (ii) Failure to file a corrected           1,000           1,000
         plan amendment with FRA........
239.203 Retention of emergency
 preparedness plan
        (1) Failure to retain a copy of            2,500           5,000
         the plan or an amendment to the
         plan...........................
        (2) Failure to make record                 1,000           2,000
         available......................
Subpart D--Operational (efficiency)
 tests; Inspection of Records and
 Recordkeeping:
239.301 Operational (efficiency) tests
    (a) Testing Program.................           5,000           7,500
    (b)(1) Failure to maintain a record.           2,500           5,000
    (b)(2) Record improperly completed..           1,000           1,000
    (c)(1) Failure to retain a copy of             2,500           5,000
     the record.........................
    (c)(2) Failure to make record                  1,000           2,000
     available..........................
239.303 Electronic recordkeeping
    (a) Insufficient limits or controls            2,500           5,000
     on accessibility to records........
    (b) Missing terminal................           1,000           2,000
    (c) Inability of railroad to produce           1,000           2,000
     information in a usable format for
     immediate review...................
    (d) Failure by railroad to designate           1,000           2,000
     an authorized representative.......
    (e) Failure to make record available           1,000           2,000
------------------------------------------------------------------------
1 A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. Further
  designations, not found in the CFR citation for certain provisions,
  are FRA Office of Chief Counsel computer codes added as a suffix to
  the CFR citation and used to expedite imposition of civil penalties
  for violations. FRA reserves the right, should litigation become
  necessary, to substitute in its complaint the CFR citation in place of
  the combined designation cited in the penalty demand letter.



PART 240--QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS--Table of Contents




                           Subpart A--General

Sec.
240.1 Purpose and scope.
240.3 Application and responsibility for compliance.
240.5 Preemptive effect and construction.
240.7 Definitions.
240.9 Waivers.
240.11 Penalties and consequences for noncompliance.
240.13 Information collection requirements.

       Subpart B--Component Elements of the Certification Process

240.101 Certification program required.
240.103 Approval of design of individual railroad programs by FRA.
240.104 Criteria for determining whether movement of roadway maintenance 
          equipment or a dual purpose vehicle requires a certified 
          locomotive engineer.
240.105 Criteria for selection of designated supervisors of locomotive 
          engineers.
240.107 Criteria for designation of classes of service.
240.109 General criteria for eligibility based on prior safety conduct.

[[Page 622]]

240.111 Individual's duty to furnish data on prior safety conduct as 
          motor vehicle operator.
240.113 Individual's duty to furnish data on prior safety conduct as an 
          employee of a different railroad.
240.115 Criteria for consideration of prior safety conduct as a motor 
          vehicle operator.
240.117 Criteria for consideration of operating rules compliance data.
240.119 Criteria for consideration of data on substance abuse disorders 
          and alcohol/drug rules compliance.
240.121 Criteria for vision and hearing acuity data.
240.123 Criteria for initial and continuing education.
240.125 Criteria for testing knowledge.
240.127 Criteria for examining skill performance.
240.129 Criteria for monitoring operational performance of certified 
          engineers.

         Subpart C--Implementation of the Certification Process

240.201 Schedule for implementation.
240.203 Determinations required as a prerequisite to certification.
240.205 Procedures for determining eligibility based on prior safety 
          conduct.
240.207 Procedures for making the determination on vision and hearing 
          acuity.
240.209 Procedures for making the determination on knowledge.
240.211 Procedures for making the determination on performance skills.
240.213 Procedures for making the determination on completion of 
          training program.
240.215 Retaining information supporting determinations.
240.217 Time limitations for making determinations.
240.219 Denial of certification.
240.221 Identification of qualified persons.
240.223 Criteria for the certificate.
240.225 Reliance on qualification determinations made by other 
          railroads.
240.227 Reliance on qualification requirements of other countries.
240.229 Requirements for joint operations territory.
240.231 Requirements for locomotive engineers unfamiliar with physical 
          characteristics in other than joint operations.

         Subpart D--Administration of the Certification Programs

240.301 Replacement of certificates.
240.303 Operational monitoring requirements.
240.305 Prohibited conduct.
240.307 Revocation of certification.
240.309 Railroad oversight responsibilities.

                Subpart E--Dispute Resolution Procedures

240.401 Review board established.
240.403 Petition requirements.
240.405 Processing qualification review petitions.
240.407 Request for a hearing.
240.409 Hearings.
240.411 Appeals.

Appendix A to Part 240--Schedule of Civil Penalties
Appendix B to Part 240--Procedures for Submission and Approval of 
          Locomotive Engineer Qualification Programs
Appendix C to Part 240--Procedures for Obtaining and Evaluating Motor 
          Vehicle Driving Record Data
Appendix D to Part 240--Identification of State Agencies that Perform 
          National Driver Register Checks
Appendix E to Part 240--Recommended Procedures for Conducting Skill 
          Performance Tests
Appendix F to Part 240--Medical Standards Guidelines

    Authority: 49 U.S.C. 20103, 20107, 20135, 21301, 21304, 21311; 28 
U.S.C. 2461, note; and 49 CFR 1.49.

    Source: 56 FR 28254, June 19, 1991, unless otherwise noted.



                           Subpart A--General



Sec. 240.1  Purpose and scope.

    (a) The purpose of this part is to ensure that only qualified 
persons operate a locomotive or train.
    (b) This part prescribes minimum Federal safety standards for the 
eligibility, training, testing, certification and monitoring of all 
locomotive engineers to whom it applies. This part does not restrict a 
railroad from adopting and enforcing additional or more stringent 
requirements not inconsistent with this part.
    (c) The qualifications for locomotive engineers prescribed in this 
part are pertinent to any person who operates a locomotive, unless that 
person is specifically excluded by a provision of this part, regardless 
of the fact that a person may have a job classification title other than 
that of locomotive engineer.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60988, Nov. 8, 1999]

[[Page 623]]



Sec. 240.3  Application and responsibility for compliance.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all railroads.
    (b) This part does not apply to--
    (1) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    (c) Although the duties imposed by this part are generally stated in 
terms of the duty of a railroad, each person, including a contractor for 
a railroad, who performs any function covered by this part must perform 
that function in accordance with this part.

[64 FR 60988, Nov. 8, 1999]



Sec. 240.5  Preemptive effect and construction.

    (a) Under 49 U.S.C. 20106, issuance of the regulations in this part 
preempts any State law, regulation, or order covering the same subject 
matter, except an additional or more stringent law, regulation, or order 
that is necessary to eliminate or reduce an essentially local safety 
hazard; is not incompatible with a law, regulation, or order of the 
United States Government; and does not impose an unreasonable burden on 
interstate commerce.
    (b) FRA does not intend by issuance of these regulations to preempt 
provisions of State criminal law that impose sanctions for reckless 
conduct that leads to actual loss of life, injury, or damage to 
property, whether such provisions apply specifically to railroad 
employees or generally to the public at large.
    (c) FRA does not intend, by use of the term locomotive engineer in 
this part, to preempt or otherwise alter the terms, conditions, or 
interpretation of existing collective bargaining agreements that employ 
other job classification titles when identifying persons authorized by a 
railroad to operate a locomotive.
    (d) FRA does not intend by issuance of these regulations to preempt 
or otherwise alter the authority of a railroad to initiate disciplinary 
sanctions against its employees, including managers and supervisors, in 
the normal and customary manner, including those contained in its 
collective bargaining agreements.
    (e) Nothing in this part shall be construed to create or prohibit an 
eligibility or entitlement to employment in other service for the 
railroad as a result of denial, suspension, or revocation of 
certification under this part.
    (f) Nothing in this part shall be deemed to abridge any additional 
procedural rights or remedies not inconsistent with this part that are 
available to the employee under a collective bargaining agreement, the 
Railway Labor Act, or (with respect to employment at will) at common law 
with respect to removal from service or other adverse action taken as a 
consequence of this part.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19002, Apr. 9, 1993; 64 
FR 60988, Nov. 8, 1999]



Sec. 240.7  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Alcohol means ethyl alcohol (ethanol) and includes use or possession 
of any beverage, mixture, or preparation containing ethyl alcohol.
    Controlled Substance has the meaning assigned by 21 U.S.C. 802 and 
includes all substances listed on Schedules I through V as they may be 
revised from time to time (21 CFR parts 1301-1316).
    Current Employee is any employee with at least one year of 
experience in transportation service on a railroad.
    Designated Supervisor of Locomotive Engineers is a person designated 
as such by a railroad in accordance with the provisions of Sec. 240.105 
of this part.
    Drug means any substance (other than alcohol) that has known mind or 
function-altering effects on a human subject, specifically including any 
psychoactive substance and including, but not limited to, controlled 
substances.
    Dual purpose vehicle means a piece of on-track equipment that is 
capable of moving railroad rolling stock and may

[[Page 624]]

also function as roadway maintenance equipment.
    EAP Counselor means a person qualified by experience, education, or 
training to counsel people affected by substance abuse problems and to 
evaluate their progress in recovering from or controlling such problems. 
An EAP Counselor can be a qualified full-time salaried employee of a 
railroad, a qualified practitioner who contracts with the railroad on a 
fee-for-service or other basis, or a qualified physician designated by 
the railroad to perform functions in connection with alcohol or 
substance abuse evaluation or counseling. As used in this rule, the EAP 
Counselor owes a duty to the railroad to make an honest and fully 
informed evaluation of the condition and progress of an employee.
    File, filed and filing mean submission of a document under this part 
on the date when the Docket Clerk receives it, or if sent by mail on or 
after September 4, 2001, the date mailing was completed.
    FRA means the Federal Railroad Administration.
    FRA Representative means the Associate Administrator for Safety, 
FRA, and the Associate Administrator's delegate, including any safety 
inspector employed by the Federal Railroad Administration and any 
qualified state railroad safety inspector acting under part 212 of this 
chapter.
    Instructor Engineer means a person who
    (1) Is a qualified locomotive engineer under this part,
    (2) Has been selected by the railroad to teach others proper train 
handling procedures, and
    (3) Has demonstrated an adequate knowledge of the subjects under 
instruction.
    Joint Operations means rail operations conducted by more than one 
railroad on the same track regardless of whether such operations are the 
result of--
    (1) Contractual arrangement between the railroads,
    (2) Order of a governmental agency or a court of law, or
    (3) Any other legally binding directive.
    Knowingly means having actual knowledge of the facts giving rise to 
the violation or that a reasonable person acting in the circumstances, 
exercising due care, would have had such knowledge.
    Locomotive means a piece of on-track equipment (other than 
specialized roadway maintenance equipment or a dual purpose vehicle 
operating in accordance with Sec. 240.104(a)(2)):
    (1) With one or more propelling motors designed for moving other 
equipment;
    (2) With one or more propelling motors designed to carry freight or 
passenger traffic or both; or
    (3) Without propelling motors but with one or more control stands.
    Locomotive engineer means any person who moves a locomotive or group 
of locomotives regardless of whether they are coupled to other rolling 
equipment except:
    (1) A person who moves a locomotive or group of locomotives within 
the confines of a locomotive repair or servicing area as provided for in 
49 CFR 218.5(f) and 218.29(a)(1); or
    (2) A person who moves a locomotive or group of locomotives for 
distances of less than 100 feet and this incidental movement of a 
locomotive or locomotives is for inspection or maintenance purposes.
    Main track means a track upon which the operation of trains is 
governed by one or more of the following methods of operation: 
timetable; mandatory directive; signal indication; or any form of 
absolute or manual block system.
    Medical examiner means a person licensed as a doctor of medicine or 
doctor of osteopathy. A medical examiner can be a qualified full-time 
salaried employee of a railroad, a qualified practitioner who contracts 
with the railroad on a fee-for-service or other basis, or a qualified 
practitioner designated by the railroad to perform functions in 
connection with medical evaluations of employees. As used in this rule, 
the medical examiner owes a duty to the railroad to make an honest and 
fully informed evaluation of the condition of an employee.
    Newly hired employee is any person who is hired with no prior 
railroad experience, or one with less than one

[[Page 625]]

year of experience in transportation service on that railroad or another 
railroad.
    Person means an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor.
    Qualified means a person who has passed all appropriate training and 
testing programs required by the railroad and this part and who, 
therefore, has actual knowledge or may reasonably be expected to have 
knowledge of the subject on which the person is qualified.
    Railroad means any form of nonhighway ground transportation that 
runs on rails or electromagnetic guideways and any entity providing such 
transportation, including
    (1) Commuter or other short-haul railroad passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979; and
    (2) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads; but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    Railroad Officer means any supervisory employee of a railroad.
    Railroad rolling stock is on-track equipment that is either a 
freight car (as defined in Sec. 215.5 of this chapter) or a passenger 
car (as defined in Sec. 238.5 of this chapter).
    Roadway maintenance equipment is on-track equipment powered by any 
means of energy other than hand power which is used in conjunction with 
maintenance, repair, construction or inspection of track, bridges, 
roadway, signal, communications, or electric traction systems.
    Segment means any portion of a railroad assigned to the supervision 
of one superintendent or equivalent transportation officer.
    Service has the meaning given in Rule 5 of the Federal Rules of 
Civil Procedure as amended. Similarly, the computation of time 
provisions in Rule 6 of the Federal Rules of Civil Procedure as amended 
are also applicable in this part. See also the definition of ``filing'' 
in this section.
    Specialized roadway maintenance equipment is roadway maintenance 
equipment that does not have the capability to move railroad rolling 
stock. Any alteration of such equipment that enables it to move railroad 
rolling stock will require that the equipment be treated as a dual 
purpose vehicle.
    Substance abuse disorder refers to a psychological or physical 
dependence on alcohol or a drug or another identifiable and treatable 
mental or physical disorder involving the abuse of alcohol or drugs as a 
primary manifestation. A substance abuse disorder is ``active'' within 
the meaning of this part if the person (1) is currently using alcohol 
and other drugs, except under medical supervision consistent with the 
restrictions described in Sec. 219.103 of this chapter or (2) has failed 
to successfully complete primary treatment or successfully participate 
in aftercare as directed by an EAP Counselor.
    Type I Simulator means a replica of the control compartment of a 
locomotive with all associated control equipment that:
    (1) Functions in response to a person's manipulation and causes the 
gauges associated with such controls to appropriately respond to the 
consequences of that manipulation;
    (2) Pictorially, audibly and graphically illustrates the route to be 
taken;
    (3) Graphically, audibly, and physically illustrates the 
consequences of control manipulations in terms of their effect on train 
speed, braking capacity, and in-train force levels throughout the train; 
and
    (4) Is computer enhanced so that it can be programmed for specific 
train consists and the known physical characteristics of the line 
illustrated.

[[Page 626]]

    Type II Simulator means a replica of the control equipment for a 
locomotive that:
    (1) Functions in response to a person's manipulation and causes the 
gauges associated with such controls to appropriately respond to the 
consequences of that manipulation;
    (2) Pictorially, audibly, and graphically illustrates the route to 
be taken;
    (3) Graphically and audibly illustrates the consequences of control 
manipulations in terms of their effect on train speed braking capacity, 
and in-train force levels throughout the train; and
    (4) Is computer enhanced so that it can be programmed for specific 
train consists and the known physical characteristics of the line 
illustrated.
    Type III Simulator means a replica of the control equipment for a 
locomotive that:
    (1) Functions in response to a person's manipulation and causes the 
gauges associated with such controls to appropriately respond to the 
consequences of that manipulation;
    (2) Graphically illustrates the route to be taken;
    (3) Graphically illustrates the consequences of control 
manipulations in terms of their effect on train speed braking capacity, 
and in-train force levels throughout the train; and
    (4) Is computer enhanced so that it can be programmed for specific 
train consists and the known physical characteristics of the line 
illustrated.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19002, Apr. 9, 1993; 60 
FR 53136, Oct. 12, 1995; 64 FR 60989, Nov. 8, 1999; 65 FR 58483, Sept. 
29, 2000; 67 FR 24, Jan. 2, 2002]



Sec. 240.9  Waivers.

    (a) A person subject to a requirement of this part may petition the 
Administrator for a waiver of compliance with such requirement. The 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for a waiver under this section must be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60989, Nov. 8, 1999]



Sec. 240.11  Penalties and consequences for noncompliance.

    (a) A person who violates any requirement of this part or causes the 
violation of any such requirement is subject to a civil penalty of at 
least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See Appendix A to this part for a 
statement of agency civil penalty policy.
    (b) A person who violates any requirement of this part or causes the 
violation of any such requirement may be subject to disqualification 
from all safety-sensitive service in accordance with part 209 of this 
chapter.
    (c) A person who knowingly and willfully falsifies a record or 
report required by this part may be subject to criminal penalties under 
49 U.S.C. 21311.
    (d) In addition to the enforcement methods referred to in paragraphs 
(a), (b), and (c) of this section, FRA may also address violations of 
this part by use of the emergency order, compliance order, and/or 
injunctive provisions of the Federal Railroad Safety Act.

[56 FR 28254, June 19, 1991, as amended at 63 FR 11624, Mar. 10, 1998; 
64 FR 60989, Nov. 8, 1999]



Sec. 240.13  Information collection requirements.

    (a) The information collection requirements of this part were 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) and are 
assigned OMB control number 2130-0533.

[[Page 627]]

    (b) The information collection requirements are found in the 
following sections: Secs. 240.101, 240.103, 240.105, 240.107, 240.109, 
240.111, 240.113, 240.115, 240.117, 240.119, 240.121, 240.123, 240.125, 
240.127, 240.129, 240.201, 240.205, 240.207, 240.209, 240.211, 240.213, 
240.215, 240.219, 240.221, 240.223, 240.227, 240.229, 240.301, 240.303, 
240.305, 240.307, 240.309, 240.401, 240.403, 240.405, 240.407, 240.411.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]



       Subpart B--Component Elements of the Certification Process



Sec. 240.101  Certification program required.

    (a) After September 17, 1991, each railroad in operation on that 
date and subject to this part shall have in effect a written program for 
certifying the qualifications of locomotive engineers.
    (b) A railroad commencing operations after September 17, 1991, shall 
have such a program in effect prior to commencing operations.
    (c) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad shall have a certification program 
approved in accordance with Sec. 240.103 that includes:
    (1) A procedure for designating any person it determines to be 
qualified as a supervisor of locomotive engineers that complies with the 
criteria established in Sec. 240.105;
    (2) A designation of the classes of service that it determines will 
be used in compliance with the criteria established in Sec. 240.107;
    (3) A procedure for evaluating prior safety conduct that complies 
with the criteria established in Sec. 240.109;
    (4) A procedure for evaluating visual and hearing acuity that 
complies with the criteria established in Sec. 240.121;
    (5) A procedure for training that complies with the criteria 
established in Sec. 240.123;
    (6) A procedure for knowledge testing that complies with the 
criteria established in Sec. 240.125;
    (7) A procedure for skill performance testing that complies with the 
criteria established in Sec. 240.127; and
    (8) A procedure for monitoring operational performance that complies 
with the criteria established in Sec. 240.129.



Sec. 240.103  Approval of design of individual railroad programs by FRA.

    (a) Each railroad shall submit its written certification program and 
a description of how its program conforms to the specific requirements 
of this part in accordance with the procedures contained in appendix B 
to this part and shall submit this written certification program for 
approval at least 60 days before commencing operations.
    (b) That submission shall state the railroad's election either:
    (1) To accept responsibility for the training of student engineers 
and thereby obtain authority for that railroad to initially certify a 
person as an engineer in an appropriate class of service, or
    (2) To recertify only engineers previously certified by other 
railroads.

A railroad that elects to accept responsibility for the training of 
student engineers shall state in its submission whether it will conduct 
the training program or employ a training program conducted by some 
other entity on its behalf but adopted and ratified by that railroad.
    (c) A railroad's program is considered approved and may be 
implemented thirty days after the required filing date (or the actual 
filing date) unless the Administrator notifies the railroad in writing 
that the program does not conform to the criteria set forth in this 
part.
    (1) If the Administrator determines that the program does not 
conform, the Administrator will inform the railroad of the specific 
deficiencies.
    (2) If the Administrator informs the railroad of deficiencies more 
than 30 days after the initial filing date, the original program may 
remain in effect until 30 days after approval of the revised program is 
received.
    (d) A railroad shall resubmit its program within 30 days after the 
date of such notice of deficiencies. A failure to resubmit the program 
with the necessary revisions will be considered a failure to implement a 
program under this part.

[[Page 628]]

    (1) The Administrator will inform the railroad in writing whether 
its revised program conforms with this part.
    (2) If the program does not conform, the railroad shall resubmit its 
program.
    (e) A railroad that intends to materially modify its program after 
receiving initial FRA approval shall submit a description of how it 
intends to modify the program in conformity with the specific 
requirements of this part at least 30 days prior to implementing such a 
change.
    (1) A modification is material if it would affect the program's 
conformance with this part.
    (2) The modification submission shall contain a description that 
conforms with the pertinent portion of the procedures contained in 
appendix B.
    (3) The modification submission will be handled in accordance with 
the procedures of paragraphs (c) and (d) of this section as though it 
were a new program.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60990, Nov. 8, 1999]



Sec. 240.104  Criteria for determining whether movement of roadway maintenance equipment or a dual purpose vehicle requires a certified locomotive engineer.

    (a) A railroad is not required to use a certified locomotive 
engineer to perform the following functions:
    (1) Operate specialized roadway maintenance equipment; or
    (2) Operate a dual purpose vehicle that is:
    (i) Being operated in conjunction with roadway maintenance and 
related maintenance of way functions, including traveling to and from 
the work site;
    (ii) Moving under authority of railroad operating rules designated 
for the movement of roadway maintenance equipment that ensure the 
protection of such equipment from train movements; and
    (iii) Being operated by an individual trained and qualified in 
accordance with Secs. 214.341, 214.343, and 214.355 of this chapter.
    (b) A railroad is required to use a certified locomotive engineer 
when operating a dual purpose vehicle other than in accordance with 
paragraph (a)(2) of this section.

[64 FR 60990, Nov. 8, 1999]



Sec. 240.105  Criteria for selection of designated supervisors of locomotive engineers.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) The railroad shall examine any person it is considering for 
qualification as a supervisor of locomotive engineers to determine that 
he or she:
    (1) Knows and understands the requirements of this part;
    (2) Can appropriately test and evaluate the knowledge and skills of 
locomotive engineers;
    (3) Has the necessary supervisory experience to prescribe 
appropriate remedial action for any noted deficiencies in the training, 
knowledge or skills of a person seeking to obtain or retain 
certification; and
    (4) Is a certified engineer who is qualified on the physical 
characteristics of the portion of the railroad on which that person will 
perform the duties of a Designated Supervisor of Locomotive Engineers.
    (c) If a railroad does not have any Designated Supervisors of 
Locomotive Engineers, and wishes to hire one, the chief operating 
officer of the railroad shall make a determination in writing that the 
Designated Supervisor of Locomotive Engineers designate possesses the 
necessary performance skills in accordance with Sec. 240.127. This 
determination shall take into account any special operating 
characteristics which are unique to that railroad.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60990, Nov. 8, 1999]



Sec. 240.107  Criteria for designation of classes of service.

    (a) Each railroad's program shall state which of the three classes 
of service, provided for in paragraph (b) of this section, that it will 
cover.
    (b) A railroad may issue certificates for any or all of the 
following classes of service:
    (1) Train service engineers,
    (2) Locomotive servicing engineers, and
    (3) Student engineers.

[[Page 629]]

    (c) The following operational constraints apply to each class of 
service:
    (1) Train service engineers may operate locomotives singly or in 
multiples and may move them with or without cars coupled to them;
    (2) Locomotive servicing engineers may operate locomotives singly or 
in multiples but may not move them with cars coupled to them; and
    (3) Student engineers may operate only under direct and immediate 
supervision of an instructor engineer.
    (d) Each railroad is authorized to impose additional conditions or 
operational restrictions on the service an engineer may perform beyond 
those identified in this section provided those conditions or 
restrictions are not inconsistent with this part.



Sec. 240.109  General criteria for eligibility based on prior safety conduct.

    (a) Each railroad's program shall include criteria and procedures to 
implement this section.
    (b) A railroad shall evaluate the prior safety conduct of any person 
it is considering for qualification as a locomotive engineer and the 
program shall require that a person is ineligible if the person has an 
adverse record of prior safety conduct as provided for in Sec. 240.115, 
Sec. 240.117, or Sec. 240.119.
    (c) The program shall require evaluation of data which reflect the 
person's prior safety conduct as a railroad employee and the person's 
prior safety conduct as an operator of a motor vehicle, provided that 
there is relevant prior conduct. The information to be evaluated shall 
include:
    (1) The relevant data furnished from the evaluating railroad's own 
records, if the person was previously an employee of that railroad;
    (2) The relevant data furnished by any other railroad formerly 
employing the person; and
    (3) The relevant data furnished by any governmental agency with 
pertinent motor vehicle driving records.
    (d) The railroad's process for evaluating information concerning 
prior safety conduct shall be designed to conform wherever necessary 
with the procedural requirements of Sec. 240.111, Sec. 240.113, 
Sec. 240.115, Sec. 240.117, Sec. 240.119, and Sec. 240.217.
    (e) When eva1uating a person's motor vehicle driving record or a 
person's railroad employment record, a railroad shall not consider 
information concerning motor vehicle driving incidents or prior railroad 
safety conduct that
    (1) Occurred prior to the effective date of this rule; or
    (2) Occurred at a time other than that specifically provided for in 
Sec. 240.115, Sec. 240.117 or Sec. 240.119 of this subpart.
    (f) A railroad's program shall provide a candidate for certification 
or recertification a reasonable opportunity to review and comment in 
writing on any record which contains information concerning the person's 
prior safety conduct, including information pertinent to determinations 
required under Sec. 240.119 of this subpart, if the railroad believes 
the record contains information that could be sufficient to render the 
person ineligible for certification under this subpart.
    (g) The opportunity for comment shall be afforded to the person 
prior to the railroad's rendering its eligibility decision based on that 
information. Any responsive comment furnished shall be retained by the 
railroad in accordance with Sec. 240.215 of this part.
    (h) The program shall include a method for a person to advise the 
railroad that he or she has never been a railroad employee or obtained a 
license to drive a motor vehicle. Nothing in this section shall be 
construed as imposing a duty or requirement that a person have prior 
railroad employment experience or obtain a motor vehicle driver's 
license in order to become a certified locomotive engineer.
    (i) Nothing in this section, Sec. 240.111, or Sec. 240.113 shall be 
construed to prevent persons subject to this part from entering into an 
agreement that results in a railroad's obtaining the information needed 
for compliance with this subpart in a different manner than that 
prescribed in Sec. 240.111 or Sec. 240.113.



Sec. 240.111  Individual's duty to furnish data on prior safety conduct as motor vehicle operator.

    (a) Except for initial certifications under paragraph (b), (h), or 
(i) of Sec. 240.201 or for persons covered by

[[Page 630]]

Sec. 240.109(h), each person seeking certification or recertification 
under this part shall, within 366 days preceding the date of the 
railroad's decision on certification or recertification:
    (1) Take the actions required by paragraphs (b) through (f) or 
paragraph (g) of this section to make information concerning his or her 
driving record available to the railroad that is considering such 
certification or recertification; and
    (2) Take any additional actions, including providing any necessary 
consent required by State or Federal law to make information concerning 
his or her driving record available to that railroad.
    (b) Each person seeking certification or recertification under this 
part shall:
    (1) Request, in writing, that the chief of each driver licensing 
agency identified in paragraph (c) of this section provide a copy of 
that agency's available information concerning his or her driving record 
to the railroad that is considering such certification or 
recertification; and
    (2) Request, in accordance with the provisions of paragraph (d) or 
(e) of this section, that a check of the National Driver Register be 
performed to identify additional information concerning his or her 
driving record and that any resulting information be provided to that 
railroad.
    (c) Each person shall request the information required under 
paragraph (b)(1) of this section from:
    (1) The chief of the driver licensing agency which last issued that 
person a driver's license; and
    (2) The chief of the driver licensing agency of any other state or 
states that issued or reissued him or her a driver's license within the 
preceding five years.
    (d) Each person shall request the information required under 
paragraph (b)(2) of this section from the Chief, National Driver 
Register, National Highway Traffic Safety Administration, 400 Seventh 
Street, SW., Washington, DC 20590 in accordance with the procedures 
contained in appendix C unless the person's motor vehicle driving 
license was issued by one of the driver licensing agencies identified in 
appendix D.
    (e) If the person's motor vehicle driving license was issued by one 
of the driver licensing agencies identified in appendix D, the person 
shall request the chief of that driver licensing agency to perform a 
check of the National Driver Register for the possible existence of 
additional information concerning his or her driving record and to 
provide the resulting information to the railroad.
    (f) If advised by the railroad that a driver licensing agency or the 
National Highway Traffic Safety Administration has informed the railroad 
that additional information concerning that person's driving history may 
exist in the files of a state agency not previously contacted in 
accordance with this section, such person shall:
    (1) Request in writing that the chief of the state agency which 
compiled the information provide a copy of the available information to 
the prospective certifying railroad; and
    (2) Take any additional action required by State or Federal law to 
obtain that additional information.
    (g) Any person who has never obtained a motor vehicle driving 
license is not required to comply with the provisions of paragraph (b) 
of this section but shall notify the railroad of that fact in accordance 
with procedures of the railroad that comply with Sec. 240.109(d).
    (h) Each certified locomotive engineer or person seeking initial 
certification shall report motor vehicle incidents described in 
Sec. 240.115 (b)(1) and (2) to the employing railroad within 48 hours of 
being convicted for, or completed state action to cancel, revoke, 
suspend, or deny a motor vehicle drivers license for, such violations. 
For the purposes of engineer certification, no railroad shall require 
reporting earlier than 48 hours after the conviction, or completed state 
action to cancel, revoke, or deny a motor vehicle drivers license.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60990, Nov. 8, 1999]



Sec. 240.113  Individual's duty to furnish data on prior safety conduct as an employee of a different railroad.

    (a) Except for initial certifications under paragraphs (b), (h), or 
(i) of

[[Page 631]]

Sec. 240.201 or for persons covered by Sec. 240.109(h), each person 
seeking certification under this part shall, within 366 days preceding 
the date of the railroad's decision on certification or recertification:
    (1) Take the actions required by paragraph (b) of this section to 
make information concerning his or her prior railroad service record 
available to the railroad that is considering such certification or 
recertification; and
    (2) Take any additional actions, including providing any necessary 
consent required by State or Federal law to make information concerning 
his or her service record available to that railroad.
    (b) Each person seeking certification or recertification under this 
part shall request, in writing, that the chief operating officer or 
other appropriate person of the former employing railroad provide a copy 
of that railroad's available information concerning his or her service 
record to the railroad that is considering such certification or 
recertification.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60990, Nov. 8, 1999]



Sec. 240.115  Criteria for consideration of prior safety conduct as a motor vehicle operator.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) When evaluating a person's motor vehicle driving record, a 
railroad shall not consider information concerning motor vehicle driving 
incidents that occurred more than 36 months before the month in which 
the railroad is making its certification decision and shall only 
consider information concerning the following types of motor vehicle 
incidents:
    (1) A conviction for, or completed state action to cancel, revoke, 
suspend, or deny a motor vehicle drivers license for, operating a motor 
vehicle while under the influence of or impaired by alcohol or a 
controlled substance;
    (2) A conviction for, or completed state action to cancel, revoke, 
suspend, or deny a motor vehicle driver's license for, refusal to 
undergo such testing as is required by State law when a law enforcement 
official seeks to determine whether a person is operating a vehicle 
while under the influence of alcohol or a controlled substance.
    (c) If such an incident is identified,
    (1) The railroad shall provide the data to the railroad's EAP 
Counselor, together with any information concerning the person's 
railroad service record, and shall refer the person for evaluation to 
determine if the person has an active substance abuse disorder;
    (2) The person shall cooperate in the evaluation and shall provide 
any requested records of prior counseling or treatment for review 
exclusively by the EAP Counselor in the context of such evaluation; and
    (3) If the person is evaluated as not currently affected by an 
active substance abuse disorder, the subject data shall not be 
considered further with respect to certification. However, the railroad 
shall, on recommendation of the EAP Counselor, condition certification 
upon participation in any needed aftercare and/or follow-up testing for 
alcohol or drugs deemed necessary by the EAP Counselor consistent with 
the technical standards specified in Sec. 240.119(d)(3) of this part.
    (4) If the person is evaluated as currently affected by an active 
substance abuse disorder, the person shall not be currently certified 
and the provisions of Sec. 240.119(b) will apply.



Sec. 240.117  Criteria for consideration of operating rules compliance data.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) A person who has demonstrated a failure to comply, as described 
in paragraph (e) of this section, with railroad rules and practices for 
the safe operation of trains shall not be currently certified as a 
locomotive engineer.
    (c)(1) A certified engineer who has demonstrated a failure to 
comply, as described in paragraph (e) of this section, with railroad 
rules and practices for the safe operation of trains shall have his or 
her certification revoked.
    (2) A Designated Supervisor of Locomotive Engineers, a certified 
locomotive engineer pilot or an instructor engineer who is monitoring, 
piloting or instructing a locomotive engineer and

[[Page 632]]

fails to take appropriate action to prevent a violation of paragraph (e) 
of this section, shall have his or her certification revoked. 
Appropriate action does not mean that a supervisor, pilot or instructor 
must prevent a violation from occurring at all costs; the duty may be 
met by warning an engineer of a potential or foreseeable violation. A 
Designated Supervisor of Locomotive Engineers will not be held culpable 
under this section when this monitoring event is conducted as part of 
the railroad's operational compliance tests as defined in Secs. 217.9 
and 240.303 of this chapter.
    (3) A person who is a certified locomotive engineer but is called by 
a railroad to perform the duty of a train crew member other than that of 
locomotive engineer, and is performing such other duty, shall not have 
his or her certification revoked based on actions taken or not taken 
while performing that duty.
    (d) Limitations on consideration of prior operating rule compliance 
data. Except as provided for in paragraph (i) of this section, in 
determining whether a person may be or remain certified as a locomotive 
engineer, a railroad shall consider as operating rule compliance data 
only conduct described in paragraphs (e)(1) through (e)(5) of this 
section that occurred within a period of 36 consecutive months prior to 
the determination. A review of an existing certification shall be 
initiated promptly upon the occurrence and documentation of any conduct 
described in this section.
    (e) A railroad shall only consider violations of its operating rules 
and practices that involve:
    (1) Failure to control a locomotive or train in accordance with a 
signal indication, excluding a hand or a radio signal indication or a 
switch, that requires a complete stop before passing it;
    (2) Failure to adhere to limitations concerning train speed when the 
speed at which the train was operated exceeds the maximum authorized 
limit by at least 10 miles per hour. Where restricted speed is in 
effect, railroads shall consider only those violations of the 
conditional clause of restricted speed rules (i.e., the clause that 
requires stopping within one half of the locomotive engineer's range of 
vision), or the operational equivalent thereof, which cause reportable 
accidents or incidents under part 225 of this chapter, except for 
accidents and incidents that are classified as ``covered data'' under 
Sec. 225.5 of this chapter (i.e., employee injury/illness cases 
reportable exclusively because a physician or other licensed health care 
professional either made a one-time topical application of a 
prescription-strength medication to the employee's injury or made a 
written recommendation that the employee: Take one or more days away 
from work when the employee instead reports to work (or would have 
reported had he or she been scheduled) and takes no days away from work 
in connection with the injury or illness; work restricted duty for one 
or more days when the employee instead works unrestricted (or would have 
worked unrestricted had he or she been scheduled) and takes no other 
days of restricted work activity in connection with the injury or 
illness; or take over-the-counter medication at a dosage equal to or 
greater than the minimum prescription strength, whether or not the 
employee actually takes the medication, as instances of failure to 
adhere to this section;
    (3) Failure to adhere to procedures for the safe use of train or 
engine brakes when the procedures are required for compliance with the 
initial terminal, intermediate terminal, or transfer train and yard test 
provisions of 49 CFR part 232 or when the procedures are required for 
compliance with the class 1, class 1A, class II, or running brake test 
provisions of 49 CFR part 238;
    (4) Occupying main track or a segment of main track without proper 
authority or permission;
    (5) Failure to comply with prohibitions against tampering with 
locomotive mounted safety devices, or knowingly operating or permitting 
to be operated a train with an unauthorized disabled safety device in 
the controlling locomotive. (See 49 CFR part 218, subpart D and Appendix 
C to part 218);
    (6) Incidents of noncompliance with Sec. 219.101 of this chapter; 
however such

[[Page 633]]

incidents shall be considered as a violation only for the purposes of 
paragraphs (g)(2) and (3) of this section;
    (f)(1) If in any single incident the person's conduct contravened 
more than one operating rule or practice, that event shall be treated as 
a single violation for the purposes of this section.
    (2) A violation of one or more operating rules or practices 
described in paragraph (e)(1) through (e)(5) of this section that occurs 
during a properly conducted operational compliance test subject to the 
provisions of this chapter shall be counted in determining the periods 
of ineligibility described in paragraph (g) of this section.
    (3) An operational test that is not conducted in compliance with 
this part, a railroad's operating rules, or a railroad's program under 
Sec. 217.9 of this chapter, will not be considered a legitimate test of 
operational skill or knowledge, and will not be considered for 
certification, recertification or revocation purposes.
    (g) A period of ineligibility described in this paragraph shall:
    (1) Begin, for a person not currently certified, on the date of the 
railroad's written determination that the most recent incident has 
occurred; or
    (2) Begin, for a person currently certified, on the date of the 
railroad's notification to the person that recertification has been 
denied or certification has been revoked; and
    (3) Be determined according to the following standards:
    (i) In the case of a single incident involving violation of one or 
more of the operating rules or practices described in paragraphs (e)(1) 
through (e)(5) of this section, the person shall have his or her 
certificate revoked for a period of one month.
    (ii) In the case of two separate incidents involving a violation of 
one or more of the operating rules or practices described in paragraphs 
(e)(1) through (e)(5) of this section, that occurred within 24 months of 
each other, the person shall have his or her certificate revoked for a 
period of six months.
    (iii) In the case of three separate incidents involving violations 
of one or more of the operating rules or practices, described in 
paragraphs (e)(1) through (e)(6) of this section, that occurred within 
36 months of each other, the person shall have his or her certificate 
revoked for a period of one year.
    (iv) In the case of four separate incidents involving violations of 
one or more of the operating rules or practices, described in paragraphs 
(e)(1) through (e)(6) of this section, that occurred within 36 months of 
each other, the person shall have his or her certificate revoked for a 
period of three years.
    (v) Where, based on the occurrence of violations described in 
paragraph (e)(6) of this section, different periods of ineligibility may 
result under the provisions of this section and Sec. 240.119, the 
longest period of revocation shall control.
    (4) Be reduced to the shorter periods of ineligibility imposed by 
paragraphs (g)(1) through (3) of this section as amended, and effective 
January 7, 2000 if the incident:
    (i) Occurred prior to January 7, 2000; and
    (ii) Involved violations described in paragraphs (e)(1) through 
(e)(5) of this section; and
    (iii) Did not occur within 60 months of a prior violation as 
described in paragraph (e)(6) of this section.
    (h) Future eligibility to hold certificate. A person whose 
certification has been denied or revoked shall be eligible for grant or 
reinstatement of the certificate prior to the expiration of the initial 
period of revocation only if:
    (1) The denial or revocation of certification in accordance with the 
provisions of paragraph (g)(3) of this section is for a period of one 
year or less;
    (2) Certification was denied or revoked for reasons other than 
noncompliance with Sec. 219.101 of this chapter;
    (3) The person has been evaluated by a Designated Supervisor of 
Locomotive Engineers and determined to have received adequate remedial 
training;
    (4) The person has successfully completed any mandatory program of 
training or retraining, if that was determined to be necessary by the 
railroad prior to return to service; and
    (5) At least one half the pertinent period of ineligibility 
specified in paragraph (g)(3) of this section has elapsed.

[[Page 634]]

    (i) In no event shall incidents that meet the criteria of paragraphs 
(i)(1) through (4) of this section be considered as prior incidents for 
the purposes of paragraph (g)(3) of this section even though such 
incidents could have been or were validly determined to be violations at 
the time they occurred. Incidents that shall not be considered under 
paragraph (g)(3) of this section are those that:
    (1) Occurred prior to May 10, 1993;
    (2) Involved violations of one or more of the following operating 
rules or practices:
    (i) Failure to control a locomotive or train in accordance with a 
signal indication;
    (ii) Failure to adhere to limitations concerning train speed;
    (iii) Failure to adhere to procedures for the safe use of train or 
engine brakes; or
    (iv) Entering track segment without proper authority;
    (3) Were or could have been found to be violations under this 
section contained in the 49 CFR, parts 200 to 399, edition revised as of 
October 1, 1992; and
    (4) Would not be a violation of paragraph (e) of this section.
    (j) In no event shall incidents that meet the criteria of paragraphs 
(j)(1) through (2) of this section be considered as prior incidents for 
the purposes of paragraph (g)(3) of this section even though such 
incidents could have been or were validly determined to be violations at 
the time they occurred. Incidents that shall not be considered under 
paragraph (g)(3) of this section are those that:
    (1) Occurred prior to January 7, 2000;
    (2) Involved violations of one or more of the following operating 
rules or practices:
    (i) Failure to control a locomotive or train in accordance with a 
signal indication that requires a complete stop before passing it;
    (ii) Failure to adhere to limitations concerning train speed when 
the speed at which the train was operated exceeds the maximum authorized 
limit by at least 10 miles per hour or by more than one half of the 
authorized speed, whichever is less;
    (3) Were or could have been found to be violations under this 
section contained in the 49 CFR, parts 200 to 399, edition revised as of 
October 1, 1999; and
    (4) Would not be a violation of paragraph (e) of this section.

[64 FR 60990, Nov. 8, 1999, as amended at 68 FR 10139, Mar. 3, 2003]



Sec. 240.119  Criteria for consideration of data on substance abuse disorders and alcohol/drug rules compliance.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) Fitness requirement. (1) A person who has an active substance 
abuse disorder shall not be currently certified as a locomotive 
engineer.
    (2) Except as provided in paragraph (e) of this section, a certified 
engineer who is determined to have an active substance abuse disorder 
shall be suspended from certification. Consistent with other provisions 
of this part, certification may be reinstated as provided in paragraph 
(d) of this section.
    (3) In the case of a current employee of the railroad evaluated as 
having an active substance abuse disorder (including a person identified 
under the procedures of Sec. 240.115), the employee may, if otherwise 
eligible, voluntarily self-refer for substance abuse counseling or 
treatment under the policy required by Sec. 219.403 of this chapter; and 
the railroad shall then treat the substance abuse evaluation as 
confidential except with respect to current ineligibility for 
certification.
    (c) Prior alcohol/drug conduct; Federal rule compliance. (1) In 
determining whether a person may be or remain certified as a locomotive 
engineer, a railroad shall consider conduct described in paragraph 
(c)(2) of this section that occurred within a period of 60 consecutive 
months prior to the review. A review of certification shall be initiated 
promptly upon the occurrence and documentation of any incident of 
conduct described in this paragraph.
    (2) A railroad shall consider any violation of Sec. 219.101 or 
Sec. 219.102 of this chapter and any refusal or failure to provide a 
breath or body fluid sample for testing under the requirements of

[[Page 635]]

part 219 of this chapter when instructed to do so by a railroad 
representative.
    (3) A period of ineligibility described in this paragraph shall:
    (i) Begin, for a person not currently certified, on the date of the 
railroad's written determination that the most recent incident has 
occurred; or
    (ii) Begin, for a person currently certified, on the date of the 
railroad's notification to the person that recertification has been 
denied or certification has been revoked; and
    (4) The period of ineligibility described in this paragraph shall be 
determined in accordance with the following standards:
    (i) In the case of a single violation of Sec. 219.102 of this 
chapter, the person shall be ineligible to hold a certificate during 
evaluation and any required primary treatment as described in paragraph 
(d) of this section. In the case of two violations of Sec. 219.102, the 
person shall be ineligible to hold a certificate for a period of two 
years. In the case of more than two such violations, the person shall be 
ineligible to hold a certificate for a period of five years.
    (ii) In the case of one violation of Sec. 219.102 of this chapter 
and one violation of Sec. 219.101 of this chapter, the person shall be 
ineligible to hold a certificate for a period of three years.
    (iii) In the case of one violation of Sec. 219.101 of this chapter, 
the person shall be ineligible to hold a certificate for a period of 9 
months (unless identification of the violation was through a qualifying 
``co-worker report'' as described in Sec. 219.405 of this chapter and 
the engineer waives investigation, in which case the certificate shall 
be deemed suspended during evaluation and any required primary treatment 
as described in paragraph (d)). In the case of two or more violations of 
Sec. 219.101, the person shall be ineligible to hold a certificate for a 
period of five years.
    (iv) In the case of a refusal or failure to provide a breath or body 
fluid sample for testing under the requirements of part 219 of this 
chapter when instructed to do so by a railroad representative, the 
refusal or failure shall be treated for purposes of ineligibility under 
this paragraph in the same manner as a violation of--
    (A) Sec. 219.102, in the case of a refusal or failure to provide a 
urine specimen for testing; or
    (B) Sec. 219.101, in the case of a refusal or failure to provide a 
breath sample (subpart D), or a blood specimen for mandatory post-
accident toxicological testing (subpart C)).
    (d) Future eligibility to hold certificate following alcohol/drug 
violation. The following requirements apply to a person who has been 
denied certification or who has had certification suspended or revoked 
as a result of conduct described in paragraph (c) of this section:
    (1) The person shall not be eligible for grant or reinstatement of 
the certificate unless and until the person has--
    (i) Been evaluated by an EAP Counselor to determine if the person 
currently has an active substance abuse disorder;
    (ii) Successfully completed any program of counseling or treatment 
determined to be necessary by the EAP Counselor prior to return to 
service; and
    (iii) Presented a urine sample for testing under Subpart H of this 
part that tested negative for controlled substances assayed and has 
tested negative for alcohol under paragraph (d)(4) of this section.
    (2) An engineer placed in service or returned to service under the 
above-stated conditions shall continue in any program of counseling or 
treatment deemed necessary by the EAP Counselor and shall be subject to 
a reasonable program of follow-up alcohol and drug testing without prior 
notice for a period of not more than 60 months following return to 
service. Follow-up tests shall include not fewer than 6 alcohol tests 
and 6 drug tests during the first 12 months following return to service.
    (3) Return-to-service and follow-up alcohol and drug tests shall be 
performed consistent with the requirements of subpart H of part 219 of 
this chapter.
    (4) This paragraph does not create an entitlement to utilize the 
services of a railroad EAP Counselor, to be afforded leave from 
employment for counseling or treatment, or to employment as a

[[Page 636]]

locomotive engineer. Nor does it restrict any discretion available to 
the railroad to take disciplinary action based on conduct described 
herein.
    (e) Confidentiality protected. Nothing in this part shall affect the 
responsibility of the railroad under Sec. 219.403 of this chapter 
(``Voluntary Referral Policy'') to treat voluntary referrals for 
substance abuse counseling and treatment as confidential; and the 
certification status of an engineer who is successfully assisted under 
the procedures of that section shall not be adversely affected. However, 
the railroad shall include in its voluntary referral policy required to 
be issued pursuant to Sec. 219.403 of this chapter a provision that, at 
least with respect to a certified locomotive engineer or a candidate for 
certification, the policy of confidentiality is waived (to the extent 
that the railroad shall receive from the EAP Counselor official notice 
of the substance abuse disorder and shall suspend or revoke the 
certification, as appropriate) if the person at any time refuses to 
cooperate in a recommended course of counseling or treatment.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53136, Oct. 12, 1995; 
62 FR 63467, Dec. 1, 1997]



Sec. 240.121  Criteria for vision and hearing acuity data.

    (a) Each railroad's program shall include criteria and procedures 
implementing this section.
    (b) Fitness requirement. In order to be currently certified as a 
locomotive engineer, except as permitted by paragraph (e) of this 
section, a person's vision and hearing shall meet or exceed the 
standards prescribed in this section and appendix F to this part. It is 
recommended that each test conducted pursuant to this section should be 
performed according to any directions supplied by the manufacturer of 
such test and any American National Standards Institute (ANSI) standards 
that are applicable.
    (c) Except as provided in paragraph (e), each person shall have 
visual acuity that meets or exceeds the following thresholds:
    (1) For distant viewing either
    (i) Distant visual acuity of at least 20/40 (Snellen) in each eye 
without corrective lenses or
    (ii) Distant visual acuity separately corrected to at least 20/40 
(Snellen) with corrective lenses and distant binocular acuity of at 
least 20/40 (Snellen) in both eyes with or without corrective lenses;
    (2) A field of vision of at least 70 degrees in the horizontal 
meridian in each eye; and
    (3) The ability to recognize and distinguish between the colors of 
railroad signals as demonstrated by successfully completing one of the 
tests in appendix F to this part.
    (d) Except as provided in paragraph (e) of this section, each person 
shall have hearing acuity that meets or exceeds the following thresholds 
when tested by use of an audiometric device (calibrated to American 
National Standard Specification for Audiometers, S3.6-1969): the person 
does not have an average hearing loss in the better ear greater than 40 
decibels at 500Hz, 1,000 Hz, and 2,000 Hz with or without use of a 
hearing aid.
    (e) A person not meeting the thresholds in paragraphs (c) and (d) of 
this section shall, upon request, be subject to further medical 
evaluation by a railroad's medical examiner to determine that person's 
ability to safely operate a locomotive. In accordance with the guidance 
prescribed in appendix F to this part, a person is entitled to one 
retest without making any showing and to another retest if the person 
provides evidence substantiating that circumstances have changed since 
the last test to the extent that the person could now arguably operate a 
locomotive or train safely. The railroad shall provide its medical 
examiner with a copy of this part, including all appendices. If, after 
consultation with one of the railroad's designated supervisors of 
locomotive engineers, the medical examiner concludes that, despite not 
meeting the threshold(s) in paragraphs (c) and (d) of this section, the 
person has the ability to safely operate a locomotive, the person may be 
certified as a locomotive engineer and such certification conditioned on 
any special restrictions the medical examiner determines in writing to 
be necessary.

[[Page 637]]

    (f) As a condition of maintaining certification, each certified 
locomotive engineer shall notify his or her employing railroad's medical 
department or, if no such department exists, an appropriate railroad 
official if the person's best correctable vision or hearing has 
deteriorated to the extent that the person no longer meets one or more 
of the prescribed vision or hearing standards or requirements of this 
section. This notification is required prior to any subsequent operation 
of a locomotive or train which would require a certified locomotive 
engineer.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999]



Sec. 240.123  Criteria for initial and continuing education.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) A railroad shall provide for the continuing education of 
certified locomotive engineers to ensure that each engineer maintains 
the necessary knowledge, skill and ability concerning personal safety, 
operating rules and practices, mechanical condition of equipment, 
methods of safe train handling (including familiarity with physical 
characteristics as determined by a qualified Designated Supervisor of 
Locomotive Engineers), and relevant Federal safety rules.
    (c) A railroad that elects to train a previously untrained person to 
be a locomotive engineer shall provide initial training which, at a 
minimum:
    (1) Is composed of classroom, skill performance, and familiarization 
with physical characteristics components;
    (2) Includes both knowledge and performance skill testing;
    (3) Is conducted under the supervision of a qualified class 
instructor;
    (4) Is subdivided into segments or periods of appropriate duration 
to effectively cover the following subject matter areas:
    (i) Personal safety,
    (ii) Railroad operating rules,
    (iii) Mechanical condition of equipment,
    (iv) Train handling procedures (including use of locomotive and 
train brake systems),
    (v) Familiarization with physical characteristics including train 
handling, and
    (vi) Compliance with Federal regulations;
    (5) Is conducted so that the performance skill component shall
    (i) Be under the supervision of a qualified instructor engineer 
located in the same control compartment whenever possible;
    (ii) Place the student engineer at the controls of a locomotive for 
a significant portion of the time; and
    (iii) Permit the student to experience whatever variety of types of 
trains are normally operated by the railroad.
    (d) Pursuant to paragraphs (b) and (c) of this section, a person may 
acquire familiarity with the physical characteristics of a territory 
through the following methods if the specific conditions included in the 
description of each method are met. The methods used by a railroad for 
familiarizing its engineers with new territory while starting up a new 
railroad, starting operations over newly acquired rail lines, or 
reopening of a long unused route, shall be described in the railroad's 
locomotive engineer qualification program required under this part and 
submitted according to the procedures described in Appendix B to this 
part.
    (1) If ownership of a railroad is being transferred from one company 
to another, the engineer(s) of the acquiring company may receive 
familiarization training from the selling company prior to the acquiring 
railroad commencing operation; or
    (2) Failing to obtain familiarization training from the previous 
owner, opening a new rail line, or reopening an unused route would 
require that the engineer(s) obtain familiarization through other 
methods. Acceptable methods of obtaining familiarization include using 
hyrail trips or initial lite locomotive trips in compliance with what is 
specified in the railroad's locomotive engineer qualification program 
required under this part and submitted according to the procedures 
described in Appendix B to this part.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999]

[[Page 638]]



Sec. 240.125  Criteria for testing knowledge.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) A railroad shall have procedures for testing a person being 
evaluated for qualification as a locomotive engineer in either train or 
locomotive service to determine that the person has sufficient knowledge 
of the railroad's rules and practices for the safe operation of trains.
    (c) The testing methods selected by the railroad shall be:
    (1) Designed to examine a person's knowledge of the railroad's rules 
and practices for the safe operation of trains;
    (2) Objective in nature;
    (3) Administered in written form;
    (4) Cover the following subjects:
    (i) Personal safety practices;
    (ii) Operating practices;
    (iii) Equipment inspection practices;
    (iv) Train handling practices including familiarity with the 
physical characteristics of the territory; and
    (v) Compliance with Federal safety rules;
    (5) Sufficient to accurately measure the person's knowledge of the 
covered subjects; and
    (6) Conducted without open reference books or other materials except 
to the degree the person is being tested on his or her ability to use 
such reference books or materials.
    (d) The conduct of the test shall be documented in writing and the 
documentation shall contain sufficient information to identify the 
relevant facts relied on for evaluation purposes.



Sec. 240.127  Criteria for examining skill performance.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) A railroad shall have procedures for examining the performance 
skills of a person being evaluated for qualification as a locomotive 
engineer in either train or locomotive service to determine whether the 
person has the skills to safely operate locomotives and/or trains, 
including the proper application of the railroad's rules and practices 
for the safe operation of locomotives or trains, in the most demanding 
class or type of service that the person will be permitted to perform.
    (c) The testing procedures selected by the railroad shall be:
    (1) Designed to examine a person's skills in safely operating 
locomotives or trains including the proper application of the railroad's 
rules and practices for the safe operation of locomotives or trains when 
performing the most demanding class or type of service that the person 
will be permitted to perform;
    (2) Conducted by a Designated Supervisor of Locomotive Engineers, 
who does not need to be qualified on the physical characteristics of the 
territory over which the test will be conducted;
    (3) Cover the following subjects during the test period
    (i) Operating practices;
    (ii) Equipment inspection practices;
    (iii) Train handling practices; and
    (iv) Compliance with Federal safety rules;
    (4) Be of sufficient length to effectively evaluate the person's 
ability to operate trains; and
    (5) Conducted when the person either
    (i) Is at the controls of the type of train normally operated on 
that railroad or segment of railroad and which this person might be 
permitted or required by the railroad to operate in the normal course of 
events after certification or
    (ii) Is at the controls of a Type I or Type II simulator programmed 
to replicate the responsive behavior of the type of train normally 
operated on that railroad or segment of railroad and which this person 
might be permitted or required by the railroad to operate in the normal 
course of events after certification.
    (d) The conduct of the test shall be documented in writing by the 
designated supervisor and the documentation shall contain:
    (1) The relevant facts concerning the train being operated;
    (2) The constraints applicable to its operation; and

[[Page 639]]

    (3) The factors observed and relied on for evaluation purposes by 
the designated supervisor.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999]



Sec. 240.129  Criteria for monitoring operational performance of certified engineers.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) A railroad shall have procedures for monitoring the operational 
performance of those it has determined as qualified as a locomotive 
engineer in either train or locomotive service.
    (c) The procedures shall:
    (1) Be designed to determine that the person possesses and routinely 
employs the skills to safely operate locomotives and/or trains, 
including the proper application of the railroad's rules and practices 
for the safe operation of locomotives and trains;
    (2) Be designed so that each engineer shall be annually monitored by 
a Designated Supervisor of Locomotive Engineers, who does not need to be 
qualified on the physical characteristics of the territory over which 
the operational performance monitoring will be conducted;
    (3) Be designed so that the locomotive engineer is either 
accompanied by the designated supervisor for a reasonable length of time 
or has his or her train handling activities electronically recorded by a 
train operations event recorder;
    (d) The procedures may be designed so that the locomotive engineer 
being monitored either (i) is at the controls of the type of train 
normally operated on that railroad or segment of railroad and which this 
person might be permitted or required by the railroad to operate in the 
normal course of events after certification or (ii) is at the controls 
of a Type I or Type II simulator programmed to replicate the responsive 
behavior of the type of train normally operated on that railroad or 
segment of railroad and which this person might be permitted or required 
by the railroad to operate in the normal course of events after 
certification.
    (e) The testing and examination procedures selected by the railroad 
for the conduct of a monitoring program shall be:
    (1) Designed so that each locomotive engineer shall be given at 
least one unannounced test each calendar year.
    (2) Designed to test engineer compliance with provisions of the 
railroad's operating rules that require response to signals that display 
less than a ``clear'' aspect, if the railroad operates with a signal 
system that must comply with part 236 of this chapter;
    (3) Designed to test engineer compliance with provisions of the 
railroad's operating rules, timetable or other mandatory directives that 
require affirmative response by the locomotive engineer to less 
favorable conditions than that which existed prior to initiation of the 
test;
    (4) Designed to test engineer compliance with provisions of the 
railroad's operating rules, timetable or other mandatory directives 
violation of which by engineers were cited by the railroad as the cause 
of train accidents or train incidents in accident reports filed in 
compliance with part 225 of this chapter in the preceding calendar year;
    (5) Designed so that the administration of these tests is 
effectively distributed throughout whatever portion of a 24-hour day 
that the railroad conducts its operations; and
    (6) Designed so that individual tests are administered without prior 
notice to the engineer being tested.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999]



         Subpart C--Implementation of the Certification Process



Sec. 240.201  Schedule for implementation.

    (a) After October 30, 1991, each railroad in operation on that date 
shall designate in writing any person(s) it deems qualified as a 
designated supervisor of locomotive engineers. Each person so designated 
shall have demonstrated to the railroad through training, testing or 
prior experience that he or she has the knowledge, skills, and ability 
to be a designated supervisor of locomotive engineers.
    (b) No later than November 1, 1991, each railroad shall designate in 
writing all persons that it will deem to be

[[Page 640]]

qualified as certified locomotive engineers for the purpose of initial 
compliance with paragraph (d) of this section, except as provided for in 
paragraph (h) of this section.
    (1) Each person so designated shall have demonstrated to the 
railroad through training, testing or prior experience that he or she 
has the knowledge and skills to be a certified locomotive engineer.
    (2) Each railroad shall issue, no later than December 31, 1991, a 
certificate that complies with Sec. 240.223 to each person that it 
designates as qualified under the provisions of paragraph (b) of this 
section.
    (c) No railroad shall permit or require a person, designated as 
qualified for certification under the provisions of paragraph (b) of 
this section, to perform service as a certified locomotive or train 
service engineer for more than the 36-month period beginning on the 
pertinent date for compliance with the mandatory procedures for testing 
and evaluation set forth in the applicable provisions of paragraph (e), 
(f) or (g) of this section unless that person has been determined to be 
qualified in accordance with procedures that comply with subpart C.
    (d) After December 31, 1991, no railroad shall permit or require any 
person to operate a locomotive in any class of locomotive or train 
service unless that person has been certified as a qualified locomotive 
engineer and issued a certificate that complies with Sec. 240.223.
    (e) After December 31, 1991, no Class I railroad (including the 
National Railroad Passenger Corporation) or railroad providing commuter 
service shall designate any person it deems qualified as a designated 
supervisor of locomotive engineers or initially certify or recertify a 
person as a locomotive engineer in either locomotive or train service 
unless that person has been tested, evaluated, and determined to be 
qualified in accordance with procedures that comply with subpart C.
    (f) After May 31, 1992 no Class II railroad shall designate any 
person it deems qualified as a designated supervisor of locomotive 
engineers or initially certify or recertify a person as a locomotive 
engineer in any class of locomotive or train service unless that person 
has been tested, evaluated and determined to be qualified in accordance 
with procedures that comply with subpart C.
    (g) After November 30, 1992 no Class III railroad (including a 
switching and terminal or other railroad not otherwise classified) shall 
designate any person it deems qualified as a designated supervisor of 
locomotive engineers or initially certify or recertify a person as a 
locomotive engineer in any class of locomotive or train service unless 
that person has been tested, evaluated and determined to be qualified in 
accordance with procedures that comply with subpart C.
    (h) A railroad may continue to designate any person it deems 
qualified as a designated supervisor of locomotive engineers or as a 
certified engineer, on the basis of paragraph (b) determinations, prior 
to the pertinent date by which a railroad of its class must comply with 
the procedures for testing and evaluating persons required under subpart 
C. Each person designated as a locomotive engineer shall be issued a 
certificate that complies with Sec. 240.223 prior to being required or 
permitted to operate a locomotive.
    (i) A railroad commencing operations prior to the pertinent date for 
compliance by a railroad of its class may designate any person it deems 
qualified as a designated supervisor of locomotive engineers or as a 
certified locomotive engineer on the basis of paragraph (b) until the 
pertinent date for compliance with the procedures for testing and 
evaluating required under subpart C. Each person designated as a 
locomotive engineer shall be issued a certificate that complies with 
Sec. 240.223 prior to being required or permitted to operate a 
locomotive.



Sec. 240.203  Determinations required as a prerequisite to certification.

    (a) Except as provided in paragraph (c), after the pertinent date 
specified in paragraph (e), (f), or (g) of Sec. 240.201, each railroad, 
prior to initially certifying or recertifying any person as an engineer 
for any class of service, shall, in accordance with its FRA-approved 
program determine in writing that:

[[Page 641]]

    (1) The individual meets the eligibility requirements of 
Secs. 240.115, 240.117 and 240.119; and
    (2) The individual meets the vision and hearing acuity standards of 
Sec. 240.121;
    (3) The individual has the necessary knowledge, as demonstrated by 
successfully completing a test that meets the requirements of 
Sec. 240.125;
    (4) The individual has the necessary applied knowledge and operating 
performance skills, as demonstrated by successfully completing an 
operational performance test that meets the requirements of 
Sec. 240.127; and
    (5) Where a person has not previously been certified, that the 
person has completed a training program that meets the requirements of 
Sec. 240.123.
    (b) A railroad may certify a person as a student engineer after 
determining that the person meets the vision and hearing acuity 
standards of Sec. 240.121. A railroad may subsequently certify that 
student engineer as either a locomotive servicing engineer or a train 
service engineer without further review of his or her acuity status 
provided it determines that:
    (1) The person successfully completed a training program that 
complies with Sec. 240.123;
    (2) The person meets the eligibility requirements of Secs. 240.109 
and 240.119; and
    (3) A period of not more than twenty-four months has elapsed since 
the student engineer certification was issued.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53136, Oct. 12, 1995]



Sec. 240.205  Procedures for determining eligibility based on prior safety conduct.

    (a) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad, prior to initially certifying or 
recertifying any person as an engineer for any class of service, shall 
determine that the person meets the eligibility requirements of 
Sec. 240.115 involving prior conduct as a motor vehicle operator, 
Sec. 240.117 involving prior conduct as a railroad worker, and 
Sec. 240.119 involving substance abuse disorders and alcohol/drug rules 
compliance.
    (b) In order to make the determination required under paragraph (a) 
of this section, a railroad shall have on file documents pertinent to 
the determinations referred to in paragraph (a) of this section, 
including a written document from its EAP Counselor either a document 
reflecting his or her professional opinion that the person has been 
evaluated as not currently affected by a substance abuse disorder or 
that the person has been evaluated as affected by an active substance 
abuse disorder and is ineligible for certification.



Sec. 240.207  Procedures for making the determination on vision and hearing acuity.

    (a) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad, prior to initially certifying or 
recertifying any person as an engineer for any class of service, shall 
determine that the person meets the standards for visual acuity and 
hearing acuity prescribed in Sec. 240.121.
    (b) In order to make the determination required under paragraph (a), 
a railroad shall have on file either:
    (1) A medical examiner's certificate that the individual has been 
medically examined and meets these acuity standards; or
    (2) A written document from its medical examiner documenting his or 
her professional opinion that the person does not meet one or both 
acuity standards and stating the basis for his or her determination that
    (i) The person can nevertheless be certified under certain 
conditions or
    (ii) The person's acuity is such that he or she cannot safely 
operate a locomotive even with conditions attached.
    (c) Any examination required for compliance with this section shall 
be performed by or under the supervision of a medical examiner or a 
licensed physician's assistant such that:
    (1) A licensed optometrist or a technician responsible to that 
person may perform the portion of the examination that pertains to 
visual acuity; and
    (2) A licensed or certified audiologist or a technician responsible 
to that person may perform the portion of the examination that pertains 
to hearing acuity.

[[Page 642]]

    (d) If the examination required under this section discloses that 
the person needs corrective lenses or a hearing aid, or both, either to 
meet the threshold acuity levels established in Sec. 240.121 or to meet 
a lower threshold determined by the railroad's medical examiner to be 
sufficient to safely operate a locomotive or train on that railroad, 
that fact shall be noted on the certificate issued in accordance with 
the provisions of this part.
    (e) Any person with such a certificate notation shall use the 
relevant corrective device(s) while operating a locomotive in locomotive 
or train service unless the railroad's medical examiner subsequently 
determines in writing that the person can safely operate without using 
the device.



Sec. 240.209  Procedures for making the determination on knowledge.

    (a) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad, prior to initially certifying or 
recertifying any person as an engineer for any class of train or 
locomotive service, shall determine that the person has, in accordance 
with the requirements of Sec. 240.125 of this part, demonstrated 
sufficient knowledge of the railroad's rules and practices for the safe 
operation of trains.
    (b) In order to make the determination required by paragraph (a) a 
railroad shall have written documentation showing that the person either
    (i) Exhibited his or her knowledge by achieving a passing grade in 
testing that complies with this part or
    (ii) Did not achieve a passing grade in such testing.
    (c) If a person fails to achieve a passing score under the testing 
procedures required by this part no railroad shall permit or require 
that person to operate a locomotive as a locomotive or train service 
engineer prior to that person's achieving a passing score during a 
reexamination of his or her knowledge.



Sec. 240.211  Procedures for making the determination on performance skills.

    (a) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad, prior to initially certifying or 
recertifying any person as an engineer for any class of train or 
locomotive service, shall determine that the person has demonstrated, in 
accordance with the requirements of Sec. 240.127 of this part, the 
skills to safely operate locomotives or locomotives and trains, 
including the proper application of the railroad's rules and practices 
for the safe operation of locomotives or trains, in the most demanding 
class or type of service that the person will be permitted to perform.
    (b) In order to make this determination, a railroad shall have 
written documentation showing the person either
    (i) Exhibited his or her knowledge by achieving a passing grade in 
testing that complies with this part or
    (ii) Did not achieve a passing grade in such testing.
    (c) If a person fails to achieve a passing score under the testing 
and evaluation procedures required by this part, no railroad shall 
permit or require that person to operate a locomotive as a locomotive or 
train service engineer prior to that person's achieving a passing score 
during a reexamination of his or her performance skills.
    (d) No railroad shall permit a designated supervisor of locomotive 
engineers to test, examine or evaluate his or her own performance skills 
when complying with this section.



Sec. 240.213  Procedures for making the determination on completion of training program.

    (a) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad, prior to the initial issuance of a 
certificate to any person as a train or locomotive service engineer, 
shall determine that the person has, in accordance with the requirements 
of Sec. 240.123 of this part, the knowledge and skills to safely operate 
a locomotive or train in the most demanding class or type of service 
that the person will be permitted to perform.
    (b) In making this determination, a railroad shall have written 
documentation showing that:
    (1) The person completed a training program that complies with 
Sec. 240.123 of this part;

[[Page 643]]

    (2) The person demonstrated his or her knowledge and skills by 
achieving a passing grade under the testing and evaluation procedures of 
that training program; and
    (3) A qualified Designated Supervisor of Locomotive Engineers has 
determined that the person is familiar with the physical characteristics 
of the railroad or its pertinent segments.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999]



Sec. 240.215  Retaining information supporting determinations.

    (a) After the pertinent date in paragraphs (e), (f) or (g) of 
Sec. 240.201, a railroad that issues, denies, or revokes a certificate 
after making the determinations required under Sec. 240.203 shall 
maintain a record for each certified engineer or applicant for 
certification that contains the information the railroad relied on in 
making the determinations.
    (b) The information concerning eligibility that the railroad shall 
retain includes:
    (1) Any relevant data from the railroad's records concerning the 
person's prior safety conduct;
    (2) Any relevant data furnished by another railroad;
    (3) Any relevant data furnished by a governmental agency concerning 
the person's motor vehicle driving record; and
    (4) Any relevant data furnished by the person seeking certification 
concerning his or her eligibility.
    (c) The information concerning vision and hearing acuity that the 
railroad shall retain includes:
    (1) The relevant test results data concerning acuity; and,
    (2) If applicable, the relevant data concerning the professional 
opinion of the railroad's medical examiner on the adequacy of the 
person's acuity.
    (d) The information concerning demonstrated knowledge that the 
railroad shall retain includes:
    (1) Any relevant data from the railroad's records concerning the 
person's success or failure of the passage of knowledge test(s); and
    (2) A sample copy of the written knowledge test or tests 
administered.
    (e) The information concerning demonstrated performance skills that 
the railroad shall retain includes:
    (1) The relevant data from the railroad's records concerning the 
person's success or failure on the performance skills test(s) that 
documents the relevant operating facts on which the evaluation is based 
including the observations and evaluation of the designated supervisor 
of locomotive engineers;
    (2) If a railroad relies on the use of a locomotive operations 
simulator to conduct the performance skills testing required under this 
part, the relevant data from the railroad's records concerning the 
person's success or failure on the performance skills test(s) that 
documents the relevant operating facts on which the determination was 
based including the observations and evaluation of the designated 
supervisor of locomotive engineers; and;
    (3) The relevant data from the railroad's records concerning the 
person's success or failure on tests the railroad performed to monitor 
the engineer's operating performance in accordance with Sec. 240.129.
    (f) If a railroad is relying on successful completion of an approved 
training program conducted by another entity, the relying railroad shall 
maintain a record for each certified engineer that contains the relevant 
data furnished by the training entity concerning the person's 
demonstration of knowledge and performance skills and relied on by the 
railroad in making its determinations.
    (g) If a railroad is relying on a certification decision initially 
made by another railroad, the relying railroad shall maintain a record 
for each certified engineer that contains the relevant data furnished by 
the other railroad which it relied on in making its determinations.
    (h) All records required under this section shall be retained for a 
period of six years from the date of the certification, recertification, 
denial or revocation decision and shall be made available to FRA 
representatives upon request during normal business hours.
    (i) It shall be unlawful for any railroad to knowingly or any 
individual to willfully:

[[Page 644]]

    (1) Make, cause to be made, or participate in the making of a false 
entry on the record(s) required by this section; or
    (2) Otherwise falsify such records through material misstatement, 
omission, or mutilation.
    (j) Nothing in this section precludes a railroad from maintaining 
the information required to be retained under this section in an 
electronic format provided that:
    (1) The railroad adequately limits and controls those who have 
access to such information;
    (2) The railroad employs a system for data storage that permits 
reasonable access and retrieval of the information in usable format when 
requested to furnish data by FRA representatives; and
    (3) Information retrieved from the system can be easily produced in 
a printed format which can be readily provided to FRA representatives 
and authenticated by a designated representative of the railroad as a 
true and accurate copy of the railroad's records if requested to do so 
by FRA representatives.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]



Sec. 240.217  Time limitations for making determinations.

    (a) After the pertinent date in paragraph (e), (f) or (g) of 
Sec. 240.201, a railroad shall not certify or recertify a person as a 
qualified locomotive engineer in any class of train or engine service, 
if the railroad is making:
    (1) A determination concerning eligibility and the eligibility data 
being relied on were furnished more than 366 days before the date of the 
railroad's certification decision;
    (2) A determination concerning visual and hearing acuity and the 
medical examination being relied on was conducted more than 366 days 
before the date of the railroad's recertification decision;
    (3) A determination concerning demonstrated knowledge and the 
knowledge examination being relied on was conducted more than 366 days 
before the date of the railroad's certification decision; or
    (4) A determination concerning demonstrated performance skills and 
the performance skill testing being relied on was conducted more than 
366 days before the date of the railroad's certification decision;
    (b) The time limitations of paragraph (a) of this section do not 
apply to a railroad that is making a certification decision in reliance 
on determinations made by another railroad in accordance with paragraph 
(c)(2) of this section, Sec. 240.227, or Sec. 240.229.
    (c) Except as provided in Sec. 240.201 concerning implementation 
dates for initial certification decisions and paragraph (b) of this 
section, no railroad shall:
    (1) Certify a person as a qualified locomotive engineer for an 
interval of more than 36 months; or
    (2) Rely on a certification issued by another railroad that is more 
than 36 months old.
    (d) Except as provided for in Sec. 240.201 concerning initial 
implementation of the program, a railroad shall issue each person 
designated as a certified locomotive engineer a certificate that 
complies with Sec. 240.223 no later than 30 days from the date of its 
decision to certify or recertify that person.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993; 60 
FR 53137, Oct. 12, 1995; 64 FR 60992, Nov. 8, 1999]



Sec. 240.219  Denial of certification.

    (a) A railroad shall notify a candidate for certification or 
recertification of information known to the railroad that forms the 
basis for denying the person certification and provide the person a 
reasonable opportunity to explain or rebut that adverse information in 
writing prior to denying certification.
    (b) This section does not require further opportunity to comment if 
the railroad's denial is based solely on factors addressed by 
Secs. 240.115, 240.117, and 240.119 and the opportunity to comment 
afforded by those sections has been provided.
    (c) If it denies a person certification or recertification, a 
railroad shall notify the person of the adverse decision and explain, in 
writing, the basis for its denial decision. The document explaining the 
basis for the denial shall be

[[Page 645]]

mailed or delivered to the person within 10 days after the railroad's 
decision and shall give the date of the decision.



Sec. 240.221  Identification of qualified persons.

    (a) After November 1, 1991, a railroad shall maintain a written 
record identifying each person designated by it as a supervisor of 
locomotive engineers.
    (b) After November 1, 1991, a railroad shall maintain a written 
record identifying each person designated as a certified locomotive 
engineer. That listing of certified engineers shall indicate the class 
of service the railroad determines each person is qualified to perform 
and date of the railroad's certification decision.
    (c) If a railroad is responsible for controlling joint operations 
territory, the listing shall include person(s) certified in accordance 
with Sec. 240.229.
    (d) The listing required by paragraphs (a), (b), and (c) shall be 
updated at least annually.
    (e) The record required under this section shall be kept at the 
divisional or regional headquarters of the railroad and shall be 
available for inspection or copying by FRA during regular business 
hours.
    (f) A railroad may obtain approval from FRA to maintain this record 
electronically or maintain this record at the railroad's general 
offices, or both. Requests for such approval shall be filed in writing 
with the Associate Administrator for Safety and contain sufficient 
information to explain how FRA will be given access to the data that is 
fully equivalent to that created by compliance with paragraph (e).



Sec. 240.223  Criteria for the certificate.

    (a) As a minimum, each certificate issued in compliance with this 
part shall:
    (1) Identify the railroad or parent company that is issuing it;
    (2) Indicate that the railroad, acting in conformity with this part, 
has determined that the person to whom it is being issued has been 
determined to be qualified to operate a locomotive;
    (3) Identify the person to whom it is being issued (including the 
person's name, date of birth and employee identification number, and 
either a physical description or photograph of the person);
    (4) Identify any conditions or limitations, including the class of 
service or conditions to ameliorate vision or hearing acuity 
deficiencies, that restrict the person's operational authority;
    (5) Show the date of its issuance;
    (6) Be signed by a supervisor of locomotive engineers or other 
individual designated in accordance with paragraph (b) of this section;
    (7) Show the date of the person's last operational monitoring event 
as required by Sec. 240.129(c) and Sec. 240.303(b), unless that 
information is reflected on supplementary documents which the locomotive 
engineer has in his or her possession when operating a locomotive; and
    (8) Be of sufficiently small size to permit being carried in an 
ordinary pocket wallet.
    (b) Each railroad to which this part applies shall designate in 
writing any person, other than a supervisor of locomotive engineers, 
that it authorizes to sign the certificates described in this section. 
The designation can identify such persons by name or job title.
    (c) Nothing in paragraph (a) of this section shall prohibit any 
railroad from including additional information on the certificate or 
supplementing the certificate through other documents.
    (d) It shall be unlawful for any railroad to knowingly or any 
individual to willfully:
    (1) Make, cause to be made, or participate in the making of a false 
entry on that certificate; or
    (2) Otherwise falsify that certificate through material 
misstatement, omission, or mutilation.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993; 64 
FR 60993, Nov. 8, 1999]



Sec. 240.225  Reliance on qualification determinations made by other railroads.

    (a) After December 31, 1991, a railroad that is considering 
certification of a person as a qualified engineer may rely on 
determinations made by another railroad concerning that person's 
qualifications. The railroad's certification program shall address how 
the

[[Page 646]]

railroad will administer the training of previously uncertified 
engineers with extensive operating experience or previously certified 
engineers who have had their certification expire. If a railroad's 
certification program fails to specify how to train a previously 
certified engineer hired from another railroad, then the railroad shall 
require the newly hired engineer to take the hiring railroad's entire 
training program. A railroad relying on another's certification shall 
determine that:
    (1) The prior certification is still valid in accordance with the 
provisions of Secs. 240.201, 240.217, and 240.307;
    (2) The prior certification was for the same classification of 
locomotive or train service as the certification being issued under this 
section;
    (3) The person has received training on and visually observed the 
physical characteristics of the new territory in accordance with 
Sec. 240.123;
    (4) The person has demonstrated the necessary knowledge concerning 
the railroad's operating rules in accordance with Sec. 240.125;
    (5) The person has demonstrated the necessary performance skills 
concerning the railroad's operating rules in accordance with 
Sec. 240.127.
    (b) [Reserved]

[64 FR 60993, Nov. 8, 1999]



Sec. 240.227  Reliance on qualification requirements of other countries.

    (a) A railroad that conducts joint operations with a Canadian 
railroad may certify, for the purposes of compliance with this part, 
that a person is qualified to be a locomotive or train service engineer 
provided it determines that:
    (1) The person is employed by the Canadian railroad; and
    (2) The person meets or exceeds the qualifications standards issued 
by Transport Canada for such service.
    (b) Any Canadian railroad that is required to comply with this 
regulation may certify that a person is qualified to be a locomotive or 
train service engineer provided it determines that:
    (1) The person is employed by the Canadian railroad; and
    (2) The person meets or exceeds the qualifications standards issued 
by Transport Canada for such service.



Sec. 240.229  Requirements for joint operations territory.

    (a) Except for minimal joint operations provided for in paragraph 
(f) of this section, no railroad that is responsible for controlling the 
conduct of joint operations with another railroad shall permit or 
require any person to operate a locomotive in any class of train or 
engine service unless that person has been certified as a qualified 
locomotive engineer for the purposes of joint operations and issued a 
certificate that complies with Sec. 240.223.
    (b) Each railroad that is responsible for controlling the conduct of 
joint operations with another railroad shall certify a person as a 
qualified locomotive engineer for the purposes of joint operations 
either by making the determinations required under subpart C of this 
part or by relying on the certification issued by another railroad under 
this part.
    (c) A railroad that controls joint operations may rely on the 
certification issued by another railroad under the following conditions:
    (1) The controlling railroad shall determine:
    (i) That the person has been certified as a qualified engineer under 
the provisions of this part by the railroad which employs that 
individual;
    (ii) That the person certified as a locomotive engineer by the other 
railroad has demonstrated the necessary knowledge concerning the 
controlling railroad's operating rules, if the rules are different;
    (iii) That the person certified as a locomotive engineer by the 
other railroad has the necessary operating skills concerning the joint 
operations territory; and
    (iv) That the person certified as a locomotive engineer by the other 
railroad has the necessary familiarity with the physical characteristics 
for the joint operations territory; and,
    (2) The railroad which employs the individual shall determine that 
the person called to operate on the controlling railroad is a certified 
engineer who is qualified to operate on that track segment; and
    (3) Each locomotive engineer who is called to operate on another 
railroad shall:

[[Page 647]]

    (i) Be qualified on the segment of track upon which he or she will 
operate in accordance with the requirements set forth by the controlling 
railroad; and,
    (ii) Immediately notify the railroad upon which he or she is 
employed if he or she is not qualified to perform that service.
    (d) A railroad that controls joint operations and certifies 
locomotive engineers from a different railroad may comply with the 
requirements of paragraph (a) of this section by noting its supplemental 
certification decision on the original certificate as provided for in 
Sec. 240.223(c).
    (e) A railroad responsible for controlling the conduct of joint 
operations with another railroad shall be deemed to be in compliance 
with paragraph (a) of this section when it provides a qualified person 
to accompany a locomotive engineer who lacks joint operations 
certification during that engineer's operations in joint operations 
territory. As used in this section qualified person means either a 
designated supervisor of locomotive engineers or a certified train 
service engineer determined by the controlling railroad to have the 
necessary knowledge concerning the controlling railroad's operating 
rules and to have the necessary operating skills including familiarity 
with its physical characteristics concerning the joint operations 
territory.
    (f) A railroad that is responsible for controlling the conduct of 
joint operations with another railroad may permit a certified locomotive 
engineer to operate a locomotive in any class of train or engine service 
without determining that the person has been certified as a qualified 
locomotive engineer for the purposes of joint operations when a minimal 
joint operation is involved. For the purposes of this section a minimal 
joint operation exists when a locomotive or train belonging to one 
railroad is being operated on the same track on which operations are 
conducted by the railroad controlling operations, under the following 
conditions:
    (1) The maximum authorized speed for operations on the track does 
not exceed 20 miles per hour;
    (2) The track is other than a main track;
    (3) Operations are conducted under operating rules that require 
every locomotive and train to proceed at a speed that permits stopping 
within one half the range of vision of the locomotive engineer; and
    (4) The maximum distance for joint operations on the track does not 
exceed one mile.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993; 64 
FR 60993, Nov. 8, 1999]



Sec. 240.231  Requirements for locomotive engineers unfamiliar with physical characteristics in other than joint operations.

    (a) Except as provided in paragraph (b) of this section, no 
locomotive engineer shall operate a locomotive over a territory unless 
he or she is qualified on the physical characteristics of the territory 
pursuant to the railroad's certification program.
    (b) Except as provided in paragraph (c) of this section, if a 
locomotive engineer lacks qualification on the physical characteristics 
required by paragraph (a) of this section, he or she shall be assisted 
by a pilot qualified over the territory pursuant to the railroad's 
certification program.
    (1) For a locomotive engineer who has never been qualified on the 
physical characteristics of the territory over which he or she is to 
operate a locomotive or train, the pilot shall be a person qualified and 
certified as a locomotive engineer who is not an assigned crew member.
    (2) For a locomotive engineer who was previously qualified on the 
physical characteristics of the territory over which he or she is to 
operate a locomotive or train, but whose qualification has expired, the 
pilot may be any person, who is not an assigned crew member, qualified 
on the physical characteristics of the territory.
    (c) Pilots are not required if the movement is on a section of track 
with an average grade of less than 1% over 3 continuous miles, and
    (1) The track is other than a main track; or

[[Page 648]]

    (2) The maximum distance the locomotive or train will be operated 
does not exceed one mile; or
    (3) The maximum authorized speed for any operation on the track does 
not exceed 20 miles per hour; or
    (4) Operations are conducted under operating rules that require 
every locomotive and train to proceed at a speed that permits stopping 
within one half the range of vision of the locomotive engineer.

[64 FR 60993, Nov. 8, 1999]



         Subpart D--Administration of the Certification Programs



Sec. 240.301  Replacement of certificates.

    A railroad shall have a system for the prompt replacement of lost, 
stolen or mutilated certificates and that system shall be reasonably 
accessible to certified locomotive engineers in need of a replacement 
certificate.



Sec. 240.303  Operational monitoring requirements.

    (a) After December 31, 1991, each railroad to which this part 
applies shall, prior to FRA approval of its program in accordance with 
Sec. 240.201, have a program to monitor the conduct of its certified 
locomotive engineers by performing both operational monitoring 
observations and by conducting unannounced operating rules compliance 
tests.
    (b) The program shall be conducted so that each locomotive engineer 
shall be given at least one operational monitoring observation by a 
qualified supervisor of locomotive engineers in each calendar year.
    (c) The program shall be conducted so that each locomotive engineer 
shall be given at least one unannounced compliance test each calendar 
year.
    (d) The unannounced test program shall:
    (1) Test engineer compliance with one or more provisions of the 
railroad's operating rules that require response to signals that display 
less than a ``clear'' aspect, if the railroad operates with a signal 
system that must comply with part 236 of this chapter;
    (2) Test engineer compliance with one or more provisions of the 
railroad's operating rules, timetable or other mandatory directives that 
require affirmative response by the locomotive engineer to less 
favorable conditions than that which existed prior to initiation of the 
test;
    (3) Test engineer compliance with provisions of the railroad's 
operating rules, timetable or other mandatory directives the violations 
of which by engineers were cited by the railroad as the cause of train 
accidents or train incidents in accident reports filed in compliance 
with part 225 of this chapter for the preceding year;
    (4) Be conducted that so that the administration of these tests is 
effectively distributed throughout whatever portion of a 24-hour day 
that the railroad conducts its operations;
    (5) Be conducted so that individual tests are administered without 
prior notice to the locomotive engineer being tested; and
    (6) Be conducted so that the results of the test are recorded on the 
certificate and entered on the record established under Sec. 240.215 
within 30 days of the day the test is administered.



Sec. 240.305  Prohibited conduct.

    After December 31, 1991,
    (a) It shall be unlawful to:
    (1) Operate a locomotive or train past a signal indication, 
excluding a hand or a radio signal indication or a switch, that requires 
a complete stop before passing it; or
    (2) Operate a locomotive or train at a speed which exceeds the 
maximum authorized limit by at least 10 miles per hour. Where restricted 
speed is in effect, only those violations of the conditional clause of 
restricted speed rules (i.e., the clause that requires stopping within 
one half of the locomotive engineer's range of vision), or the 
operational equivalent thereof, which cause reportable accidents or 
incidents under part 225 of this chapter, shall be considered instances 
of failure to adhere to this section; or
    (3) Operate a locomotive or train without adhering to procedures for 
the safe use of train or engine brakes when the procedures are required 
for compliance with the initial terminal, intermediate terminal, or 
transfer train and yard test provisions of 49 CFR part 232

[[Page 649]]

or when the procedures are required for compliance with the class 1, 
class 1A, class II, or running brake test provisions of 49 CFR part 238;
    (4) Fail to comply with any mandatory directive concerning the 
movement of a locomotive or train by occupying main track or a segment 
of main track without proper authority or permission;
    (5) Fail to comply with prohibitions against tampering with 
locomotive mounted safety devices, or knowingly operate or permit to be 
operated a train with an unauthorized disabled safety device in the 
controlling locomotive. (See 49 CFR part 218, subpart D, and appendix C 
to part 218);
    (6) Be a Designated Supervisor of Locomotive Engineers, a certified 
locomotive engineer pilot or an instructor engineer who is monitoring, 
piloting or instructing a locomotive engineer and fails to take 
appropriate action to prevent a violation of paragraphs (a)(1) through 
(a)(5) of this section. Appropriate action does not mean that a 
supervisor, pilot or instructor must prevent a violation from occurring 
at all costs; the duty may be met by warning an engineer of a potential 
or foreseeable violation. A Designated Supervisor of Locomotive 
Engineers will not be held culpable under this section when this 
monitoring event is conducted as part of the railroad's operational 
compliance tests as defined in Secs. 217.9 and 240.303 of this chapter.
    (b) Each locomotive engineer who has received a certificate required 
under this part shall:
    (1) Have that certificate in his or her possession while on duty as 
an engineer; and
    (2) Display that certificate upon the receipt of a request to do so 
from
    (i) A representative of the Federal Railroad Administration,
    (ii) An officer of the issuing railroad, or
    (iii) An officer of another railroad when operating a locomotive or 
train in joint operations territory.
    (c) Any locomotive engineer who is notified or called to operate a 
locomotive or train and such operation would cause the locomotive 
engineer to exceed certificate limitations, set forth in accordance with 
subpart B of this part, shall immediately notify the railroad that he or 
she is not qualified to perform that anticipated service and it shall be 
unlawful for the railroad to require such service.
    (d) During the duration of any certification interval, a locomotive 
engineer who has a current certificate from more than one railroad shall 
immediately notify the other certifying railroad(s) if he or she is 
denied recertification by a railroad or has his or her certification 
revoked by a railroad.
    (e) Nothing in this section shall be deemed to alter a certified 
locomotive engineer's duty to comply with other provisions of this 
chapter concerning railroad safety.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19004, Apr. 9, 1993; 64 
FR 60993, Nov. 8, 1999]



Sec. 240.307  Revocation of certification.

    (a) Except as provided for in Sec. 240.119(e), a railroad that 
certifies or recertifies a person as a qualified locomotive engineer 
and, during the period that certification is valid, acquires information 
which convinces the railroad that the person no longer meets the 
qualification requirements of this part, shall revoke the person's 
certificate as a qualified locomotive engineer.
    (b) Pending a revocation determination under this section, the 
railroad shall:
    (1) Upon receipt of reliable information indicating the person's 
lack of qualification under this part, immediately suspend the person's 
certificate;
    (2) Prior to or upon suspending the person's certificate, provide 
notice of the reason for the suspension, the pending revocation, and an 
opportunity for a hearing before a presiding officer other than the 
investigating officer. The notice may initially be given either orally 
or in writing. If given orally, it must be confirmed in writing and the 
written confirmation must be made promptly. Written confirmation which 
conforms to the notification provisions of an applicable collective 
bargaining agreement shall be deemed to satisfy the written confirmation 
requirements

[[Page 650]]

of this section. In the absence of an applicable collective bargaining 
agreement provision, the written confirmation must be made within 96 
hours.
    (3) Convene the hearing within the deadline prescribed by either 
paragraph (c)(1) of this section or the applicable collective bargaining 
agreement as permitted under paragraph (d) of this section;
    (4) Determine, on the record of the hearing, whether the person no 
longer meets the qualification requirements of this part stating 
explicitly the basis for the conclusion reached;
    (5) When appropriate, impose the pertinent period of revocation 
provided for in Sec. 240.117 or Sec. 240.119; and
    (6) Retain the record of the hearing for 3 years after the date the 
decision is rendered.
    (c) Except as provided for in paragraphs (d), (f), (i) and (j) of 
this section, a hearing required by this section shall be conducted in 
accordance with the following procedures:
    (1) The hearing shall be convened within 10 days of the date the 
certificate is suspended unless the locomotive engineer requests or 
consents to delay in the start of the hearing.
    (2) The hearing shall be conducted by a presiding officer, who can 
be any qualified person authorized by the railroad other than the 
investigating officer.
    (3) The presiding officer will exercise the powers necessary to 
regulate the conduct of the hearing for the purpose of achieving a 
prompt and fair determination of all material issues in controversy.
    (4) The presiding officer shall convene and preside over the 
hearing.
    (5) Testimony by witnesses at the hearing shall be recorded 
verbatim.
    (6) All relevant and probative evidence shall be received unless the 
presiding officer determines the evidence to be unduly repetitive or so 
extensive and lacking in relevancy that its admission would impair the 
prompt, orderly, and fair resolution of the proceeding.
    (7) The presiding officer may:
    (i) Adopt any needed procedures for the submission of evidence in 
written form;
    (ii) Examine witnesses at the hearing;
    (iii) Convene, recess, adjourn or otherwise regulate the course of 
the hearing; and
    (iv) Take any other action authorized by or consistent with the 
provisions of this part and permitted by law that may expedite the 
hearing or aid in the disposition of the proceeding.
    (8) Parties may appear and be heard on their own behalf or through 
designated representatives. Parties may offer relevant evidence 
including testimony and may conduct such examination of witnesses as may 
be required for a full disclosure of the relevant facts.
    (9) The record in the proceeding shall be closed at conclusion of 
the hearing unless the presiding officer allows additional time for the 
submission of information. In such instances the record shall be left 
open for such time as the presiding officer grants for that purpose.
    (10) No later than 10 days after the close of the record, a railroad 
official, other than the investigating officer, shall prepare and sign a 
written decision in the proceeding.
    (11) The decision shall:
    (i) Contain the findings of fact as well as the basis therefor, 
concerning all material issues of fact presented on the record; and
    (ii) Be served on the employee.
    (12) The railroad shall have the burden of proving that the 
locomotive engineer's conduct was not in compliance with the applicable 
railroad operating rule or practice or part 219 of this chapter.
    (d) A hearing required by this section which is conducted in a 
manner that conforms procedurally to the applicable collective 
bargaining agreement shall be deemed to satisfy the procedural 
requirements of this section.
    (e) A hearing required under this section may be consolidated with 
any disciplinary or other hearing arising from the same facts, but in 
all instances a railroad official, other than the investigating officer, 
shall make separate findings as to the revocation required under this 
section.

[[Page 651]]

    (f) A person may waive the right to the hearing provided under this 
section. That waiver shall:
    (1) Be made in writing;
    (2) Reflect the fact that the person has knowledge and understanding 
of these rights and voluntarily surrenders them; and
    (3) Be signed by the person making the waiver.
    (g) A railroad that has relied on the certification by another 
railroad under the provisions of Sec. 240.227 or Sec. 240.229, shall 
revoke its certification if, during the period that certification is 
valid, the railroad acquires information which convinces it that another 
railroad has revoked its certification after determining, in accordance 
with the provisions of this section, that the person no longer meets the 
qualification requirements of this part. The requirement to provide a 
hearing under this section is satisfied when any single railroad holds a 
hearing and no additional hearing is required prior to a revocation by 
more than one railroad arising from the same facts.
    (h) The period of certificate suspension prior to the commencement 
of a hearing required under this section shall be credited towards 
satisfying any applicable revocation period imposed in accordance with 
the provisions of Sec. 240.117.
    (i) A railroad:
    (1) Shall not determine that the person failed to meet the 
qualification requirements of this part and shall not revoke the 
person's certification as provided for in paragraph (a) of this section 
if sufficient evidence exists to establish that an intervening cause 
prevented or materially impaired the locomotive engineer's ability to 
comply with the railroad operating rule or practice which constitutes a 
violation under Sec. 240.117(e)(1) through (e)(5) of this part; or
    (2) May determine that the person meets the qualification 
requirements of this part and decide not to revoke the person's 
certification as provided for in paragraph (a) of this section if 
sufficient evidence exists to establish that the violation of 
Sec. 240.117(e)(1) through (e)(5) of this part was of a minimal nature 
and had no direct or potential effect on rail safety.
    (j) The railroad shall place the relevant information in the records 
maintained in compliance with Sec. 240.309 for Class I (including the 
National Railroad Passenger Corporation) and Class II railroads, and 
Sec. 240.15 for Class III railroads if sufficient evidence meeting the 
criteria provided in paragraph (i) of this section, becomes available 
either:
    (1) Prior to a railroad's action to suspend the certificate as 
provided for in paragraph (b)(1) of this section; or
    (2) Prior to the convening of the hearing provided for in this 
section;
    (k) Provided that the railroad makes a good faith determination 
after a reasonable inquiry that the course of conduct provided for in 
paragraph (i) of this section is appropriate, the railroad which does 
not suspend a locomotive engineer's certification, as provided for in 
paragraph (a) of this section, is not in violation of paragraph (a) of 
this section.

[58 FR 19004, Apr. 9, 1993, as amended at 60 FR 53137, Oct. 12, 1995; 64 
FR 60994, Nov. 8, 1999]



Sec. 240.309  Railroad oversight responsibilities.

    (a) No later than March 31 of each year (beginning in calendar year 
1993), each Class I railroad (including the National Railroad Passenger 
Corporation and a railroad providing commuter service) and Class II 
railroad shall conduct a formal annual review and analysis concerning 
the administration of its program for responding to detected instances 
of poor safety conduct by certified locomotive engineers during the 
prior calendar year.
    (b) Each review and analysis shall involve:
    (1) The number and nature of the instances of detected poor safety 
conduct including the nature of the remedial action taken in response 
thereto;
    (2) The number and nature of FRA reported train accidents attributed 
to poor safety performance by locomotive engineers;
    (3) The number and type of operational monitoring test failures and 
observations of inadequate skill performance recorded by supervisors of 
locomotive engineers; and
    (4) If it conducts joint operations with another railroad, the 
number of

[[Page 652]]

locomotive engineers employed by such other railroad(s) to which such 
events were ascribed which the controlling railroad certified for joint 
operations purposes.
    (c) Based on that review and analysis each railroad shall determine 
what action(s) it will take to improve the safety of train operations to 
reduce or eliminate future incidents of that nature.
    (d) If requested in writing by FRA, the railroad shall provide a 
report of the findings and conclusions reached during such annual review 
and analysis effort.
    (e) For reporting purposes, information about the nature of detected 
poor safety conduct shall be capable of segregation for study and 
evaluation purposes into the following categories:
    (1) Incidents involving noncompliance with part 218;
    (2) Incidents involving noncompliance with part 219;
    (3) Incidents involving noncompliance with the procedures for the 
safe use of train or engine brakes when the procedures are required for 
compliance with the initial terminal, intermediate terminal, or transfer 
train and yard test provisions of 49 CFR part 232 or when the procedures 
are required for compliance with the class 1, class 1A, class II, or 
running brake test provisions of 49 CFR part 238;
    (4) Incidents involving noncompliance with the railroad's operating 
rules involving operation of a locomotive or train to operate at a speed 
that exceeds the maximum authorized limit;
    (5) Incidents involving noncompliance with the railroad's operating 
rules resulting in operation of a locomotive or train past any signal, 
excluding a hand or a radio signal indication or a switch, that requires 
a complete stop before passing it;
    (6) Incidents involving noncompliance with the provisions of 
restricted speed, and the operational equivalent thereof, that must be 
reported under the provisions of part 225 of this chapter;
    (7) Incidents involving occupying main track or a segment of main 
track without proper authority or permission;
    (8) Incidents involving the failure to comply with prohibitions 
against tampering with locomotive mounted safety devices, or knowingly 
operating or permitting to be operated a train with an unauthorized or 
disabled safety device in the controlling locomotive;
    (9) Incidents involving noncompliance with the railroad's operating 
practices (including train handling procedures) resulting in excessive 
in-train force levels; and
    (f) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (d) of this section shall be capable of 
being annotated to reflect the following:
    (1) The nature of the remedial action taken and the number of events 
subdivided so as to reflect which of the following actions was selected:
    (i) Imposition of informal discipline;
    (ii) Imposition of formal discipline;
    (iii) Provision of informal training; or
    (iv) Provision of formal training; and
    (2) If the nature of the remedial action taken was formal 
discipline, the number of events further subdivided so as to reflect 
which of the following punishments was imposed by the hearing officer:
    (i) The person was withheld from service;
    (ii) The person was dismissed from employment or
    (iii) The person was issued demerits. If more than one form of 
punishment was imposed only that punishment deemed the most severe shall 
be shown.
    (g) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (d) of this section which resulted in 
the imposition of formal or informal discipline shall be annotated to 
reflect the following:
    (1) The number of instances in which the railroad's internal appeals 
process reduced the punishment initially imposed at the conclusion of 
its hearing; and
    (2) The number of instances in which the punishment imposed by the 
railroad was reduced by any of the following entities: The National 
Railroad Adjustment Board, a Public Law Board, a Special Board of 
Adjustment

[[Page 653]]

or other body for the resolution of disputes duly constituted under the 
provisions of the Railway Labor Act.
    (h) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (d) of this section shall be capable of 
being annotated to reflect the following:
    (1) The total number of incidents in that category;
    (2) The number of incidents within that total which reflect 
incidents requiring an FRA accident/incident report; and
    (3) The number of incidents within that total which were detected as 
a result of a scheduled operational monitoring effort.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60994, Nov. 8, 1999]



                Subpart E--Dispute Resolution Procedures



Sec. 240.401  Review board established.

    (a) Any person who has been denied certification, denied 
recertification, or has had his or her certification revoked and 
believes that a railroad incorrectly determined that he or she failed to 
meet the qualification requirements of this regulation when making the 
decision to deny or revoke certification, may petition the Federal 
Railroad Administrator to review the railroad's decision.
    (b) The Federal Railroad Administrator has delegated initial 
responsibility for adjudicating such disputes to the Locomotive Engineer 
Review Board.
    (c) The Locomotive Engineer Review Board shall be composed of at 
least three employees of the Federal Railroad Administration selected by 
the Administrator.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19005, Apr. 9, 1993]



Sec. 240.403  Petition requirements.

    (a) To obtain review of a railroad's decision to deny certification, 
deny recertification, or revoke certification, a person shall file a 
petition for review that complies with this section.
    (b) Each petition shall:
    (1) Be in writing;
    (2) Be submitted in triplicate to the Docket Clerk, Office of Chief 
Counsel, Federal Railroad Administration, 1120 Vermont Avenue, NW, 
Washington, DC 20590;
    (3) Contain all available information that the person thinks 
supports the person's belief that the railroad acted improperly, 
including:
    (i) The petitioner's full name;
    (ii) The petitioner's current mailing address;
    (iii) The petitioner's daytime telephone number;
    (iv) The name and address of the railroad; and
    (v) The facts that the petitioner believes constitute the improper 
action by the railroad, specifying the locations, dates, and identities 
of all persons who were present or involved in the railroad's actions 
(to the degree known by the petitioner);
    (4) Explain the nature of the remedial action sought;
    (5) Be supplemented by a copy of all written documents in the 
petitioner's possession that document that railroad's decision; and
    (6) Be filed in a timely manner.
    (c) A petition seeking review of a railroad's decision to deny 
certification or recertification filed with FRA more than 180 days after 
the date of the railroad's denial decision will be denied as untimely.
    (d) A petition seeking review of a railroad's decision to revoke 
certification in accordance with the procedures required by Sec. 240.307 
filed with FRA more than 120 days after the date of the railroad's 
revocation decision will be denied as untimely except that the 
Locomotive Engineer Review Board for cause shown may extend the petition 
filing period at any time in its discretion:
    (1) Provided the request for extension is filed before the 
expiration of the period provided in this paragraph (d); or
    (2) Provided that the failure to timely file was the result of 
excusable neglect.
    (e) A party aggrieved by a Board decision to deny a petition as 
untimely

[[Page 654]]

may file an appeal with the Administrator in accordance with 
Sec. 240.411.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60995, Nov. 8, 1999; 64 
FR 70196, Dec. 16, 1999]



Sec. 240.405  Processing qualification review petitions.

    (a) Each petition shall be acknowledged in writing by FRA. The 
acknowledgment shall contain the docket number assigned to the petition 
and a statement of FRA's intention that the Board will render a decision 
on this petition within 180 days from the date that the railroad's 
response is received or from the date upon which the railroad's response 
period has lapsed pursuant to paragraph (c) of this section.
    (b) Upon receipt of the petition, FRA will notify the railroad that 
it has received the petition and provide the railroad with a copy of the 
petition.
    (c) The railroad will be given a period of not to exceed 60 days to 
submit to FRA any information that the railroad considers pertinent to 
the petition. Late filings will only be considered to the extent 
practicable.
    (d) A railroad that submits such information shall:
    (1) Identify the petitioner by name and the docket number of the 
review proceeding;
    (2) Provide a copy of the information being submitted to FRA to the 
petitioner.
    (3) Submit the information in triplicate to the Docket Clerk, 
Federal Railroad Administration, 400 Seventh Street SW., Washington, DC 
20590;
    (e) Each petition will then be referred to the Locomotive Engineer 
Review Board for a decision.
    (f) The Board will determine whether the denial or revocation of 
certification or recertification was improper under this regulation 
(i.e., based on an incorrect determination that the person failed to 
meet the qualification requirements of this regulation) and grant or 
deny the petition accordingly. The Board will not otherwise consider the 
propriety of a railroad's decision, i.e., it will not consider whether 
the railroad properly applied its own more stringent requirements.
    (g) Notice of that decision will be provided in writing to both the 
petitioner and the railroad. The decision will include findings of fact 
on which it is based.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60995, Nov. 8, 1999]



Sec. 240.407  Request for a hearing.

    (a) If adversely affected by the Locomotive Engineer Review Board 
decision, either the petitioner before the Board or the railroad 
involved shall have a right to an administrative proceeding as 
prescribed by Sec. 240.409.
    (b) To exercise that right, the adversely affected party shall, 
within 20 days of service of the Board's decision on that party, file a 
written request with the Docket Clerk, Department of Transportation 
Central Docket Management System, Nassif Building, Room Pl-401, 400 
Seventh Street, S.W., Washington, D.C. 20590. The form of such request 
may be in written or electronic form consistent with the standards and 
requirements established by the Central Docket Management System and 
posted on its web site at http://dms.dot.gov.
    (c) The result of a failure to request a hearing within the period 
provided in paragraph (b) of this section is that the Locomotive 
Engineer Review Board's decision will constitute final agency action.
    (d) If a party elects to request a hearing, that person shall submit 
a written request to the Docket Clerk containing the following:
    (1) The name, address, and telephone number of the respondent and 
the requesting party's designated representative, if any;
    (2) The specific factual issues, industry rules, regulations, or 
laws that the requesting party alleges need to be examined in connection 
with the certification decision in question; and
    (3) The signature of the requesting party or the requesting party's 
representative, if any.
    (e) Upon receipt of a hearing request complying with paragraph (d) 
of this section, FRA shall arrange for the appointment of a presiding 
officer who shall schedule the hearing for the earliest practicable 
date.

[60 FR 53137, Oct. 12, 1995, as amended at 64 FR 70196, Dec. 16, 1999]

[[Page 655]]



Sec. 240.409  Hearings.

    (a) An administrative hearing for a locomotive engineer 
qualification petition shall be conducted by a presiding officer, who 
can be any person authorized by the Administrator, including an 
administrative law judge.
    (b) The presiding officer may exercise the powers of the 
Administrator to regulate the conduct of the hearing for the purpose of 
achieving a prompt and fair determination of all material issues in 
controversy.
    (c) The presiding officer shall convene and preside over the 
hearing. The hearing shall be a de novo hearing to find the relevant 
facts and determine the correct application of this part to those facts. 
The presiding officer may determine that there is no genuine issue 
covering some or all material facts and limit evidentiary proceedings to 
any issues of material fact as to which there is a genuine dispute.
    (d) The presiding officer may authorize discovery of the types and 
quantities which in the presiding officer's discretion will contribute 
to a fair hearing without unduly burdening the parties. The presiding 
officer may impose appropriate non-monetary sanctions, including 
limitations as to the presentation of evidence and issues, for any 
party's willful failure or refusal to comply with approved discovery 
requests.
    (e) Every petition, motion, response, or other authorized or 
required document shall be signed by the party filing the same, or by a 
duly authorized officer or representative of record, or by any other 
person. If signed by such other person, the reason therefor must be 
stated and the power of attorney or other authority authorizing such 
other person to subscribe the document must be filed with the document. 
The signature of the person subscribing any document constitutes a 
certification that he or she has read the document; that to the best of 
his or her knowledge, information and belief every statement contained 
in the document is true and no such statements are misleading; and that 
it is not interposed for delay or to be vexatious.
    (f) After the request for a hearing is filed, all documents filed or 
served upon one party must be served upon all parties. Each party may 
designate a person upon whom service is to be made when not specified by 
law, regulation, or directive of the presiding officer. If a party does 
not designate a person upon whom service is to be made, then service may 
be made upon any person having subscribed to a submission of the party 
being served, unless otherwise specified by law, regulation, or 
directive of the presiding officer. Proof of service shall accompany all 
documents when they are tendered for filing.
    (g) If any document initiating, filed, or served in, a proceeding is 
not in substantial compliance with the applicable law, regulation, or 
directive of the presiding officer, the presiding officer may strike or 
dismiss all or part of such document, or require its amendment.
    (h) Any party to a proceeding may appear and be heard in person or 
by an authorized representative.
    (i) Any person testifying at a hearing or deposition may be 
accompanied, represented, and advised by an attorney or other 
representative, and may be examined by that person.
    (j) Any party may request to consolidate or separate the hearing of 
two or more petitions by motion to the presiding officer, when they 
arise from the same or similar facts or when the matters are for any 
reason deemed more efficiently heard together.
    (k) Except as provided in Sec. 240.407(c) of this part and paragraph 
(u)(4) of this section, whenever a party has the right or is required to 
take action within a period prescribed by this part, or by law, 
regulation, or directive of the presiding officer, the presiding officer 
may extend such period, with or without notice, for good cause, provided 
another party is not substantially prejudiced by such extension. A 
request to extend a period which has already expired may be denied as 
untimely.
    (l) An application to the presiding officer for an order or ruling 
not otherwise specifically provided for in this part shall be by motion. 
The motion shall be filed with the presiding officer and, if written, 
served upon all parties. All motions, unless made during the hearing, 
shall be written. Motions made during hearings may be made

[[Page 656]]

orally on the record, except that the presiding officer may direct that 
any oral motion be reduced to writing. Any motion shall state with 
particularity the grounds therefor and the relief or order sought, and 
shall be accompanied by any affidavits or other evidence desired to be 
relied upon which is not already part of the record. Any matter 
submitted in response to a written motion must be filed and served 
within fourteen (14) days of the motion, or within such other period as 
directed by the presiding officer.
    (m) Testimony by witnesses at the hearing shall be given under oath 
and the hearing shall be recorded verbatim. The presiding officer shall 
give the parties to the proceeding adequate opportunity during the 
course of the hearing for the presentation of arguments in support of or 
in opposition to motions, and objections and exceptions to rulings of 
the presiding officer. The presiding officer may permit oral argument on 
any issues for which the presiding officer deems it appropriate and 
beneficial. Any evidence or argument received or proffered orally shall 
be transcribed and made a part of the record. Any physical evidence or 
written argument received or proffered shall be made a part of the 
record, except that the presiding officer may authorize the substitution 
of copies, photographs, or descriptions, when deemed to be appropriate.
    (n) The presiding officer shall employ the Federal Rules of Evidence 
for United States Courts and Magistrates as general guidelines for the 
introduction of evidence. Notwithstanding paragraph (m) of this section, 
all relevant and probative evidence shall be received unless the 
presiding officer determines the evidence to be unduly repetitive or so 
extensive and lacking in relevancy that its admission would impair the 
prompt, orderly, and fair resolution of the proceeding.
    (o) The presiding officer may:
    (1) Administer oaths and affirmations;
    (2) Issue subpoenas as provided for in Sec. 209.7 of part 209 in 
this chapter;
    (3) Adopt any needed procedures for the submission of evidence in 
written form;
    (4) Examine witnesses at the hearing;
    (5) Convene, recess, adjourn or otherwise regulate the course of the 
hearing; and
    (6) Take any other action authorized by or consistent with the 
provisions of this part and permitted by law that may expedite the 
hearing or aid in the disposition of the proceeding.
    (p) The petitioner before the Locomotive Engineer Review Board, the 
railroad involved in taking the certification action, and FRA shall be 
parties at the hearing. All parties may participate in the hearing and 
may appear and be heard on their own behalf or through designated 
representatives. All parties may offer relevant evidence, including 
testimony, and may conduct such cross-examination of witnesses as may be 
required to make a record of the relevant facts.
    (q) The party requesting the administrative hearing shall be the 
``hearing petitioner.'' The hearing petitioner shall have the burden of 
proving its case by a preponderance of the evidence. Hence, if the 
hearing petitioner is the railroad involved in taking the certification 
action, that railroad will have the burden of proving that its decision 
to deny certification, deny recertification, or revoke certification was 
correct. Conversely, if the petitioner before the Locomotive Engineer 
Review Board is the hearing petitioner, that person will have the burden 
of proving that the railroad's decision to deny certification, deny 
recertification, or revoke certification was incorrect. Between the 
petitioner before the Locomotive Engineer Review Board and the railroad 
involved in taking the certification action, the party who is not the 
hearing petitioner will be a respondent.
    (r) FRA will be a mandatory party to the administrative hearing. At 
the start of each proceeding, FRA will be a respondent.
    (s) The record in the proceeding shall be closed at the conclusion 
of the evidentiary hearing unless the presiding officer allows 
additional time for the submission of additional evidence. In such 
instances the record shall be left open for such time as the presiding 
officer grants for that purpose.

[[Page 657]]

    (t) At the close of the record, the presiding officer shall prepare 
a written decision in the proceeding.
    (u) The decision:
    (1) Shall contain the findings of fact and conclusions of law, as 
well as the basis for each concerning all material issues of fact or law 
presented on the record;
    (2) Shall be served on the hearing petitioner and all other parties 
to the proceeding;
    (3) Shall not become final for 35 days after issuance;
    (4) Constitutes final agency action unless an aggrieved party files 
an appeal within 35 days after issuance; and
    (5) Is not precedential.

[60 FR 53137, Oct. 12, 1995]



Sec. 240.411  Appeals.

    (a) Any party aggrieved by the presiding officer's decision may file 
an appeal. The appeal must be filed within 35 days of issuance of the 
decision with the Federal Railroad Administrator, 400 Seventh Street 
SW., Washington, DC 20590. A copy of the appeal shall be served on each 
party. The appeal shall set forth objections to the presiding officer's 
decision, supported by reference to applicable laws and regulations and 
with specific reference to the record. If no appeal is timely filed, the 
presiding officer's decision constitutes final agency action.
    (b) A party may file a reply to the appeal within 25 days of service 
of the appeal. The reply shall be supported by reference to applicable 
laws and regulations and with specific reference to the record, if the 
party relies on evidence contained in the record.
    (c) The Administrator may extend the period for filing an appeal or 
a response for good cause shown, provided that the written request for 
extension is served before expiration of the applicable period provided 
in this section.
    (d) The Administrator has sole discretion to permit oral argument on 
the appeal. On the Administrator's own initiative or written motion by 
any party, the Administrator may grant the parties an opportunity for 
oral argument.
    (e) The Administrator may remand, vacate, affirm, reverse, alter or 
modify the decision of the presiding officer and the Administrator's 
decision constitutes final agency action except where the terms of the 
Administrator's decision (for example, remanding a case to the presiding 
officer) show that the parties' administrative remedies have not been 
exhausted.
    (f) Where a party files an appeal from a Locomotive Engineer Review 
Board decision pursuant to Sec. 240.403(e), the Administrator may affirm 
or vacate the Board's decision, and may remand the petition to the Board 
for further proceedings. An Administrator's decision to affirm the 
Board's decision constitutes final agency action.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53138, Oct. 12, 1995; 
64 FR 60995, Nov. 8, 1999]

         Appendix A to Part 240--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                                Willful
                     Section                       Violation   violation
------------------------------------------------------------------------
Subpart B--Component Elements
240.101--Program Failures
  (a) Failure to have program...................      $5,000     $10,000
  (b) Program that fails to address a subject...       2,500       5,000
240.103--Failure to:
  (a) follow Appendix B.........................       1,000       2,000
  (d) to resubmit, when directed by FRA.........       1,000       2,000
240.104--Allowing uncertified person to operate        5,000      10,000
 non-traditional locomotives....................
240.105--Failure to have or execute adequate           2,500       5,000
 procedure for selection of supervisors.........
240.107--Classes of Service
  (a) Failure to designate classes of service...       2,000       4,000
240.109--Limitations on considering prior
 conduct records
  (a) Failure to have procedure for determining        2,500       5,000
   eligibility..................................
  (e) Considering excluded data.................       2,000       4,000
  (f,g) Failure to provide timely review               2,000       4,000
   opportunity..................................
240.111--Furnishing Motor Vehicle Records:
    (a) Failure to action required to make             1,000       2,000
     information available......................
    (b) Failure to request:

[[Page 658]]

 
        (1) local record........................       1,000       2,000
        (2) NDR record..........................       1,000       2,000
    (f) Failure to request additional record....       1,000       2,000
    (g) Failure to notify of absence of license.         750       1,500
    (h) Failure to submit request in timely              750       1,500
     manner.....................................
    (i) Failure to report within 48 hours or           1,000       2,000
     railroad taking certification action for
     not reporting earlier than 48 hours........
240.113--Furnishing prior employment information
  (a) Failure to take action required to make          1,000       2,000
   information available........................
  (b) Failure to request record.................       1,000       2,000
240.115--Criteria for considering prior motor
 vehicle conduct
  (b) Considering excluded data.................       2,000       4,000
  (c) Failure to
    (1) consider data...........................       5,000       7,500
    (3,4) properly act in response to data......       2,500       5,000
240.117--Consideration of Operational Rules
 Compliance Records:
    (a) Failure to have program and procedures..       5,000      10,000
    (b-j) Failure to have adequate program or          2,500       5,000
     procedure..................................
240.119--Consideration of substance abuse /rules
 compliance records
  (a) Failure to have program and procedures....       5,000      10,000
  (b-e) Failure to have adequate program or            2,500       5,000
   procedure....................................
240.121--Failure to have adequate procedure for        2,500       5,000
 determining acuity.............................
    (f) Failure of engineer to notify...........       2,500       5,000
240.123--Failure to have:
  (b) Adequate procedures for continuing               2,500       5,000
   education....................................
  (c) adequate procedures for training new             2,500       5,000
   engineers....................................
240.125--Failure to have
  (a) adequate procedures for testing knowledge.       2,500       5,000
  (d) adequate procedures for documenting              2,500       5,000
   testing......................................
240.127--Failure to have
  (a) adequate procedures for evaluatinq skill         2,500       5,000
   performance..................................
  (c) adequate procedures for documentinq skills       2,500       5,000
   testing......................................
240.129--Failure to have
  (a-b) adequate procedures for monitoring             2,500       5,000
   performance..................................
Subpart C--Implementation of the Process
240.201--Schedule for implementation
  (a) Failure to select supervisors by specified       1,000       2,000
   date.........................................
  (b) Failure to identify grandfathered                2,000       4,000
   engineers....................................
  (c) Failure to issue certificate to engineer..       1,000       2,000
  (d) Allowing uncertified person to operate....       5,000      10,000
  (e-g) Certifying without complying with              2,500       5,000
   subpart C....................................
  (h-i) Failure to issue certificate to engineer       1,000       2,000
240.203 (a) Designating a person as a supervisor
 without determining that
    (1) person knows and understands this part..       2,500       5,000
    (2) person can test and evaluate engineers..       5,000       7,500
    (3) person has experience to prescribe             2,500       5,000
     remedies...................................
  (b) Certifying a person without determining
   that
    (1) person meets the eligibility criteria...       5,000       7,500
    (2) person meets the medical criteria.......       2,500       5,000
    (3) person has demonstrated knowledge.......       2,500       5,000
    (4) person has demonstrated skills..........       2,500       5,000
  (c) Certifying a person without determining
   that
    (1) person has completed training program...       2,500       5,000
    (2) person meets the eligibility criteria...       2,500       5,000
    (3) time has elapsed........................       2,500       5,000
240.205--Procedures for determining eligibility
 based on prior safety conduct
  (a) Selecting person lacking eligibility......       5,000       7,500
  (d) Failure to have basis for taking action...       2,500       5,000
240.207--Ineligibility based on medical
 condition
  (a) Selecting person lacking proper acuity....       2,000       4,000
  (b) Failure to have basis for finding of             1,000       2,000
   proper acuity................................
  (c) Acuity examinations performed by                 1,000       2,000
   unauthorized person..........................
  (d) Failure to note need for device to achieve       1,000       2,000
   acuity.......................................
  (e) Failure to use device needed for proper          1,000       2,000
   acuity.......................................
240.209--Demonstrating knowledge
  (b) Failure to properly determine knowledge...       2,500       5,000
  (c) Improper test procedure...................       2,000       4,000
  (d) Failure to document test results..........       1,000       2,000
  (e) Allowing person to operate despite test          2,500       5,000
   failure......................................
240.211--Demonstrating skills
  (b) Failure to properly determine knowledge...       2,500       5,000
  (c) Improper test procedure...................       2,000       4,000
  (d) Failure to document test results..........       1,000       2,000

[[Page 659]]

 
  (e) Allowing person to operate despite test          2,500       5,000
   failure......................................
240.213--Completion of approved training program
  (a) Failure to properly determine.............       2,500       5,000
  (b) Failure to document successful program           2,000       4,000
   completion...................................
240.215--Supporting information
  (a, f-h) Failure to have a record.............       1,000       2,000
  (b) Failure to have complete record...........         500       1,000
  (i) Falsification of record...................         (-)      10,000
240.217--Time limits for making determinations
  (a, c) Exceeding time limit...................       2,000       4,000
240.219--Denial of certification
  (a) Failure to notify or provide opportunity         2,000       4,000
   for comment..................................
  (c) Failure to notify, provide data, or              2,000       4,000
   untimely notification........................
240.221--Identification of persons
  (a-c) Failure to have a record................       2,000       4,000
  (d) Failure to update a record................       2,000       4,000
  (e-f) Failure to make a record available......       1,000       2,000
240.223--Certificate criteria
  (a) Improper certificate......................         500       1,000
  (b) Failure to designate those with signatory          500       1,000
   authority....................................
  (d) Falsification of certificate..............         (-)      10,000
240.225--Railroad Relying on Determination of
 Another:
    (a) Failure to address in program or failure       5,000       7,500
     to require newly hired engineer to take
     entire training program....................
        (1) Reliance on expired certification...       2,500       5,000
        (2) Reliance on wrong class of service..       2,500       5,000
        (3) Failure to familiarize person with         2,000       4,000
         new operational territory..............
        (4) Failure to determine knowledge......       2,000       4,000
        (5) Failure to determine performance           2,000       4,000
         skills.................................
240.227--Railroad Relying on Requirements of a
 Different Country
  (a) Joint operator reliance
    (1) on person not employed..................       1,000       2,000
    (2) on person who fails to meet Canadian           1,000       2,000
     requirements...............................
  (b) Canadian railroad reliance
    (1) on person not employed..................       1,000       2,000
    (2) on person who fails to meet Canadian           1,000       2,000
     requirements...............................
240.229--Requirements for Joint Operations
 Territory:
    (a) Allowing uncertified person to operate..       2,000       4,000
    (b) Certifying without making determinations       2,500       5,000
     or relying on another railroad.............
    (c) Failure of..............................
        (1) controlling railroad certifying            4,000       8,000
         without determining certification
         status, knowledge, skills, or
         familiarity with physical
         characteristics........................
        (2) employing railroad to determine            4,000       8,000
         person's certified and qualified status
         for controlling railroad...............
        (3) person to notify employing railroad        4,000       8,000
         of lack of qualifications..............
    (d) Failure to provide qualified person.....       2,000       4,000
240.231--Persons Qualified on Physical
 Characteristics in Other Than Joint Operations:
    (a) Person unqualified, no exception applies       5,000      10,000
     or railroad does not adequately address in
     program....................................
    (b) Failure to have a pilot.................
        (1) for engineer who has never been            4,000       8,000
         qualified..............................
        (2) for engineer previously qualified...       2,500       5,000
Subpart D--Program Administration
240.301--Failure to have system for certificate        2,000       4,000
 replacement
240.303--Monitoring operations
  (a) Failure to have program...................       5,000      10,000
  (b) Failure to observe each person annually...       1,000       2,000
  (c) Failure to test each person annually......       1,000       2,000
  (d) Failure to test properly..................       1,000       2,000
240.305--Prohibited Conduct:
    (a) Unlawful:
        (1) passing of stop signal..............       2,500       5,000
        (2) control of speed....................       2,500       5,000
        (3) brake tests.........................       2,500       5,000
        (4) occupancy of main track.............       2,500       5,000
        (5) tampering on operation with disabled       2,500       5,000
         safety device..........................
        (6) supervisor, pilot, or instructor           2,500       5,000
         fails to take appropriate action.......
    (b) Failure of engineer to:
        (1) carry certificate...................       1,000       2,000
        (2) display certificate when requested..       1,000       2,000
    (c) Failure of engineer to notify railroad         4,000       8,000
     of limitations or railroad requiring
     engineer to exceed limitations.............
        (d) Failure of engineer to notify              4,000       8,000
         railroad of denial or revocation.......
240.307--Revocation of Certification:

[[Page 660]]

 
    (a) Failure to withdraw person from service.       2,500       5,000
    (b) Failure to notify, provide hearing             2,500       5,000
     opportunity, or untimely procedures........
    (c-h) Failure of railroad to comply with           1,000       2,000
     hearing or waiver procedures...............
    (j) Failure of railroad to make record......       2,500       5,000
    (k) Failure of railroad to conduct                 5,000      10,000
     reasonable inquiry or make good faith
     determination..............................
240.309--Oversight Responsibility Report:
    (a) Failure to report or to report on time..       1,000       2,000
    (b-h) Incomplete or inaccurate report.......       2,000       4,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[56 FR 28254, June 19, 1991, as amended at 60 FR 53138, Oct. 12, 1995; 
63 FR 11624, Mar. 10, 1998; 64 FR 60995, Nov. 8, 1999]

   Appendix B to Part 240--Procedures for Submission and Approval of 
               Locomotive Engineer Qualification Programs

    This appendix establishes procedures for the submission and approval 
of a railroad's program concerning the training, testing, and evaluating 
of persons seeking certification or recertification as a locomotive 
engineer in accordance with the requirements of this part (see 
Secs. 240.101, 240.103, 240.105, 240.107, 240.123, 240.125, 240.127 and 
240.129). lt also contains guidance on how FRA will exercise its review 
and approval responsibilities.

                        Submission by a Railroad

    As provided for in Sec. 240.101, each railroad must have a program 
for determining the qualifications of each person it permits or requires 
to operate a locomotive. In designing its program a railroad must take 
into account the trackage and terrain over which it operates, the 
system(s) for train control that are employed, the operational design 
characteristics of the track and equipment being operated including 
train length, train makeup, and train speeds. Each railroad must submit 
its individual program to FRA for approval as provided for in 
Sec. 240.103. Each program must be accompanied by a request for approval 
organized in accordance with this appendix. Requests for approval must 
contain appropriate references to the relevant portion of the program 
being discussed. Requests should be submitted in writing on standard 
sized paper (8-1/2x11) and can be in letter or narrative format. The 
railroad's submission shall be sent to the Associate Administrator for 
Safety, FRA. The mailing address for FRA is 400 Seventh Street, SW., 
Washington, DC 20590.

                     Organization of the Submission

    Each request should be organized to present the required information 
in the following standardized manner. Each section must begin by giving 
the name, title, telephone number, and mailing address of the person to 
be contacted concerning the matters addressed by that section. If a 
person is identified in a prior section, it is sufficient to merely 
repeat the person's name in a subsequent section.

     Section 1 of the Submission: General Information and Elections

    The first section of the request must contain the name of the 
railroad, the person to be contacted concerning the request (including 
the person's name, title, telephone number, and mailing address) and a 
statement electing either to accept responsibility for educating 
previously untrained persons to be qualified locomotive engineers or 
recertify only engineers previously certified by other railroads (see 
Sec. 240.103(b)).
    If a railroad elects not to conduct the training of persons not 
previously trained to be a locomotive engineer, the railroad is not 
obligated to submit information on how the previously untrained will be 
trained. A railroad that makes this election will be limited to 
recertifying persons initially certified by another railroad. A railroad 
that initially elects not to accept responsibility for training its own 
locomotive engineers can rescind its initial election by obtaining FRA 
approval of a modification of its program (see Sec. 240.103(e)).
    If a railroad elects to accept responsibility for conducting the 
education of persons not previously trained to be locomotive engineers, 
the railroad is obligated to submit information on how such persons will 
be trained but has no duty to actually conduct such training. A railroad 
that elects to accept the responsibility for the training of such 
persons may authorize another railroad or a non-railroad entity to 
perform the actual training effort. The electing railroad remains 
responsible for assuring that such other training providers adhere to 
the training program the railroad submits.
    This section must also state which class or classes of service the 
railroad will employ. (See Sec. 240.107).

[[Page 661]]

  Section 2 of the Submission: Selection of Supervisors of Locomotive 
                                Engineers

    The second section of the request must contain information 
concerning the railroad's procedure for selecting the person or persons 
it will rely on to evaluate the knowledge, skill, and ability of persons 
seeking certification or recertification. As provided for in 
Sec. 240.105 each railroad must have a procedure for selecting 
supervisors of locomotive engineers which assures that persons so 
designated can appropriately test and evaluate the knowledge, skill, and 
ability of individuals seeking certification or recertification.
    Section 240.105 provides a railroad latitude to select the criteria 
and evaluation methodology it will rely on to determine which person or 
persons have the required capacity to perform as a supervisor of 
locomotive engineers. The railroad must describe in this section how it 
will use that latitude and evaluate those it designates as supervisors 
of locomotive engineers so as to comply with the performance standard 
set forth in Sec. 240.105(b). The railroad must identify, in sufficient 
detail to permit effective review by FRA, the criteria for evaluation it 
has selected. For example, if a railroad intends to rely on one or more 
of the following, a minimum level of prior experience as an engineer, 
successful completion of a course of study, or successful passage of a 
standardized testing program, the submission must state which criteria 
it will employ.

   Section 3 of the Submission: Training Persons Previously Certified

    The third section of the request must contain information concerning 
the railroad's program for training previously certified locomotive 
engineers. As provided for in Sec. 240.123(b) each railroad must have a 
program for the ongoing education of its locomotive engineers to assure 
that they maintain the necessary knowledge concerning personal safety, 
operating rules and practices, mechanical condition of equipment, 
methods of safe train handling (including familiarity with physical 
characteristics), and relevant Federal safety rules.
    Section 240.123(b) provides a railroad latitude to select the 
specific subject matter to be covered, duration of the training, method 
of presenting the information, and the frequency with which the training 
will be provided. The railroad must describe in this section how it will 
use that latitude to assure that its engineers remain knowledgeable 
concerning the safe discharge of their train operation responsibilities 
so as to comply with the performance standard set forth in 
Sec. 240.123(b). This section must contain sufficient detail to permit 
effective evaluation of the railroad's training program in terms of the 
subject matter covered, the frequency and duration of the training 
sessions, the training environment employed (for example, and use of 
classroom, use of computer based training, use of simulators, use of 
film or slide presentations, use of on-job-training) and which aspects 
of the program are voluntary or mandatory.
    Safe train handling involves both abstract knowledge about the 
appropriate use of engine controls and the application of that knowledge 
to trains of differing composition traversing varying terrain. Time and 
circumstances have the capacity to diminish both abstract knowledge and 
the proper application of that knowledge to discrete events. Time and 
circumstances also have the capacity to alter the value of previously 
obtained knowledge and the application of that knowledge. In formulating 
how it will use the discretion being afforded, each railroad must design 
its program to address both loss of retention of knowledge and changed 
circumstances, and this section of the submission to FRA must address 
these matters.
    For example, locomotive engineers need to have their fundamental 
knowledge of train operations refreshed periodically. Each railroad 
needs to advise FRA how that need is satisfied in terms of the interval 
between attendance at such training, the nature of the training being 
provided, and methods for conducting the training. A matter of 
particular concern to FRA is how each railroad acts to assure that 
engineers remain knowledgeable about safe train handling procedures if 
the territory over which a locomotive engineer is authorized to operate 
is territory from which the engineer has been absent. The railroad must 
have a plan for the familiarization training that addresses the question 
of how long a person can be absent before needing more education and, 
once that threshold is reached, how the person will acquire the needed 
education. Similarly, the program must address how the railroad responds 
to changes such as the introduction of new technology, new operating 
rule books, or significant changes in operations including alteration in 
the territory engineers are authorized to operate over.

 Section 4 of the Submission: Testing and Evaluating Persons Previously 
                                Certified

    The fourth section of the request must contain information 
concerning the railroad's program for testing and evaluating previously 
certified locomotive engineers. As provided for in Sec. 240.125 and 
Sec. 240.127, each railroad must have a program for the ongoing testing 
and evaluating of its locomotive engineers to assure that they have the 
necessary knowledge and skills concerning personal safety, operating 
rules and practices, mechanical condition of equipment, methods of safe 
train handling (including familiarity with physical characteristics), 
and relevant

[[Page 662]]

Federal safety rules. Similarly, each railroad must have a program for 
ongoing testing and evaluating to assure that its locomotive engineers 
have the necessary vision and hearing acuity as provided for in 
Sec. 240.121.
    Sections 240.125 and 240.127 require that a railroad rely on written 
procedures for determining that each person can demonstrate his or her 
knowledge of the railroad's rules and practices and skill at applying 
those rules and practices for the safe operation of a locomotive or 
train. Section 240.125 directs that, when seeking a demonstration of the 
person's knowledge, a railroad must employ a written test that contains 
objective questions and answers and covers the following subject 
matters: (i) Personal safety practices; (ii) operating practices; (iii) 
equipment inspection practices; (iv) train handling practices (including 
familiarity with the physical characteristics of the territory); and (v) 
compliance with relevant Federal safety rules. The test must accurately 
measure the person's knowledge of all of these areas.
    Section 240.125 provides a railroad latitude in selecting the design 
of its own testing policies (including the number of questions each test 
will contain, how each required subject matter will be covered, 
weighting (if any) to be given to particular subject matter responses, 
selection of passing scores, and the manner of presenting the test 
information). The railroad must describe in this section how it will use 
that latitude to assure that its engineers will demonstrate their 
knowledge concerning the safe discharge of their train operation 
responsibilities so as to comply with the performance standard set forth 
in Sec. 240.125.
    Section 240.127 directs that, when seeking a demonstration of the 
person's skill, a railroad must employ a test and evaluation procedure 
conducted by a designated supervisor of locomotive engineers that 
contains an objective evaluation of the person's skills at applying the 
railroad's rules and practices for the safe operation of trains. The 
test and evaluation procedure must examine the person's skills in terms 
of all of the following subject matters: (i) Operating practices; (ii) 
equipment inspection practices; (iii) train handling practices 
(including familiarity with the physical characteristics of the 
territory); and (iv) compliance with relevant Federal safety rules. The 
test must be sufficient to effectively examine the person's skills while 
operating a train in the most demanding type of service which the person 
is likely to encounter in the normal course of events once he or she is 
deemed qualified.
    Section 240.127 provides a railroad latitude in selecting the design 
of its own testing and evaluation procedures (including the duration of 
the evaluation process, how each required subject matter will be 
covered, weighing (if any) to be given to particular subject matter 
response, selection of passing scores, and the manner of presenting the 
test information). The section should provide information concerning the 
procedures which the railroad will follow that achieve the objectives 
described in FRA's recommended practices (see appendix E) for conducting 
skill performance testing. The section also gives a railroad the 
latitude to employ either a Type 1 or a Type 2 simulator (properly 
programmed) to conduct the test and evaluation procedure. A railroad 
must describe in this section how it will use that latitude to assure 
that its engineers will demonstrate their skills concerning the safe 
discharge of their train operation responsibilities so as to comply with 
the performance standard set forth in Sec. 240.127.
    Section 240.121 provides a railroad latitude to rely on the 
professional medical opinion of the railroad's medical examiner 
concerning the ability of a person with substandard acuity to safely 
operate a locomotive. The railroad must describe in this section how it 
will assure that its medical examiner has sufficient information 
concerning the railroad's operations to effectively form appropriate 
conclusions about the ability of a particular individual to safely 
operate a train.

 Section 5 of the Submission: Training, Testing, and Evaluating Persons 
                        Not Previously Certified

    Unless a railroad has made an election not to accept responsibility 
for conducting the initial training of persons to be locomotive 
engineers, the fifth section of the request must contain information 
concerning the railroad's program for educating, testing, and evaluating 
persons not previously trained as locomotive engineers. As provided for 
in Sec. 240.123(c), a railroad that is issuing an initial certification 
to a person to be a locomotive engineer must have a program for the 
training, testing, and evaluating of its locomotive engineers to assure 
that they acquire the necessary knowledge and skills concerning personal 
safety, operating rules and practices, mechanical condition of 
equipment, methods of safe train handling (including familiarity with 
physical characteristics), and relevant Federal safety rules.
    Section 240.123 establishes a performance standard and gives a 
railroad latitude in selecting how it will meet that standard. A 
railroad must describe in this section how it will use that latitude to 
assure that its engineers will acquire sufficient knowledge and skill 
and demonstrate their knowledge and skills concerning the safe discharge 
of their train operation responsibilities. This section must contain the 
same level of detail concerning initial training programs as that 
described for each of the components of the overall program contained in 
sections 2

[[Page 663]]

through 4 of this appendix. A railroad that plans to accept 
responsibility for the initial training of locomotive engineers may 
authorize another railroad or a non-railroad entity to perform the 
actual training effort. The authorizing railroad may submit a training 
program developed by that authorized trainer but the authorizing 
railroad remains responsible for assuring that such other training 
providers adhere to the training program submitted. Railroads that elect 
to rely on other entities, to conduct training away from the railroad's 
own trackage, must indicate how the student will be provided with the 
required familiarization with the physical characteristics for its 
trackage.

   Section 6 of the Submission: Monitoring Operational Performance by 
                           Certified Engineers

    The final section of the request must contain information concerning 
the railroad's program for monitoring the operation of its certified 
locomotive engineers. As provided for in Sec. 240.129, each railroad 
must have a program for the ongoing monitoring of its locomotive 
engineers to assure that they operate their locomotives in conformity 
with the railroad's operating rules and practices including methods of 
safe train handling and relevant Federal safety rules.
    Section 240.129 requires that a railroad annually observe each 
locomotive engineer demonstrating his or her knowledge of the railroad's 
rules and practices and skill at applying those rules and practices for 
the safe operation of a locomotive or train. Section 240.129 directs 
that the observation be conducted by a designated supervisor of 
locomotive engineers but provides a railroad latitude in selecting the 
design of its own observation procedures (including the duration of the 
observation process, reliance on tapes that record the specifics of 
train operation, and the specific aspects of the engineer's performance 
to be covered). The section also gives a railroad the latitude to employ 
either a Type 1 or a Type 2 simulator (properly programmed) to conduct 
monitoring observations. A railroad must describe in this section how it 
will use that latitude to assure that the railroad is monitoring that 
its engineers demonstrate their skills concerning the safe discharge of 
their train operation responsibilities. A railroad that intends to 
employ train operation event recorder tapes to comply with this 
monitoring requirement shall indicate in this section how it anticipates 
determining what person was at the controls and what signal indications 
or other operational constraints, if any, were applicable to the train's 
movement.

 Section 7 of the Submission: Procedures for Routine Administration of 
                   the Engineer Certification Program

    The final section of the request must contain a summary of how the 
railroad's program and procedures will implement the various specific 
aspects of the regulatory provisions that relate to routine 
administration of its certification program for locomotive engineers. At 
a minimum this section needs to address the procedural aspects of the 
rule's provisions identified in the following paragraph.
    Section 240.109 provides that each railroad must have procedures for 
review and comment on adverse prior safety conduct, but allows the 
railroad to devise its own system within generalized parameters. 
Sections 240.115, 240.117 and 240.119 require a railroad to have 
procedures for evaluating data concerning prior safety conduct as a 
motor vehicle operator and as railroad workers, yet leave selection of 
many details to the railroad. Sections 240.203, 240.217, and 240.219 
place a duty on the railroad to make a series of determinations but 
allow the railroad to select what procedures it will employ to assure 
that all of the necessary determinations have been made in a timely 
fashion; who will be authorized to conclude that person is or is not 
qualified; and how it will communicate adverse decisions. Documentation 
of the factual basis the railroad relied on in making determinations 
under Secs. 240.205, 240.207, 240.209, 240.211, and 240.213 is required, 
but these sections permit the railroad to select the procedures it will 
employ to accomplish compliance with these provisions. Sections 240.225 
and 240.227 permit reliance on qualification determinations made by 
other entities and permit a railroad latitude in selecting the 
procedures it will employ to assure compliance with these provisions. 
Similarly, Sec. 240.229 permits use of railroad selected procedures to 
meet the requirements for certification of engineers performing service 
in joint operations territory. Sections 240.301 and 240.307 allow a 
railroad a certain degree of discretion in complying with the 
requirements for replacing lost certificates or the conduct of 
certification revocation proceedings.
    This section of the request should outline in summary fashion the 
manner in which the railroad will implement its program so as to comply 
with the specific aspects of each of the rule's provisions described in 
preceding paragraph.

                               FRA Review

    The submissions made in conformity with this appendix will be deemed 
approved within 30 days after the required filing date or the actual 
filing date whichever is later. No

[[Page 664]]

formal approval document will be issued by FRA. The brief interval for 
review reflects FRA's judgment that railroads generally already have 
existing programs that will meet the requirements of this part. FRA has 
taken the responsibility for notifying a railroad when it detects 
problems with the railroad's program. FRA retains the right to 
disapprove a program that has obtained approval due to the passage of 
time as provided for in section Sec. 240.103.
    FRA initially proposed specifying the details for most aspects of 
the programs being submitted under this appendix. The proposed rule 
contained a distillation of the essential elements of pre-existing 
training, testing, evaluating, and monitoring programs that appear to 
result in railroads having locomotive engineers who operate locomotives 
and trains safely. The proposal contained very specific details for each 
aspect of the program that appeared to contribute to that result. Those 
details included such things as the duration of classes intended to 
teach operating rules as well as the interval and methodology for 
acquiring familiarization with physical characteristics of an engineer's 
operational territory. Railroads commenting on the proposed rule did not 
question the validity of the FRA's views concerning the essential 
elements of an effective program but did convince FRA that they should 
be given more discretion to formulate the design of their individual 
programs.
    Rather than establish rigid requirements for each element of the 
program as initially proposed, FRA has given railroads discretion to 
select the design of their individual programs within a specified 
context for each element. The proposed rule, however, provides a good 
guide to the considerations that should be addressed in designing a 
program that will meet the performance standards of this final rule. In 
reviewing program submissions, FRA will focus on the degree to which a 
particular program deviates from the norms identified in its proposed 
rule. To the degree that a particular program submission materially 
deviates from the norms set out in its proposed rule which was published 
in the Federal Register on December 11, 1989 (54 FR 50890), FRA's review 
and approval process will be focused on determining the validity of the 
reasoning relied on by a railroad for selecting its alternative approach 
and the degree to which the alternative approach is likely to be 
effective in producing locomotive engineers who have the knowledge, 
skill, and ability to safely operate trains.

 Appendix C to Part 240--Procedures for Obtaining and Evaluating Motor 
                       Vehicle Driving Record Data

    The purpose of this appendix is to outline the procedures available 
to individuals and railroads for complying with the requirements of 
section 4(a) of the Railroad Safety Improvement Act of 1988 and 
Secs. 240.109, 240.111 and 240.205 of this part. Those provisions 
require that railroads consider the motor vehicle driving record of each 
person prior to issuing him or her certification or recertification as a 
qualified locomotive engineer.
    To fulfill that obligation, a railroad must review a certification 
candidate's recent motor vehicle driving record. Generally, that will be 
a single record on file with the state agency that issued the 
candidate's current license. However, it can include multiple records if 
the candidate has been issued a motor vehicle driving license by more 
than one state agency. In addition, the railroad must determine whether 
the certification candidate is listed in the National Driver Register 
and, if so listed, to review the data that caused the candidate to be so 
listed.

            Access to State Motor Vehicle Driving Record Data

    The right of railroad workers, their employers, or prospective 
employers to have access to a state motor vehicle licensing agency's 
data concerning an individual's driving record is controlled by state 
law. Although many states have mechanisms through which employers and 
prospective employers such as railroads can obtain such data, there are 
some states in which privacy concerns make such access very difficult or 
impossible. Since individuals generally are entitled to obtain access to 
driving record data that will be relied on by a state motor vehicle 
licensing agency when that agency is taking action concerning their 
driving privileges, FRA places responsibility on individuals, who want 
to serve as locomotive engineers to request that their current state 
drivers licensing agency or agencies furnish such data directly to the 
railroad considering certifying them as a locomotive operator. Depending 
on the procedures adopted by a particular state agency, this will 
involve the candidate's either sending the state agency a brief letter 
requesting such action or executing a state agency form that 
accomplishes the same effect. It will normally involve payment of a 
nominal fee established by the state agency for such a records check. In 
rare instances, when a certification candidate has been issued multiple

[[Page 665]]

licenses, it may require more than a single request.

                      The National Driver Register

    In addition to seeking an individual state's data, each engineer 
candidate is required to request that a search and retrieval be 
performed of any relevant information concerning his or her driving 
record contained in the National Driver Register. The National Driver 
Register (NDR) is a system of information created by Congress in 1960. 
In essence it is a nationwide repository of information on problem 
drivers that was created in an effort to protect motorists. It is a 
voluntary State/Federal cooperative program that assists motor vehicle 
driver licensing agencies in gaining access to data about actions taken 
by other state agencies concerning an individual's motor vehicle driving 
record. The NDR is designed to address the problem that occurs when 
chronic traffic law violators, after losing their license in one State 
travel to and receive licenses in another State. Currently the NDR is 
maintained by the National Highway Traffic Safety Administration (NHTSA) 
of the Department of Transportation under the provisions of the National 
Driver Register Act (23 U.S.C. 401 note). Under that statute, state 
motor vehicle licensing authorities voluntarily notify NHTSA when they 
take action to deny, suspend, revoke or cancel a person's motor vehicle 
driver's license and, under the provisions of a 1982 change to the 
statute, states are also authorized to notify NHTSA concerning 
convictions for operation of a motor vehicle while under the influence 
of, or impaired by, alcohol or a controlled substance, and for traffic 
violations arising in connection with a fatal traffic accident, reckless 
driving or racing on the highway even if these convictions do not result 
in an immediate loss of driving privileges.
    The information submitted to NHTSA contains, at a minimum, three 
specific pieces of data: the identification of the state authority 
providing the information, the name of the person whose license is being 
affected, and the date of birth of that person. It may be supplemented 
by data concerning the person's height, weight, color of eyes, and 
social security account number, if a State collects such data.

                           Access to NDR Data

    Essentially only individuals and state licensing agencies can obtain 
access to the NDR data. Since railroads have no direct access to the NDR 
data, FRA requires that individuals seeking certification as a 
locomotive engineer request that an NDR search be performed and direct 
that the results be furnished to the railroad. FRA requires that each 
person request the NDR information directly from NHTSA unless the 
prospective operator has a motor vehicle driver license issued by a 
state motor vehicle licensing agency that is ``participating'' under the 
provisions of the National Driver Register Act of 1982. Participating 
states can directly access the NDR data on behalf of the prospective 
engineer. The state agencies that currently are authorized to access NDR 
data in that manner are identified in appendix D of this regulation.

                Requesting NHTSA to Perform the NDR Check

    The procedures for requesting NHTSA performance of an NDR check are 
as follows:
    1. Each person shall submit a written request to National Highway 
Traffic Safety Administration at the following address: Chief, National 
Driver Register, National Highway Traffic Safety Administration, 400 
Seventh Street, SW., Washington, DC 20590.
    2. The request must contain:
    (a) The full legal name;
    (b) Any other names used by the person (e.g., nickname or 
professional name);
    (c) The date of birth;
    (d) Sex;
    (e) Height;
    (f) Weight;
    (g) Color of eyes;
    (h) Driver's license number (unless that is not available).
    3. The request must authorize NHTSA to perform the NDR check and to 
furnish the results of the search directly to the railroad.
    4. The request must identify the railroad to which the results are 
to be furnished, including the proper name of the railroad, and the 
proper mailing address of the railroad.
    5. The person seeking to become a certified locomotive engineer 
shall sign the request, and that signature must be notarized.
    FRA requires that the request be in writing and contain as much 
detail as is available to improve the reliability of the data search. 
Any person may supply additional information to that being mandated by 
FRA. Furnishing additional information, such as the person's Social 
Security account number, will help to more positively identify any 
records that may exist concerning the requester. Although no fee is 
charged for such NDR checks, a minimal cost may be incurred in having 
the request notarized. The requirement for notarization is designed to 
ensure that each person's right to privacy is being respected and that 
records are only being disclosed to legally authorized parties.

           Requesting a State Agency to Perform the NDR Check

    As discussed earlier in connection with obtaining data compiled by 
the state agency itself, a person can either write a letter to that 
agency asking for the NDR check or can

[[Page 666]]

use the agency's forms for making such a request. If a request is made 
by letter the individual must follow the same procedures required when 
directly seeking the data from NHTSA. At present there are only a 
limited number of state licensing agencies that have the capacity to 
make a direct NDR inquiry of this nature. It is anticipated that the 
number of states with such capability will increase in the near future; 
therefore, FRA will continue to update the identification of such states 
by revising appendix D to this regulation to identify such state 
agencies. Since it would be more efficient for a prospective locomotive 
engineer to make a single request for both aspects of the information 
required under this rule, FRA anticipates that state agency inquiry will 
eventually become the predominant method for making these NDR checks. 
Requests to state agencies may involve payment of a nominal fee 
established by the state agency for such a records check.
    State agencies normally will respond in approximately 30 days or 
less and advise whether there is or is not a listing for a person with 
that name and date of birth. If there is a potential match and the 
inquiry state was not responsible for causing that entry, the agency 
normally will indicate in writing the existence of a probable match and 
will identify the state licensing agency that suspended, revoked or 
canceled the relevant license or convicted the person of one of the 
violations referenced earlier in this appendix.

                Actions When a Probable NDR Match Occurs

    The response provided after performance of an NDR check is limited 
to either a notification that no potential record match was identified 
or a notification that a potential record match was identified. If the 
latter event occurs, the notification will include the identification of 
the state motor vehicle licensing authority which possesses the relevant 
record. If the NDR check results indicate a potential match and that the 
state with the relevant data is the same state which furnished detailed 
data (because it had issued the person a driving license), no further 
action is required to obtain additional data. If the NDR check results 
indicate a potential match and the state with the relevant data is 
different from the state which furnished detailed data, it then is 
necessary to contact the individual state motor vehicle licensing 
authority that furnished the NDR information to obtain the relevant 
record. FRA places responsibility on the railroad to notify the engineer 
candidate and on the candidate to contact the state with the relevant 
information. FRA requires the certification candidate to write to the 
state licensing agency and request that the agency inform the railroad 
concerning the person's driving record. If required by the state agency, 
the person may have to pay a nominal fee for providing such data and may 
have to furnish written evidence that the prospective operator consents 
to the release of the data to the railroad. FRA does not require that a 
railroad or a certification candidate go beyond these efforts to obtain 
the information in the control of such a state agency, and a railroad 
may act upon the pending certification without the data if an individual 
state aqency fails or refuses to supply the records.
    If the non-issuing state licensing agency does provide the railroad 
with the available records, the railroad must verify that the record 
pertains to the person being considered for certification. It is 
necessary to perform this verification because in some instances only 
limited identification information is furnished for use in the NDR and 
this might result in data about a different person being supplied to the 
railroad. Among the available means for verifying that the additional 
state record pertains to the certification candidate are physical 
description, photographs and handwriting comparisons.
    Once the railroad has obtained the motor vehicle driving record 
which, depending on the circumstance, may consist of more than two 
documents, the railroad must afford the prospective engineer an 
opportunity to review that record and respond in writing to its contents 
in accordance with the provisions of Sec. 240.219. The review 
opportunity must occur before the railroad evaluates that record. The 
railroad's required evaluation and subsequent decision making must be 
done in compliance with the provisions of this part.

 Appendix D to Part 240--Identification of State Agencies That Perform 
                     National Driver Register Checks

    Under the provisions of Sec. 240.111 of this part, each person 
seeking certification or recertification as a locomotive operator must 
request that a check of the National Driver Register (NDR) be conducted 
and that the resulting information be furnished to his or her employer 
or prospective employer. Under the provisions of paragraphs (d) and (e) 
of Sec. 240.111, each person seeking certification or recertification as 
a locomotive engineer must request that National Highway Traffic Safety 
Administration conduct the NDR check, unless he or she was issued a 
motor vehicle driver license by one of the state agencies identified in 
this appendix. If the certification candidate received a license from 
one of the designated state agencies, he or she must request the state 
agency to perform the NDR check. The state motor vehicle licensing 
agencies listed in this appendix participate in a program that 
authorizes

[[Page 667]]

these state agencies, in accordance with the National Driver Register 
Act of 1982, to obtain information from the NDR on behalf of individuals 
seeking data about themselves. Since these state agencies can more 
efficiently supply the desired data and, in some instances, can provide 
a higher quality of information, FRA requires that certification 
candidates make use of this method in preference to directly contacting 
NHTSA.
    Although the number of state agencies that participate in this 
manner is limited, FRA anticipates that an increasing number of states 
will do so in the future. This appendix will be revised periodically to 
reflect current participation in the program. As of December 31, 1989, 
the motor vehicle licensing agencies of the following states participate 
under the provisions of the 1982 changes to the NDR Act: North Dakota, 
Ohio, Virginia, and Washington.

  Appendix E to Part 240--Recommended Procedures for Conducting Skill 
                            Performance Tests

    FRA requires (see Sec. 240.127 and Sec. 240.211) that locomotive 
engineers be given a skill performance test prior to certification or 
recertification and establishes certain criteria for the conduct of that 
test. Railroads are given discretion concerning the manner in which to 
administer the required testing. FRA has afforded railroads this 
discretion to allow individual railroad companies latitude to tailor 
their testing procedures to the specific operational realities. This 
appendix contains FRA's recommendations for the administration of skill 
performance testing that occurs during operation of an actual train. It 
can be modified to serve in instances where a locomotive simulator is 
employed for testing purposes. These recommended practices, if followed, 
will ensure a more thorough and systematic assessment of locomotive 
engineer performance.

                   The Need for a Systematic Approach

    There are numerous criteria that should be monitored when a 
designated supervisor of locomotive engineers is observing a person to 
determine whether that individual should be certified or recertified as 
a qualified locomotive engineer. The details of those criteria will vary 
for the different classes of service, types of railroads, and terrain 
over which trains are being operated. At a minimum, the attention of a 
designated supervisor of locomotive engineers should concentrate on 
several general areas during any appraisal. Compliance with the 
railroad's operating rules, including its safety directives and train 
handling rules, and compliance with Federal regulations should be 
carefully monitored. But, in order to effectively evaluate employees, it 
is necessary to have something against which to compare their 
performance. In order to hold a locomotive engineer accountable for 
compliance, a railroad must have adequate operating, safety and train 
handling rules. Any railroad that fails to have adequate operating, 
safety, or train handling rules will experience difficulty in 
establishing a objective method of measuring an individual's skill 
level. Any railroad that requires the evaluation of an individual's 
performance relative to its train handling rules needs to have 
established preferred operating ranges for throttle use, brake 
application, and train speed. The absence of such criteria results in 
the lack of a meaningful yardstick for the designated supervisor of 
locomotive engineers to use in measuring the performance of locomotive 
engineers. It also is essential to have a definite standard so that the 
engineer and any reviewing body can know what the certification 
candidate is being measured against.
    Evaluating the performance of certain train operation skills will 
tend to occur in all situations. For example, it would be rare for a 
designated supervisor of locomotive engineers to observe any operator 
for a reasonable period of time and not have some opportunity to review 
that engineer's compliance with some basic safety rules, compliance with 
basic operating rules, and performance of a brake test. As the 
complexity of the operation increases, so does the number of items that 
the operator must comply with. Higher speeds, mountainous terrain, and 
various signal systems place increased emphasis on the need for operator 
compliance with more safety, operating, and train handling rules. 
Accounting for such variables in any universal monitoring scheme 
immediately results in a fairly complex system.
    FRA therefore recommends that designated supervisors of locomotive 
engineers employ a written aid to help record events and procedures that 
as a minimum should be observed for when conducting a skills performance 
test. FRA is providing the following information to assist railroads in 
developing such a written aid so as to ensure meaningful testing. When 
conducting a skills performance test, a designated supervisor of 
locomotive engineers should be alert to the following:

    --Does the employee have the necessary books (Operating Rules, 
Safety Rules, Timetable, etc.)?
    --Are predeparture inspections properly conducted (Radio, Air Brake 
Tests, Locomotive, etc.)?
    --Does the employee comply with applicable safety rules?
    --Does the employee read the bulletins, general orders, etc.?
    --Enroute, does the employee:
    --Comply with applicable Federal Rules?
    --Monitor gauges?

[[Page 668]]

    --Properly use the horn, whistle, headlight?
    --Couple to cars at a safe speed?
    --Properly control in train slack and buff forces?
    --Properly use the train braking systems?
    --Comply with speed restrictions?
    --Display familiarity with the physical characteristics?
    --Comply with signal indications?
    --Respond properly to unusual conditions?
    --At the conclusion of the trip, does the employee:
    --Apply a hand brake to the locomotives?
    --Properly report locomotive defects?

    Obviously, the less sophisticated the railroad's operations are, the 
fewer the number of identified practices that would be relevant. Hence, 
this list should modified accordingly.

            The Need for Objectivity, Use of Observation Form

    It is essential that railroads conduct the performance skills 
testing in the most objective manner possible, whether this testing is 
the locomotive engineer's initial qualification testing or periodic 
retesting. There will always be some potential for the subjective views, 
held by the designated supervisor of locomotive engineers conducting the 
testing, to enter into evaluations concerning the competency of a 
particular individual to handle the position of locomotive engineer. 
Steps can be taken, and need to be taken, to minimize the risk that 
personality factors adversely influence the testing procedure.
    One way to reduce the entry of subjective matters into the 
qualification procedures is through the use of a document that specifies 
those criteria that the designated supervisor of locomotive engineers is 
to place emphasis on. The use of an observation form will reduce but not 
eliminate subjectivity. Any skill performance test will contain some 
amount of subjectivity. While compliance with the operating rules or the 
safety rules is clear in most cases, with few opportunities for 
deviation, train handling offers many options with few absolute right 
answers. The fact that an engineer applies the train air brakes at one 
location rather than a few yards away does not necessarily indicate a 
failure but a question of judgment. The use of dynamic braking versus 
air brakes at a particular location may be a question of judgment unless 
the carrier has previously specified the use of a preferred braking 
method. In any case the engineer's judgment, to apply or not apply a 
braking system at a given location, is subject to the opinion of the 
designated supervisor of locomotive engineers.
    A railroad should attempt to reduce or eliminate such subjectivity 
through use of some type of observation or evaluation. For railroads 
developing any evaluation form, the areas of concern identified earlier 
will not be relevant in all instances. Railroads that do not have 
sophisticated operations would only need a short list of subjects. For 
example, most smaller railroads would not require line items pertaining 
to compliance with signal rule compliance or the use of dynamic brakes. 
Conversely, in all instances the observation forms should include the 
time and location that the observer started and ended the observation. 
FRA believes that there should be a minimum duration for all performance 
skills examinations. FRA allows railroads to select a duration 
appropriate for their individual circumstances, requiring only that the 
period be ``of sufficient length to effectively evaluate the person.'' 
In exercising its discretion FRA suggests that the minimums selected by 
a railroad be stated in terms of a distance since the examination has to 
be of a sufficient duration to adequately monitor the operator's skills 
in a variety of situations. FRA also suggests that the format for the 
observation form include a space for recording the observer's comments. 
Provision for comments ideally would allow for the inclusion of 
``constructive criticism'' without altering the import of the evaluation 
and would permit subjective comments where merited.

          Appendix F to Part 240--Medical Standards Guidelines

    (1) The purpose of this appendix is to provide greater guidance on 
the procedures that should be employed in administering the vision and 
hearing requirements of Secs. 240.121 and 240,207.
    (2) In determining whether a person has the visual acuity that meets 
or exceeds the requirements of this part, the following testing 
protocols are deemed acceptable testing methods for determining whether 
a person has the ability to recognize and distinguish among the colors 
used as signals in the railroad industry. The acceptable test methods 
are shown in the left hand column and the criteria that should be 
employed to determine whether a person has failed the particular testing 
protocol are shown in the right hand column.

------------------------------------------------------------------------
             Accepted tests                      Failure criteria
------------------------------------------------------------------------
                     PSEUDOISOCHROMATIC PLATE TESTS
------------------------------------------------------------------------
American Optical Company 1965..........  5 or more errors on plates 1-
                                          15.

[[Page 669]]

 
AOC--Hardy-Rand-Ritter plates--second    Any error on plates 1-6 (plates
 edition.                                 1-4 are for demonstration--
                                          test plate 1 is actually plate
                                          5 in book)
Dvorine--Second edition................  3 or more errors on plates 1-15
Ishihara (14 plate)....................  2 or more errors on plates 1-
                                          11.
Ishihara (16 plate)....................  2 or more errors on plates 1-8.
Ishihara (24 plate)....................  3 or more errors on plates 1-
                                          15.
Ishihara (38 plate)....................  4 or more errors on plates 1-
                                          21.
Richmond Plates 1983...................  5 or more errors on plates 1-
                                          15.
----------------------------------------
                       MULTIFUNCTION VISION TESTER
------------------------------------------------------------------------
Keystone Orthoscope....................  Any error.
OPTEC 2000.............................  Any error.
Titmus Vision Tester...................  Any error.
Titmus II Vision Tester................  Any error.
------------------------------------------------------------------------

    (3) In administering any of these protocols, the person conducting 
the examination should be aware that railroad signals do not always 
occur in the same sequence and that ``yellow signals'' do not always 
appear to be the same. It is not acceptable to use ``yarn'' or other 
materials to conduct a simple test to determine whether the 
certification candidate has the requisite vision. No person shall be 
allowed to wear chromatic lenses during an initial test of the person's 
color vision; the initial test is one conducted in accordance with one 
of the accepted tests in the chart and Sec. 240.121(c)(3).
    (4) An examinee who fails to meet the criteria in the chart, may be 
further evaluated as determined by the railroad's medical examiner. 
Ophthalmologic referral, field testing, or other practical color testing 
may be utilized depending on the experience of the examinee. The 
railroad's medical examiner will review all pertinent information and, 
under some circumstances, may restrict an examinee who does not meet the 
criteria from operating the train at night, during adverse weather 
conditions or under other circumstances. The intent of Sec. 240.121(e) 
is not to provide an examinee with the right to make an infinite number 
of requests for further evaluation, but to provide an examinee with at 
least one opportunity to prove that a hearing or vision test failure 
does not mean the examinee cannot safely operate a locomotive or train. 
Appropriate further medical evaluation could include providing another 
approved scientific screening test or a field test. All railroads should 
retain the discretion to limit the number of retests that an examinee 
can request but any cap placed on the number of retests should not limit 
retesting when changed circumstances would make such retesting 
appropriate. Changed circumstances would most likely occur if the 
examinee's medical condition has improved in some way or if technology 
has advanced to the extent that it arguably could compensate for a 
hearing or vision deficiency.
    (5) Engineers who wear contact lenses should have good tolerance to 
the lenses and should be instructed to have a pair of corrective glasses 
available when on duty.

[64 FR 60996, Nov. 8, 1999]



PART 241--UNITED STATES LOCATIONAL REQUIREMENT FOR DISPATCHING OF UNITED STATES RAIL OPERATIONS--Table of Contents




Sec.
241.1 Purpose and scope.
241.3 Application and responsibility for compliance.
241.5 Definitions.
241.7 Waivers.
241.9 Prohibition against extraterritorial dispatching; exceptions.
241.11 Prohibition against conducting a railroad operation dispatched by 
          an extraterritorial dispatcher; exceptions.
241.13 Prohibition against track owner's requiring or permitting use of 
          its line for a railroad operation dispatched by an 
          extraterritorial dispatcher; exceptions.
241.15 Penalties and other consequences for noncompliance.
241.17 Preemptive effect.
241.19 Information collection.

Appendix A to Part 241--List of Lines Being Extraterritorially 
          Dispatched in Accordance With the Regulations Contained in 49 
          CFR Part 241, Revised as of October 1, 2002
Appendix B to Part 241--Schedule of Civil Penalties
Appendix C to Part 241--Geographical Boundaries of FRA's Regions and 
          Addresses of FRA's Regional Headquarters

    Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311; 28 U.S.C. 
2461, note; 49 CFR 1.49.

    Source: 67 FR 75960, Dec. 10, 2002, unless otherwise noted.

[[Page 670]]



Sec. 241.1  Purpose and scope.

    (a) The purpose of this part is to prevent railroad accidents and 
incidents, and consequent injuries, deaths, and property damage, that 
would result from improper dispatching of railroad operations in the 
United States by individuals located outside of the United States.
    (b) This part prohibits extraterritorial dispatching of railroad 
operations, conducting railroad operations that are extraterritorially 
dispatched, and allowing track to be used for such operations, subject 
to certain stated exceptions. This part does not restrict a railroad 
from adopting and enforcing additional or more stringent requirements 
not inconsistent with this part.



Sec. 241.3  Application and responsibility for compliance.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all railroads.
    (b) This part does not apply to--
    (1) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    (c) Although the duties imposed by this part are generally stated in 
terms of a duty of a railroad, each person, including a contractor for a 
railroad, who performs a function covered by this part, shall perform 
that function in accordance with this part.



Sec. 241.5  Definitions.

    As used in this part:
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Dispatch means--
    (1) To perform a function that would be classified as a duty of a 
``dispatching service employee,'' as that term is defined by the hours 
of service laws at 49 U.S.C. 21101(2), if the function were to be 
performed in the United States. For example, to dispatch means, by the 
use of an electrical or mechanical device--
    (i) To control the movement of a train or other on-track equipment 
by the issuance of a written or verbal authority or permission affecting 
a railroad operation, or by establishing a route through the use of a 
railroad signal or train control system but not merely by aligning or 
realigning a switch; or
    (ii) To control the occupancy of a track by a roadway worker or 
stationary on-track equipment, or both; or
    (iii) To issue an authority for working limits to a roadway worker.
    (2) The term dispatch does not include the action of personnel in 
the field--
    (i) Effecting implementation of a written or verbal authority or 
permission affecting a railroad operation or an authority or permission 
affecting a railroad operation or an authority for working limits to a 
roadway worker (e.g., initiating an interlocking timing device, 
authorizing a train to enter working limits); or
    (ii) Operating a function of a signal system designed for use by 
those personnel.
    Dispatcher means any individual who dispatches.
    Emergency means an unexpected and unforeseeable event or situation 
that affects a railroad's ability to use a dispatcher in the United 
States to dispatch a railroad operation in the United States and that, 
absent the railroad's use of an extraterritorial dispatcher to dispatch 
the railroad operation, would either materially disrupt rail service or 
pose a substantial safety hazard.
    Employee means an individual who is engaged or compensated by a 
railroad or by a contractor to a railroad to perform any of the duties 
defined in this part.
    Extraterritorial dispatcher means a dispatcher who, while located 
outside of the United States, dispatches a railroad operation that 
occurs in the United States.
    Extraterritorial dispatching means the act of dispatching a railroad 
operation that occurs on trackage in the United States by a dispatcher 
located outside of the United States.
    Fringe border dispatching means the act of extraterritorial 
dispatching a

[[Page 671]]

railroad operation that occurs on trackage in the United States 
immediately adjacent to the border between the United States and Canada 
or the border between the United States and Mexico by a dispatcher who 
is a railroad employee located in Canada or Mexico.
    FRA means the Federal Railroad Administration, United States 
Department of Transportation.
    Movement of a train means the movement of one or more locomotives 
coupled with or without cars, requiring an air brake test in accordance 
with part 232 or part 238 of this chapter, except during switching 
operations or where the operation is that of classifying and assembling 
rail cars within a railroad yard for the purpose of making or breaking 
up trains.
    Occupancy of a track by a roadway worker or stationary on-track 
equipment or both refers to the physical presence of a roadway worker or 
stationary on-track equipment, or both, on a track for the purpose of 
making an inspection, repair, or another activity not associated with 
the movement of a train or other on-track equipment.
    Person means an entity of a type covered under 1 U.S.C. 1, including 
but not limited to the following: a railroad; a manager, supervisor, 
official, or other employee or agent of a railroad; an owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; an independent contractor providing goods or services to a 
railroad; and an employee of such owner, manufacturer, lessor, lessee, 
or independent contractor.
    Railroad means any form of nonhighway ground transportation that 
runs on rails or electromagnetic guideways and any person providing such 
transportation, including--
    (1) Commuter or other short-haul railroad passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979; and
    (2) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads; but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    Railroad contractor means a contractor to a railroad or a 
subcontractor to a contractor to a railroad.
    Railroad operation means the movement of a train or other on-track 
equipment (other than on-track equipment used in a switching operation 
or where the operation is that of classifying and assembling rail cars 
within a railroad yard for the purpose of making or breaking up a 
train), or the activity that is the subject of an authority issued to a 
roadway worker for working limits.
    Roadway worker means any employee of a railroad, or of a contractor 
to a railroad, whose duties include inspection, construction, 
maintenance, or repair of railroad track, bridges, roadway, signal and 
communication systems, electric traction systems, roadway facilities, or 
roadway maintenance machinery on or near track or with the potential of 
fouling a track, and flagmen and watchmen/lookouts.
    State means a State of the United States of America or the District 
of Columbia.
    United States means all of the States.
    Working limits means a segment of track with definite boundaries 
established in accordance with part 214 of this chapter upon which 
trains and engines may move only as authorized by the roadway worker 
having control over that defined segment of track. Working limits may be 
established through ``exclusive track occupancy,'' ``inaccessible 
track,'' ``foul time,'' or ``train coordination'' as defined in part 214 
of this chapter.



Sec. 241.7  Waivers.

    (a) General. (1) A person subject to a requirement of this part may 
petition the Administrator for a waiver of compliance with such 
requirement. Except as provided in paragraph (b) of this section, the 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (2) (i) Each petition for waiver under this section shall be filed 
in the manner and contain the information required by part 211 of this 
chapter.

[[Page 672]]

    (ii) Petitions seeking approval to conduct fringe border operations 
shall also comply with the requirements of paragraph (c) of this 
section.
    (iii) Petitioners not filing under paragraph (c) of this section 
should review the guidelines at 66 FR 63942 (Dec. 11, 2001), and frame 
their petitions to address the safety and security concerns articulated 
in the preamble, or contact the Office of the Chief Counsel, RCC-12, 
FRA, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590, for a copy 
of the guidelines.
    (3) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions that the 
Administrator deems necessary.
    (b) Special dispensation for existing extraterritorial dispatching. 
(1) A railroad that files a waiver request seeking to continue 
extraterritorial dispatch of an operation that it has dispatched from 
Canada or Mexico pursuant to regulations contained in 49 CFR part 241, 
revised as of October 1, 2002, may continue extraterritorial dispatching 
of that operation until the railroad's waiver request is acted upon by 
FRA if the petition is filed no later than April 11, 2003.
    (2) If the waiver request is for an operation not listed in appendix 
A to this part, the waiver request must describe when the 
extraterritorial dispatching of the operation commenced and how the 
dispatching was authorized by regulations contained in 49 CFR part 241, 
revised as of October 1, 2002. FRA will notify the railroad if FRA 
determines that the operation was not permitted by the terms of those 
regulations.
    (c) Fringe border dispatching. (1) A waiver request to have a 
railroad employee located in Canada or in Mexico dispatch a railroad 
operation in the United States immediately adjacent to the border of the 
country in which the dispatcher conducts the dispatching will generally 
be approved by FRA, subject to any conditions imposed by FRA, if the 
waiver request meets all of the terms of paragraphs (c)(2) and (3) of 
this section. A proponent of a waiver request may seek relief from the 
terms of paragraphs (c)(2) and (3) of this section.
    (2) The railroad proposing to conduct the fringe border dispatching 
shall supply the following documents as part of the waiver request:
    (i) A description, by railroad division, applicable subdivision(s), 
and mileposts, of the line proposed to be dispatched;
    (ii) A copy of the operating rules of the railroad that would apply 
to the proposed fringe border dispatching, including hours of service 
limitations, and the railroad's program for testing the dispatchers in 
accordance with these operating rules and for ensuring that the 
dispatchers do not work in excess of the hours of service restrictions;
    (iii) A copy of the railroad's drug and alcohol abuse prevention 
program that applies to the fringe border dispatchers. The program 
shall, to the extent permitted by the laws of the country where the 
dispatching occurs, contain the following:
    (A) Preemployment drug testing;
    (B) A general prohibition on possession and use of alcohol and drugs 
while on duty;
    (C) Reasonable cause alcohol and drug testing;
    (D) A policy dealing with co-worker and self-reporting of alcohol 
and drug abuse problems;
    (E) Post-accident testing; and
    (F) Random drug testing;
    (iv) The steps the railroad has taken to ensure the security of the 
dispatch center where the fringe border dispatching will take place;
    (v) The railroad's plans for complying with the requirements of 
paragraph (c)(3) of this section; and
    (vi) A verification from a government agency in the country where 
the dispatching will occur that the agency has safety jurisdiction over 
the railroad and the proposed dispatching, and that the railroad's 
safety programs referenced in paragraphs (c)(2)(ii) and (iii) of this 
section meet the safety requirements established by the agency or, in 
the absence of established safety requirements, that the programs are 
satisfactory to the agency.
    (3) Except as otherwise approved by FRA, fringe border dispatching 
must

[[Page 673]]

comply with the following requirements:
    (i) The trackage in the United States being extraterritorially 
dispatched shall not exceed the following route miles, measured from the 
point that the trackage crosses the United States border:
    (A) For operations conducted pursuant to the regulations contained 
in 49 CFR part 241, revised as of October 1, 2002, the route miles shall 
be the miles normally operated by the railroad in conducting the 
operation; and
    (B) For all other operations, the route miles shall not exceed five 
miles.
    (ii) Except for unforeseen circumstances such as equipment failure, 
accident, casualty, or incapacitation of a crew member, each 
extraterritorially dispatched train shall be under the control of the 
same assigned crew for the entire trip over the extraterritorially 
dispatched trackage.
    (iii) The fringe border dispatcher shall communicate instructions to 
the train crew and maintenance of way employees working on the line in 
the English language and, when referencing units of measurement, shall 
use English units of measurement.
    (iv) The rail line shall be under the exclusive control of a single 
dispatching district or desk; and
    (v) The dispatching of the train shall be transferred from the 
fringe border dispatcher to a dispatcher located in the United States at 
one of the following locations within the mileage limits mandated in 
paragraph (c)(3)(i) of this section:
    (A) Interchange point;
    (B) Signal control point;
    (C) Junction of two rail lines;
    (D) Established crew change point;
    (E) Yard or yard limits location;
    (F) Inspection point for U.S. Customs, Immigration and 
Naturalization Service, Department of Agriculture, or other governmental 
inspection; or
    (G) Location where there is a change in the method of train 
operations.



Sec. 241.9  Prohibition against extraterritorial dispatching; exceptions.

    (a) General. Except as provided in Sec. 241.7(d) and paragraphs (b) 
and (c) of this section, a railroad subject to this part shall not 
require or permit a dispatcher located outside the United States to 
dispatch a railroad operation that occurs in the United States if the 
dispatcher is employed by the railroad or by a contractor to the 
railroad.
    (b) Transitional period to continue existing extraterritorial 
dispatching. A railroad that has normally extraterritorially dispatched 
railroad track in the United States from Canada or Mexico pursuant to 
the regulations contained in 49 CFR part 241, revised as of October 1, 
2002, may continue extraterritorial dispatching of that railroad track 
until April 10, 2003, to permit the railroad an opportunity to file a 
waiver request pursuant to Sec. 241.7.
    (c) Emergencies. (1) In an emergency situation, a railroad may 
require or permit one of its dispatchers located outside the United 
States to dispatch a railroad operation that occurs in the United 
States, provided that:
    (i) The dispatching railroad notifies the FRA Regional Administrator 
of each FRA region where the railroad operation was conducted, in 
writing as soon as practicable, of the emergency; and
    (ii) The extraterritorial dispatching is limited to the duration of 
the emergency.
    (2) Written notification may be made either on paper or by 
electronic mail.
    (3) A list of the States that make up the FRA regions and the street 
and e-mail addresses and fax numbers of the FRA Regional Administrators 
appears in appendix C to this part.
    (d) Liability. The Administrator may hold either the railroad that 
employs the dispatcher or the railroad contractor that employs the 
dispatcher, or both, responsible for compliance with this section and 
subject to civil penalties under Sec. 241.15.



Sec. 241.11  Prohibition against conducting a railroad operation dispatched by an extraterritorial dispatcher; exceptions.

    (a) General. Except as provided in Sec. 241.5(d) or paragraphs (b) 
and (c) of this section, a railroad subject to this part shall not 
conduct, or contract for the conduct of, a railroad operation in the 
United States that is dispatched

[[Page 674]]

from a location outside of the United States.
    (b) Transitional period to continue existing extraterritorial 
dispatching. A railroad that has normally conducted, or contracted for 
the conduct of, a railroad operation in the United States that is 
extraterritorially dispatched pursuant to the regulations contained in 
49 CFR part 241, revised as of October 1, 2002, may continue to conduct 
or contract for the conduct of the operation until April 10, 2003, to 
permit the railroad an opportunity to file a waiver request pursuant to 
Sec. 241.7.
    (c) Emergencies. (1) In an emergency situation, a railroad may 
conduct, or contract for the conduct of, a railroad operation in the 
United States that is dispatched from a location outside the United 
States, provided that:
    (i) The dispatching railroad notifies the FRA Regional Administrator 
of each FRA region where the railroad operation was conducted, in 
writing as soon as practicable, of the emergency; and
    (ii) The extraterritorial dispatching is limited to the duration of 
the emergency.
    (2) Written notification may be made either on paper or by 
electronic mail.
    (3) A list of the States that make up the FRA regions and the street 
and e-mail addresses and fax numbers of the FRA Regional Administrators 
appears in appendix C to this part.
    (d) Liability. The Administrator may hold either the railroad that 
conducts the railroad operation or the railroad contractor that conducts 
the operation, or both, responsible for compliance with this section and 
subject to civil penalties under Sec. 241.15.



Sec. 241.13  Prohibition against track owner's requiring or permitting use of its line for a railroad operation dispatched by an extraterritorial dispatcher; 
          exceptions.

    (a) General. Except as provided in paragraphs (b) and (c) of this 
section, an owner of railroad track located in the United States shall 
not require or permit the track to be used for a railroad operation that 
is dispatched from outside the United States.
    (b) Transitional period to continue existing extraterritorial 
dispatching. An owner of a track segment located in the United States 
that is extraterritorially dispatched pursuant to the regulations 
contained in 49 CFR 241, revised as of October 1, 2002, may require or 
permit the track segment to be continued to be used for a railroad 
operation that is extraterritorially dispatched until April 10, 2003, to 
permit the railroad an opportunity to file a waiver request pursuant to 
Sec. 241.7.
    (c) Emergencies. In an emergency situation, an owner of railroad 
track located in the United States may require or permit the track to be 
used for a railroad operation that is dispatched from outside the United 
States, provided that:
    (1) The dispatching railroad notifies the FRA Regional Administrator 
of each FRA region where the operation was conducted, in writing as soon 
as practicable, of the emergency and
    (2) The extraterritorial dispatching is limited to the duration of 
the emergency. Written notification may be made either on paper or by 
electronic mail.
    (d) Liability. The Administrator may hold either the track owner or 
the assignee under Sec. 213.5(c) of this chapter ( if any), or both, 
responsible for compliance with this section and subject to civil 
penalties under Sec. 241.15. A common carrier by railroad that is 
directed by the Surface Transportation Board to provide service over the 
track in the United States of another railroad under 49 U.S.C. 11123 is 
considered the owner of that track for the purposes of the application 
of this section during the period that the directed service order 
remains in effect.



Sec. 241.15  Penalties and other consequences for noncompliance.

    (a) Any person who violates any requirement of this part or causes 
the violation of any such requirement is subject to a civil penalty of 
at least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a

[[Page 675]]

penalty not to exceed $22,000 per violation may be assessed. Each day a 
violation continues shall constitute a separate offense.
    (b) An individual who violates any requirement of this part or 
causes the violation of any such requirement may be subject to 
disqualification from safety-sensitive service in accordance with part 
209 of this chapter.
    (c) A person who knowingly and willfully falsifies a record or 
report required by this part may be subject to criminal penalties under 
49 U.S.C. 21311.



Sec. 241.17  Preemptive effect.

    Under 49 U.S.C. 20106, the regulations in this part preempt any 
State law, regulation, or order covering the same subject matter, except 
an additional or more stringent law, regulation, or order that is 
necessary to eliminate or reduce an essentially local safety hazard; is 
not incompatible with a law, regulation, or order of the United States 
Government; and does not impose an unreasonable burden on interstate 
commerce.



Sec. 241.19  Information collection.

    (a) The information collection requirements of this part are being 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.).
    (b) The information collection requirements are found in the 
following sections: Sec. 241.7(a), (b), (c); 241.9(c); 241.11(c); 
241.13(c); and 214.15. When an effective date for these sections is 
established, FRA will publish notice of that date in the Federal 
Register.

     Appendix A to Part 241--List of Lines Being Extraterritorially 
 Dispatched in Accordance With the Regulations Contained in 49 CFR Part 
                   241, Revised as of October 1, 2002

------------------------------------------------------------------------
 Description of United States    Length of United
      track segment being         States' track     Railroad conducting
 extraterritorially dispatched       segment          the dispatching
------------------------------------------------------------------------
Maine: Between Vanceboro,       99 miles.........  Eastern Maine Ry. Co.
 Maine and Brownville
 Junction, Maine.
Michigan:
    U.S. trackage between       1.8 miles........  Canadian Pacific
     Windsor, Ontario, and                          Railway Company.
     Detroit, Michigan.
    U.S. trackage between       3.1 miles........  Canadian National
     Sarnia, Ontario, and Port                      Railway Company
     Huron, Michigan.                               (CN).
Minnesota: Sprague              43.8 miles.......  CN.
 Subdivision, between
 Baudette, Minnesota, and
 International Boundary,
 Minnesota.
------------------------------------------------------------------------

         Appendix B to Part 241--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                  Section \2\                    Violation    violation
------------------------------------------------------------------------
241.9(a) Requiring or permitting                     $7,500      $11,000
 extraterritorial dispatching of a railroad
 operation....................................
    (b) Failing to notify FRA about                   5,000        7,500
     extraterritorial dispatching of a
     railroad operation in an emergency
     situation................................
241.11 Conducting a railroad operation that is
 extraterritorially dispatched:
    (a)(1) Generally..........................        7,500       11,000
    (a)(2) In an emergency situation-where            2,500        5,000
     dispatching railroad fails to notify FRA
     of the extraterritorial dispatching......
241.13 Requiring or permitting track to be
 used for the conduct of a railroad operation
 that is extraterritorially dispatched:
    (a)(1) Generally..........................        7,500       11,000
    (a)(2) In an emergency situation-where            2,500       5,000
     dispatching railroad fails to notify FRA
     of the extraterritorial dispatching......
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  U.S.C. 21301, 21304 and 49 CFR part 209, appendix A.
\2\ Further designations for certain provisions, not found in the CFR
  citation for those provisions, and not found in this Appendix, are FRA
  Office of Chief Counsel computer codes added as a suffix to the CFR
  citation and used to expedite imposition of civil penalties for
  violations. FRA reserves the right, should litigation become
  necessary, to substitute in its complaint the CFR citation in place of
  the combined designation cited in the civil penalty demand letter.


[[Page 676]]

  Appendix C to Part 241--Geographical Boundaries of FRA's Regions and 
                Addresses of FRA's Regional Headquarters

    The geographical boundaries of FRA's eight regions and the addresses 
for the regional headquarters of those regions are as follows:
    (1) Region 1 consists of Maine, Vermont, New Hampshire, New York, 
Massachusetts, Rhode Island, Connecticut, and New Jersey. The mailing 
address of the Regional Headquarters is: 55 Broadway, Room 1077, 
Cambridge, Massachusetts 02142. The fax number is 617-494-2967. The 
electronic mail (E-mail) address of the Regional Administrator for 
Region 1 is: [email protected].
    (2) Region 2 consists of Pennsylvania, Delaware, Maryland, Ohio, 
West Virginia, Virginia, and Washington, DC. The mailing address of the 
Regional Headquarters is: Two International Plaza, Suite 550, 
Philadelphia, Pennsylvania 19113. The fax number is 610-521-8225. The E-
mail address of the Regional Administrator for Region 2 is: 
[email protected].
    (3) Region 3 consists of Kentucky, Tennessee, North Carolina, South 
Carolina, Georgia, Alabama, Mississippi, and Florida. The mailing 
address of the Regional Headquarters is: Atlanta Federal Center, 61 
Forsythe Street, SW., Suite 16T20, Atlanta, Georgia 30303. The fax 
number is 404-562-3830. The E-mail address of the Regional Administrator 
for Region 3 is: [email protected].
    (4) Region 4 consists of Minnesota, Wisconsin, Michigan, Illinois, 
and Indiana. The mailing address of the Regional Headquarters is: 300 
West Adams Street, Rm 310, Chicago, Illinois 60606. The fax number is 
312-886-9634. The E-mail address of the Regional Administrator for 
Region 4 is: [email protected].
    (5) Region 5 consists of New Mexico, Oklahoma, Arkansas, Louisiana 
and Texas. The mailing address of the Regional Headquarters is: 4100 
International Plaza, Suite 450, Fort Worth, Texas, 76109-4820. The fax 
number is 817-284-3804. The E-mail address of the Regional Administrator 
for Region 5 is: [email protected].
    (6) Region 6 consists of Nebraska, Iowa, Colorado, Kansas, and 
Missouri. The mailing address of the Regional Headquarters is: 911 
Locust Street, Suite 464, Kansas City, Missouri 64106. The fax number is 
816-329-3867. The E-mail address of the Regional Administrator for 
Region 6 is: [email protected].
    (7) Region 7 consists of California, Nevada, Utah, Arizona, and 
Hawaii. The mailing address of the Regional Headquarters is: 801 I 
Street, Suite 466, Sacramento, California 95814. The fax number is 916-
498-6546. The E-mail address of the Regional Administrator for Region 7 
is: [email protected].
    (8) Region 8 consists of Washington, Idaho, Montana, North Dakota, 
Oregon, Wyoming, South Dakota, and Alaska. The mailing address of the 
Regional Headquarters is: Murdock Executive Plaza, 703 Broadway, Suite 
650, Vancouver, Washington 98660. The fax number is 360-696-7548. The E-
mail address of the Regional Administrator for Region 8 is: 
[email protected].



PART 244--REGULATIONS ON SAFETY INTEGRATION PLANS GOVERNING RAILROAD CONSOLIDATIONS, MERGERS, AND ACQUISITIONS OF CONTROL--Table of Contents




                           Subpart A--General

Sec.
244.1 Scope, application, and purpose.
244.3 Preemptive effect.
244.5 Penalties.
244.7 Waivers.
244.9 Definitions.

                   Subpart B--Safety Integration Plans

244.11 Contents of a Safety Integration Plan.
244.13 Subjects to be addressed in a Safety Integration Plan involving 
          an amalgamation of operations.
244.15 Subjects to be addressed in a Safety Integration Plan not 
          involving an amalgamation of operations.
244.17 Procedures.
244.19 Disposition.
244.21 Compliance and Enforcement.

     Appendix A to Part 244--Schedule of Civil Penalties [Reserved]

    Authority: 49 U.S.C. 20103, 20107, 21301; 5 U.S.C. 553 and 559; Sec. 
31001(s)(1), Pub. L. 104-134, 110 Stat. 1321-373 (28 U.S.C. 2461 note); 
and 49 CFR 1.49.

    Source:  67 FR 11604, Mar. 15, 2002, unless otherwise noted.



                           Subpart A--General



Sec. 244.1  Scope, application, and purpose.

    (a) This part prescribes requirements for filing and implementing a 
Safety Integration Plan with FRA whenever a Class I railroad proposes to 
consolidate with, merge with, or acquire control of another Class I 
railroad, or with a Class II railroad where there is a proposed 
amalgamation of operations.

[[Page 677]]

    (b) The purpose of this part is to achieve a reasonable level of 
railroad safety during the implementation of transactions described in 
paragraph (a) of this section. This part does not preclude a railroad 
from taking additional measures not inconsistent with this part to 
provide for safety in connection with a transaction.
    (c) The requirements prescribed under this part apply only to FRA's 
disposition of a regulated transaction filed by an applicant. The 
transactions covered by this part also require separate filing with and 
approval by the Surface Transportation Board. See 49 CFR part 1106.



Sec. 244.3  Preemptive effect.

    Under 49 U.S.C. 20106, issuance of these regulations preempts any 
State law, regulation, or order covering the same subject matter, except 
an additional or more stringent law, regulation, or order that:
    (a) Is necessary to eliminate or reduce an essentially local safety 
hazard;
    (b) Is not incompatible with a law, regulation, or order of the 
United States Government; and
    (c) Does not unreasonably burden interstate commerce.



Sec. 244.5  Penalties.

    (a) Any person who violates any requirement of this part or causes 
the violation of any such requirement is subject to a civil penalty of 
at least $500, but not more than $11,000 per day, except that: Penalties 
may be assessed against individuals only for willful violations, and, 
where a grossly negligent violation or a pattern of repeated violations 
has created an imminent hazard of death or injury to persons, or has 
caused death or injury, a penalty not to exceed $22,000 per violation 
may be assessed. Each day a violation continues shall constitute a 
separate offense.
    (b) As specified in Sec. 244.21, FRA may also exercise any of its 
other enforcement remedies if a railroad fails to comply with 
Sec. 244.21.
    (c) Any person who knowingly and willfully makes a false entry in a 
record or report required by this part shall be subject to criminal 
penalties under 49 U.S.C. 21311.



Sec. 244.7  Waivers.

    (a) A person subject to a requirement of this part may petition the 
Administrator for a waiver of compliance with any requirement of this 
part. The filing of such a petition does not affect that person's 
responsibility for compliance with that requirement pending action on 
such a petition.
    (b) Each petition for a waiver under this section must be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.
    (d) The procedures governing a petition for a waiver that are 
prescribed under this part apply only to FRA's disposition of such a 
petition. A person seeking a waiver of a Surface Transportation Board 
regulation would need to file a petition for a waiver with the Board. 
(See 49 CFR 1106.5.)



Sec. 244.9  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Amalgamation of operations means the migration, combination, or 
unification of one set of railroad operations with another set of 
railroad operations, including, but not limited to, the allocation of 
resources affecting railroad operations (e.g., changes in personnel, 
track, bridges, or communication or signal systems; or use or deployment 
of maintenance-of-way equipment, locomotives, or freight or passenger 
cars).
    Applicant means a Class I railroad or a Class II railroad engaging 
in a transaction subject to this part.
    Best practices means measures that are tried, tested, and proven to 
be the safest and most efficient rules or instructions governing 
railroad operations.
    Class I or Class II railroad has the meaning assigned by regulations 
of the Surface Transportation Board (49 CFR Part 1201; General 
Instructions 1-1), as those regulations may be revised by the Board 
(including modifications in

[[Page 678]]

class thresholds based on the revenue deflator formula) from time to 
time.
    Corporate culture means the totality of the commitments, written and 
oral directives, and practices that make up the way a railroad's 
management and its employees operate their railroad.
    Control means actual control, legal control, or the power to 
exercise control through:
    (1) Common directors, officers, stockholders, a voting trust, or a 
holding or investment company, or
    (2) Any other means. See 49 U.S.C. 10102.
    Consolidation means the creation of a new Class I railroad by 
combining existing Class I railroads or a Class I railroad and a Class 
II railroad where there is an amalgamation of operations, or by a 
railroad or a corporate parent of a Class I railroad taking over the 
assets or assuming the liabilities, or both, of another Class I railroad 
such that the resulting unified entity has the combined capital, powers, 
and subsidiaries and affiliates, if applicable, of all of its 
constituents.
    Environmental documentation means either an Environmental Assessment 
or Environmental Impact Statement prepared in accordance with the 
Surface Transportation Board's environmental rules at 49 CFR part 1105.
    Merger means the acquisition of one Class I railroad or Class II 
railroad where there is amalgamation of operations by a Class I railroad 
such that the acquiring railroad or a corporate parent of that railroad 
acquires the stock, assets, liabilities, powers, subsidiaries and 
affiliates of the railroad acquired.
    Person means an entity of any type covered under 1 U.S.C. 1, 
including the following: A railroad; a manager, supervisor, official, or 
other employee or agent of a railroad; any owner, manufacturer, lessor, 
or lessee of railroad equipment, track, or facilities; any independent 
contractor providing goods or services to a railroad; and any employee 
of such owner, manufacturer, lessor, lessee, or independent contractor.
    Railroad means any form of non-highway ground transportation that 
runs on rails or electromagnetic guideways, including:
    (1) Commuter or other short-haul rail passenger service in a 
metropolitan or suburban area; and
    (2) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads. The term does 
not include rapid transit operations in an urban area that are not 
connected to the general railroad system of transportation.
    Safety Integration Plan means a comprehensive written plan submitted 
to and approved by FRA in compliance with this part that demonstrates in 
required detail how an applicant will provide for safe railroad 
operations during and after any transaction covered by this part, and 
otherwise assure compliance with the Federal railroad safety laws.
    Section of Environmental Analysis or ``SEA'' means the Section of 
the Surface Transportation Board that prepares its environmental 
documentation and analyses.
    Transaction means a consolidation, merger, or acquisition of control 
subject to the requirements of this part.



                   Subpart B--Safety Integration Plans



Sec. 244.11  Contents of a Safety Integration Plan.

    Each Safety Integration Plan shall contain the following information 
for each subject matter identified in Sec. 244.13 or Sec. 244.15:
    (a) A detailed description of how the applicant differs from each 
railroad it proposes to acquire or with which the applicant proposes to 
consolidate or merge, including the rules or instructions governing 
railroad operations of these railroads;
    (b) A detailed description of the proposed manner of operations of 
the resulting railroad, including a reconciliation of the differing 
rules or instructions governing railroad operations of the railroads 
involved in the transaction;
    (c) The measures to be taken to comply with applicable Federal 
railroad safety laws and regulations;

[[Page 679]]

    (d) The proposed specific measures, expressed step-by-step, for each 
relevant subject matter that the applicant believes will result in safe 
implementation of the proposed transaction consistent with the 
requirements of this part;
    (e) The allocation of resources, expressed as human and capital 
resources within designated operating budgets, directed to complete 
safety-relevant operations subject to the transaction; and
    (f) The timetable, targeted in specific terms from commencement to 
completion, for implementing paragraphs (c), (d) and (e) of this 
section.



Sec. 244.13  Subjects to be addressed in a Safety Integration Plan involving an amalgamation of operations.

    Each Safety Integration Plan involving an amalgamation of operations 
shall address the following subjects for railroad operations conducted 
on property subject to the transaction:
    (a) Corporate culture. Each applicant shall:
    (1) Identify and describe differences for each safety-related area 
between the corporate cultures of the railroads involved in the 
transaction;
    (2) Describe how these cultures lead to different practices 
governing rail operations; and
    (3) Describe, in step-by-step measures, the integration of these 
corporate cultures and the manner in which it will produce a system of 
``best practices'' when the transaction is implemented.
    (b) Training. Each applicant shall identify classroom and field 
courses, lectures, tests, and other educational or instructional forums 
designed to ensure the proficiency, qualification, and familiarity with 
the operating rules and operating tasks of territory assigned of the 
following employees, either when these employees are assigned to a new 
territory or the operating rules on a given territory are changed:
    (1) Employees who perform train and engine service;
    (2) Employees who inspect and maintain track and bridges;
    (3) Employees who inspect, maintain and repair any type of on-track 
equipment, including locomotives, passenger cars, and freight cars of 
all types;
    (4) Dispatchers or operators;
    (5) Employees who inspect and maintain signal and train control 
devices and systems;
    (6) Hazardous materials personnel, including information technology 
personnel who affect the transportation of hazardous materials;
    (7) Employees who maintain or upgrade communication systems 
affecting rail operations; and
    (8) Supervisors of employees enumerated in paragraphs (b)(1) through 
(7) of this section.
    (c) Operating practices.
    (1) Operating rules. Each applicant shall identify the operating 
rules, timetables, and timetable special instructions to govern railroad 
operations, including yard or terminal operations and freight or 
passenger service.
    (2) Alcohol and drug. Each applicant shall identify the post-
accident toxicological testing, reasonable cause testing, and random 
alcohol and drug testing programs as required under 49 CFR part 219.
    (3) Qualification and certification of locomotive engineers. Each 
applicant shall identify the program for qualifying and certifying 
locomotive engineers under 49 CFR part 240.
    (4) Hours of service laws. Each applicant shall identify the 
procedures for complying with the Federal hours of service laws and 
related measures to minimize fatigue of employees covered by 49 U.S.C. 
chapter 211.
    (d) Motive power and equipment. Each applicant shall identify the 
qualification standards for employees who inspect, maintain, or repair 
railroad freight or passenger cars and locomotives, and the designated 
facilities used, or to be used, to repair such equipment.
    (e) Signal and train control. Each applicant shall identify the 
signal and train control systems governing railroad operations and 
maintenance, and any planned amendments or modifications to capital 
improvement and research and development projects for signal and train 
control operations.
    (f) Track Safety Standards and bridge structures. Each applicant 
shall identify

[[Page 680]]

the maintenance and inspection programs for track and bridges, and the 
qualification standards for roadway workers.
    (g) Hazardous Materials. Each applicant shall identify an inspection 
program covering the following areas:
    (1) Field inspection practices;
    (2) Hazardous materials communication standards;
    (3) Emergency response procedures; and
    (4) Information technology systems and personnel employed for 
transmitting or receiving information accompanying hazardous materials 
shipments. The inspection program should identify preventive measures 
that will be employed to respond to potential information technology 
integration and hazardous materials documentation deficiencies.
    (h) Dispatching operations. Each applicant shall identify:
    (1) The railroad dispatching system to be adopted;
    (2) The migration of the existing dispatching systems to the adopted 
system, if applicable; and
    (3) The criteria used to determine workload and duties performed by 
operators or dispatchers employed to execute operations.
    (i) Highway-rail grade crossing systems. Each applicant shall 
identify a program, including its development and implementation, 
covering the following:
    (1) Identification of the highway-rail grade crossings at which 
there will be an increase in rail traffic resulting from the 
transaction;
    (2) An applicant's existing grade-crossing programs as they apply to 
grade crossings identified in paragraph (i)(1) of this section;
    (3) Integration of the grade crossing programs of the railroads 
subject to the transaction to the extent the programs may be different;
    (4) Emergency response actions;
    (5) Avoidance of blocked or obstructed highway-rail crossing systems 
by trains, locomotives, railroad cars, or other pieces of rolling 
equipment; and
    (6) Signs employed for changes in rail traffic patterns.
    (j) Personnel staffing. Each applicant shall identify the number of 
employees by job category, currently and proposed, to perform the 
following types of functions when there is a projected change of 
operations that will impact workforce duties or responsibilities for 
employees of that job category:
    (1) Train and engine service;
    (2) Yard and terminal service;
    (3) Dispatching operations;
    (4) Roadway maintenance;
    (5) Freight car and locomotive maintenance;
    (6) Maintenance of signal and train control systems, devices, and 
appliances;
    (7) Hazardous materials operations; and
    (8) Managers responsible for oversight of safety programs.
    (k) Capital investment. Each applicant shall identify the capital 
investment program, clearly displaying planned investments in track and 
structures, signals and train control, and locomotives and equipment. 
The program shall describe any differences from the program currently in 
place on each of the railroads involved in the transaction.
    (l) Information systems compatibility. Each applicant shall identify 
measures providing for a seamless interchange of information relating to 
the following subject matters:
    (1) Train consists;
    (2) Movements and movement history of locomotives and railroad 
freight cars;
    (3) Dispatching operations;
    (4) Emergency termination of operations; and
    (5) Transportation of hazardous materials.

[67 FR 11604, Mar. 15, 2002, as amended at 67 FR 68045, Nov. 8, 2002]



Sec. 244.15  Subjects to be addressed in a Safety Integration Plan not involving an amalgamation of operations.

    If an applicant does not propose an amalgamation of operations 
conducted on properties subject to the transaction, the applicant shall 
not be required to file a Safety Integration Plan unless directed to do 
so by FRA.

[[Page 681]]



Sec. 244.17  Procedures.

    (a) Each applicant shall file one original of a proposed Safety 
Integration Plan with the Associate Administrator for Safety, FRA, 1120 
Vermont Avenue, NW., Mail Stop 25, Washington, DC, 20590, no later than 
60 days after the date it files its application with the Surface 
Transportation Board.
    (b) The applicant shall submit such additional information necessary 
to support its proposed Safety Integration Plan as FRA may require to 
satisfy the requirements of this part.
    (c) The applicant shall coordinate with FRA to resolve FRA's 
comments on the proposed Safety Integration Plan until such plan is 
approved.
    (d) FRA will file its findings and conclusions on the proposed 
Safety Integration Plan with the Board's Section of Environmental 
Analysis at a date sufficiently in advance of the Board's issuance of 
its draft environmental documentation in the case to permit 
incorporation in the draft environmental document.
    (e) Assuming FRA approves the proposed Safety Integration Plan and 
the Surface Transportation Board approves the transaction and adopts the 
Plan, each applicant involved in the transaction shall coordinate with 
FRA in implementing the approved Safety Integration Plan.
    (f) During implementation of an approved Safety Integration Plan, 
FRA expects that an applicant may change and refine its Safety 
Integration Plan in response to unforeseen developments. An applicant 
shall communicate with FRA about such developments and submit amendments 
to its Safety Integration Plan to FRA for approval.
    (g) During implementation of an approved Safety Integration Plan, 
FRA will inform the Surface Transportation Board about implementation of 
the plan at times and in a manner designed to aid the Board's exercise 
of its continuing jurisdiction over the approved transaction in 
accordance with an agreement that FRA and the Board will enter into and 
execute. Pursuant to such agreement, FRA will consult with the Board at 
all appropriate stages of implementation, and will advise the Board on 
the status of the implementation process:
    (1) For a period of no more than five years after the Board approves 
the transaction,
    (2) For an oversight period for the transaction established by the 
Board, or
    (3) Until FRA advises the Board in writing that the integration of 
operations subject to the transaction is complete, whichever is shorter.
    (h) Request for Confidential Treatment. Each applicant requesting 
that advanced drafts of the proposed Safety Integration Plan and 
information in support of the proposed and approved plan that are filed 
with FRA receive confidential treatment shall comply with the procedures 
enumerated at 49 CFR 209.11.



Sec. 244.19  Disposition.

    (a) Standard of review. FRA reviews an applicant's Safety 
Integration Plan, and any amendments thereto, to determine whether it 
provides a reasonable assurance of safety at every step of the 
transaction. In making this determination, FRA will consider whether the 
plan:
    (1) Is thorough, complete, and clear; and
    (2) Describes in adequate detail a logical and workable transition 
from conditions existing before the transaction to conditions intended 
to exist after consummation of the transaction.
    (b) Approval of the Safety Integration Plan and Amendments Thereto. 
FRA approves a Safety Integration Plan, and any amendments thereto, that 
meets the standard set forth in paragraph (a) of this section. The 
approval will be conditioned on an applicant's execution of all of the 
elements contained in the plan, including any amendments to the plan 
approved by FRA.
    (c) Amendment.--(1) By the applicant. The applicant may amend its 
Safety Integration Plan, from time to time, provided it explains the 
need for the proposed amendment in writing to FRA. Any amendment shall 
take effect no earlier than 30 days after its submission to FRA, unless 
it is either approved or disapproved by FRA within that period. Any 
disapproval of an amendment shall be in accordance with

[[Page 682]]

the requirements prescribed in paragraph (b) of this section.
    (2) By FRA. FRA may request an applicant to amend its approved 
Safety Integration Plan from time to time should circumstances warrant.

[67 FR 11604, Mar. 15, 2002, as amended at 67 FR 68045, Nov. 8, 2002]



Sec. 244.21  Compliance and Enforcement.

    (a) After the Surface Transportation Board has approved a 
transaction subject to this part, a railroad implementing a transaction 
subject to this part shall operate in accordance with the Safety 
Implementation Plan approved by FRA until the properties involved in the 
transaction are completely integrated into the form contemplated in the 
Surface Transportation Board's approval of the transaction.
    (b) FRA may exercise any or all of its enforcement remedies 
authorized by the Federal railroad safety laws if a railroad fails to 
comply with paragraph (a) of this section or to execute any measure 
contained in a Safety Implementation Plan approved by FRA.

     Appendix A to Part 244--Schedule of Civil Penalties [Reserved]



PART 245--RAILROAD USER FEES--Table of Contents




                           Subpart A--General

Sec.
245.1 Purpose and scope.
245.3 Application.
245.5 Definitions.
245.7 Penalties.

                 Subpart B--Reporting and Recordkeeping

245.101 Reporting requirements.
245.103 Recordkeeping.
245.105 Retention of records.

                     Subpart C--User Fee Calculation

245.201 User fee calculation.

            Subpart D--Collection Procedures and Duty to Pay

245.301 Collection procedures.
245.303 Duty to pay.

    Authority: 45 U.S.C. 431, 437, 438, 446; 49 CFR 1.49(m).

    Source: 57 FR 30602, July 9, 1992, unless otherwise noted.



                           Subpart A--General



Sec. 245.1  Purpose and scope.

    (a) The purpose of this part is to implement section 216 of the 
Federal Railroad Safety Act of 1970 (45 U.S.C. 446) (the ``Safety Act'') 
which requires the Secretary of Transportation to establish a schedule 
of fees to be assessed equitably to railroads to cover the costs 
incurred by the Federal Railroad Administration (``FRA'') in 
administering the Safety Act (not including activities described in 
section 202(a)(2) thereof).
    (b) Beginning in the fiscal year ending September 30, 1991, each 
railroad subject to this part shall pay an annual user fee to the FRA. 
For fiscal years 1992 through 1995, the user shall be calculated by FRA 
in accordance with Sec. 245.101. The Secretary's authority to collect 
user fees shall expire on September 30, 1995, as provided for in section 
216(f) of the Safety Act.



Sec. 245.3  Application.

    This part applies to all railroads except those railroads whose 
entire operations are confined within an industrial installation.



Sec. 245.5  Definitions.

    As used in this part--
    (a) Employee hours means the number of hours worked by all employees 
of the railroad during the previous calendar year.
    (b) FRA means the Federal Railroad Administration.
    (c) Industrial track means a switching track serving industries, 
such as mines, mills smelters, and factories.
    (d) Light density railroad means railroads with 1200 or less train-
miles per road mile.
    (e) Main track means a track, other than an auxiliary track, 
extending through yards or between stations, upon which trains are 
operated by timetable or train order or both, or the use of which is 
governed by a signal system.
    (f) Passenger service means both intercity rail passenger service 
and commuter rail passenger service.
    (g) Railroad means all forms of non-highway ground transportation 
that run on rails or electro-magnetic guideways, including (1) commuter 
or other

[[Page 683]]

short-haul rail passenger service in a metropolitan or suburban area, as 
well as any commuter rail service which was operated by the Consolidated 
Rail Corporation as of January 1, 1979, and (2) high speed ground 
transportation systems that connect metropolitan areas, without regard 
to whether they use new technologies not associated with traditional 
railroads. Such term does not include rapid transit operations within an 
urban area that are not connected to the general railroad system of 
transportation (See, 45 U.S.C. 431(e)).
    (h) Responsible entity means the railroad subject to this part as of 
December 31 of the applicable fiscal year (October 1 to September 30), 
i.e December 31, 1991, for fiscal year 1992, December 31, 1992, for 
fiscal year 1993, etc.
    (i) Road miles means the length in miles of the single or first main 
track, measured by the distance between terminals or stations, or both. 
Road miles does not include industrial and yard tracks, sidings, and all 
other tracks not regularly used by road trains operated in such specific 
service, and lines operated under a trackage rights agreement.
    (j) Safety Act means the Federal Railroad Safety Act of 1970 (45 
U.S.C. 421 et seq.)
    (k) Sliding Scale means the adjustment made to the mile of road of 
light density railroads. The sliding scale is as follows:

------------------------------------------------------------------------
                                                                Scaling
                  Train miles per road mile                      factor
------------------------------------------------------------------------
Up to 500....................................................         .0
501 to 750...................................................        .25
751 to 1000..................................................        .50
1001 to 1200.................................................        .75
1201 and above...............................................       1.00
------------------------------------------------------------------------

    The scaling factor is multiplied by the preliminary rate per road 
mile for each railroad for the year.
    (l) Trackage rights agreement means an agreement through which a 
railroad obtains access and provides service over tracks owned by 
another railroad where the owning railroad retains the responsibility 
for operating and maintaining the tracks.
    (m) Train means a unit of equipment, or a combination of units of 
equipment (including light locomotives) in condition for movement over 
tracks by self-contained motor equipment.
    (n) Train mile means the movement of a train a distance of one mile 
measured by the distance between terminals and/or stations and includes 
yard switching miles, train switching miles, and work train miles. Yard 
switching miles may be computed on any reasonable, supportable, and 
verifiable basis. In the event actual mileage is not computable by other 
means, yard switching miles may be computed at the rate of 6 mph for the 
time actually engaged in yard switching service.
    (o) Yard track means a system of tracks within defined limits used 
for the making up or breaking up of trains, for the storing of cars, and 
for other related purposes, over which movements not authorized by 
timetable, or by train order may be made subject to prescribed signals, 
rules or other special instructions. Sidings used exclusively as passing 
track and main line track within yard limits are not included in the 
term yard track.



Sec. 245.7  Penalties.

    Any person (including a railroad and any manager, supervisor, 
official, or other employee or agent of a railroad) who violates any 
requirement of this part or causes the violation of any such requirement 
is subject to a civil penalty of at least $250 and not more than $10,000 
per violation. Civil penalties may be assessed against individuals only 
for willful violations. Each day a violation continues shall constitute 
a separate offense. A person may also be subject to the criminal 
penalties provided for in 45 U.S.C. 438(e) for knowingly and willfully 
falsifying records or reports required by this part.



                 Subpart B--Reporting and Recordkeeping



Sec. 245.101  Reporting requirements.

    (a) Each railroad subject to this part shall submit to FRA, not 
later than March 1st of each year (August 1st, for the fiscal year 
ending September 30, 1992) a report identifying the railroad's total 
train miles for the prior calendar year, the total road miles owned, 
operated under lease, or controlled (but not

[[Page 684]]

including trackage rights) by the railroad as of December 31 of the 
previous calendar year, and the railroad's total number of employee 
hours for the prior calendar year. An entity shall be considered a 
railroad subject to this part if it conforms to the definitions found in 
Sec. 245.5(g) and (h) above. Each railroad shall report all of the data 
for the entire relevant calendar year whether or not its present 
operations generated all of the reportable data. This report shall be 
made on FRA Form 6180.91--Annual Report of Railroads Subject to User 
Fees and shall be filed by the Responsible Entity (see Sec. 245.5(h)). 
The report shall include an explanation for an entry of zero for train 
miles, road miles, or employee hours. Each railroad shall also identify 
all subsidiary railroads for which it is reporting and provide a 
breakdown of train miles, road miles, and employee hours for each 
subsidiary. Finally, each railroad shall enter its corporate billing 
address for the user fees, and the name, title, telephone number, date, 
and a signature of the person submitting the form to FRA.
    (b) FRA anticipates mailing blank copies of FRA Form 6180.91--Annual 
Report of Railroads Subject to User Fees to each railroad during the 
month of January (the month of July for the fiscal year ending September 
30, 1992) for the railroad's use in preparing the report. This action by 
FRA is for the convenience of the railroads only and in no way affects 
the obligation of railroads subject to this part to obtain and submit 
FRA Form 6180.91 to FRA in a timely fashion in the event a blank form is 
not received from FRA. Blank copies of FRA Form 6180.91 may be obtained 
from the Office of Safety, FRA, 400 Seventh Street, SW., Washington, DC 
20590.
    (c) Train miles, as defined in Sec. 245.5(n), shall be calculated by 
the railroad in accordance with the following considerations:
    (1) Each railroad subject to this part is to report the train miles 
for the freight and passenger service it operates without regard to 
track or facility ownership.
    (2) Train miles are to be reported by both freight and passenger 
railroads and shall include miles run between terminals or stations, or 
both, miles run by trains consisting of empty freight cars or without 
cars, locomotive train miles run, miles run by trains consisting of 
deadhead passenger equipment, motor train miles run, yard-switching 
miles run, work train miles, and train switching miles.
    (d) Road miles, as defined in Sec. 245.5(i), shall be calculated by 
the railroad in accordance with the following considerations:
    (1) Road miles to be reported shall include all track owned, 
operated under lease, or controlled by the railroad but shall not 
include track used under trackage rights agreements. (Note: road miles 
consisting of leased track are to be reported by the lessee railroad). 
Road miles consisting of jointly-owned track or track jointly operated 
under lease shall be reported by the railroad controlling operations 
over the track. Road miles for a given section of railroad should be 
reported by only one railroad.
    (2) Road miles to be reported shall not include industrial track, 
yard tracks, sidings, and other tracks not regularly used by road trains 
operated in such specific service. The determination that a particular 
track segment qualifies as industrial track or yard track must be made 
on a reasonable and supportable basis. Road miles do not include track 
which was out of service for the entire calendar year that is the 
subject of the user fee report.
    (e) Employee hours, as defined in Sec. 245.5(a), shall be calculated 
by the railroad in accordance with the following considerations: 
Employees hours to be reported include the number of hours worked by all 
railroad employees, regardless of occupation, during the previous 
calendar year. Include all employees in the occupational categories 
shown in appendix D of the FRA Guide for Preparing Accident/Incident 
Reports. Employee hours do not include time paid but not actually 
worked, such as holidays, vacations, etc. Employee hours do not include 
hours worked by volunteers. Employee hours do not include hours worked 
by individuals not employed directly by the reporting railroad (i.e. 
contractor employees).

[[Page 685]]

    (f) In computing both train miles and road miles, fractions 
representing less than one-half mile shall be disregarded and other 
fractions considered as one mile.
    (g) Each railroad subject to this part has a continuing obligation 
to assure that the information provided to FRA on Form 6180.91--Annual 
Report of Railroads Subject to User Fees is accurate. Should a railroad 
learn at a later date that the information provided was not correct, it 
shall submit a revised Form 6180.91 along with a letter explaining in 
detail the discrepancy.
    (h) Each railroad subject to this part has an obligation to assure 
that the information provided to FRA under this part is consistent with 
information provided to FRA under other reporting requirements, in 
particular reports submitted under 49 CFR part 225--Railroad Accidents/
Incidents: Reports Classification, and Investigations. The railroad 
shall fully explain and resolve any discrepancies.
    (i) The FRA has prepared a questionnaire entitled ``Written 
Questionnaire on Whether Your Company Is A `Railroad' Subject To FRA 
User Fee Regulations'' (FRA Form 6180.90) in order to assist in 
determining whether certain entities meet the definition of ``railroad'' 
included in Sec. 245.5 or constitute railroads whose entire operations 
are confined within an industrial installation (``plant railroads'') 
excluded from this part under Sec. 245.3. Copies of FRA Form 6180.90 are 
available from the Office of Safety, FRA, 400 Seventh Street, SW., 
Washington, DC 20590.



Sec. 245.103  Recordkeeping.

    Each railroad subject to this part shall maintain adequate records 
supporting its calculation of the railroad's total train miles for the 
prior calendar year, total road miles as of December 31 of the previous 
calendar year, and the total employee hours for the previous calendar 
year. Such records shall be sufficient to enable the FRA to verify the 
information provided by the railroad on FRA Form 6180.91--Annual Report 
of Railroads Subject to User Fees. Such records shall also be available 
for inspection and copying by the Administrator or the Administrator's 
designee during normal business hours.



Sec. 245.105  Retention of records.

    Each railroad subject to this part shall retain records required by 
Sec. 245.103 for at least three years after the end of the calendar year 
to which they relate.



                     Subpart C--User Fee Calculation



Sec. 245.201  User fee calculation.

    (a) The fee to be paid by each railroad shall be determined as 
follows:
    (1) After March 15th of each year (August 1st for the fiscal year 
ending September 30, 1992), FRA will tabulate the total train miles, 
total employee hours, and total road miles for railroads subject to this 
part for the preceding calendar year. FRA's calculations will be based 
on the information supplied by railroads under Sec. 245.101 hereof, and 
other reports and submissions which railroads are required to make to 
FRA under applicable regulations (i.e. 49 CFR parts 225 and 228). At the 
same time, FRA will calculate the total cost of administering the Safety 
Act for the current fiscal year (other than activities described in 
section 202(a)(2) thereof) which will represent the total amount of user 
fees to be collected.
    (2) Using tabulations of total train miles, total employee hours, 
total road miles, and the total cost of administering the Safety Act, 
FRA will calculate a railroad's user fee assessment as follows:
    (i) The assessment rate per train mile will be calculated by 
multiplying the total costs of administering the Safety Act by 0.55 and 
then dividing this amount (i.e., fifty-five percent of the total amount 
to be collected) by the total number of train miles reported to the FRA 
for the previous calendar year. The result will be the railroad user fee 
assessment rate per train mile for the current fiscal year.
    (ii) The assessment rate per employee hour will be calculated by 
multiplying the total costs of administering the Safety Act by 0.1 and 
then dividing this amount (i.e., 10 percent of the total amount to be 
collected) by

[[Page 686]]

the total number of employee hours reported to the FRA for the previous 
calendar year. The result will be the railroad user fee rate per 
employee hour for the fiscal year.
    (iii) The assessment rate per road mile will be calculated in three 
steps. First, FRA will determine a preliminary assessment rate per road 
mile by multiplying the total costs of administering the Safety Act by 
0.35 and dividing this amount (i.e., thirty-five percent of the total 
amount to be collected) by the total road miles reported to FRA for the 
previous calendar year. Second, FRA will adjust this preliminary rate 
per road mile for each light density railroad by multiplying the 
preliminary rate by the appropriate scaling factor identified in 
Sec. 245.5(h). The result will be a reduced assessment rate per road 
mile for light density railroads. Third, FRA will adjust the preliminary 
assessment rate per road mile for all railroads except light density 
railroads by adding to their preliminary rate an incremental amount 
reflecting the reallocation of the relief provided to light density 
railroads under step 2 using the sliding scale. The incremental amount 
is calculated by subtracting (A) the total amount to be collected from 
light density railroads after application of the sliding scale from (B) 
the total amount that would have been collected from light density 
railroads using the preliminary assessment rate and developed under step 
1 and (C) dividing the resulting amount by the total road miles reported 
to FRA by all railroads except light density railroads. The incremental 
amount is then added to the preliminary assessment rate for all 
railroads except light density railroads to derive the assessment rate 
per road mile for all railroads except light density railroads. The 
results will be a modified assessment rate per road mile for light 
density railroads qualifying under step 2 and a general assessment rate 
applicable to all other railroads. In those cases where the computed fee 
is less than the defined minimum, the net increase attributable to the 
application of the minimum standard is not included in the reallocation 
process under step 3 and is instead added to total collections.
    (b) The user fee to be paid by each covered railroad is the greater 
of $500.00 or the sum of the railroad's train miles times the assessment 
rate per train mile, the railroad's employee hours times the assessment 
rate per employee hour, and the railroad's road miles times the 
applicable assessment rate per road mile.



            Subpart D--Collection Procedures and Duty to Pay



Sec. 245.301  Collection procedures.

    (a) After March 15th of each year (August 15th for the fiscal year 
ending September 30, 1992), FRA will publish in the Federal Register a 
notice containing FRA's preliminary estimates of the total user fee to 
be collected, the assessment rate per train mile, the assessment rate 
per employee hour, and the assessment rate per road mile (as adjusted by 
the sliding scale). The information published by FRA will be sufficient 
to enable each railroad to calculate its estimated user fee bill for the 
fiscal year on the basis of the train mile, employee hour, and road mile 
information provided by the railroad to FRA.
    (b) After June 1st of each year, (August 15th for the fiscal year 
ending September 30, 1992), FRA will provide to each covered railroad a 
notice (the ``Assessment Notice'') containing FRA's final calculations 
of the total user fee to be collected, the assessment rate per train 
mile, the assessment rate per employee hour, the assessment rate per 
road mile (as adjusted by the sliding scale), the train miles, employee 
hours, and road miles for the railroad for the prior calendar year, the 
user fee to be paid by the railroad, and a statement and payment record 
form. FRA will mail the Assessment Notice sufficiently in advance of the 
end of the fiscal year in order to allow all collections to be completed 
prior to the end of the fiscal year. FRA will mail the Assessment Notice 
to the billing address designated by the railroad on FRA Form 6180.91--
Annual Report of Railroads Subject to User Fees.



Sec. 245.303  Duty to pay.

    (a) Beginning in the fiscal year ending September 30, 1991, each 
railroad

[[Page 687]]

subject to this part shall pay an annual railroad user fee to the FRA. 
Payment in full shall be received by FRA no later than thirty days after 
the Assessment Notice is mailed. Payment is made only when received by 
FRA. Payments in excess of ten thousand dollars ($10,000.00) shall be 
made by wire transfer through the Federal Reserve communications, 
commonly known as Fedwire, to the account of the U.S. Treasury in 
accordance with the instructions provided in the Assessment Notice. 
Payments of ten thousand dollars or less shall be by check or money 
order payable to the Federal Railroad Administration. The payment shall 
be identified as the railroad's user fee by noting it with the User Fee 
Bill Number as assigned by FRA and by returning the payment record 
received with the Assessment Notice. Payment shall be sent to the 
address stated in the assessment notice. Any railroad making an 
aggregate payment for one r more subsidiaries or affiliates should 
return the payment records for each and list all applicable Bill Numbers 
with the payment.
    (b) The responsibility for paying the user fee rests with the 
responsible entity (see Sec. 245.5(h)). Parties involved in purchase and 
sale transactions of railroad(s) or portions of a railroad shall be 
responsible for allocating the user fee amongst the interested entities 
in an appropriate fashion. FRA will not prorate user fee bills.
    (c) No user fee will be collected from railroads that properly 
report zero train miles and zero road miles on FRA Form 6180.91--Annual 
Report of Railroads Subject to User Fees.
    (d) Payments not received by the due date will be subject to 
allowable interest charges, penalties, and administrative charges (31 
U.S.C. 3717). Follow-up demands for payment and other actions intended 
to assure timely collection, including referral to local collection 
agencies or court action, will be conducted in accordance with Federal 
Claims Collection Standards (4 CFR chapter II) and Departmental 
procedures (49 CFR 89).



PART 250--GUARANTEE OF CERTIFICATES OF TRUSTEES OF RAILROADS IN REORGANIZATION--Table of Contents




Sec.
250.1 Form and content of application.
250.2 Required exhibits.
250.3 Fees.
250.4 Execution and filing of application.
250.5 General instructions.

    Authority: Sec. 3(f) of the Emergency Rail Services Act of 1970, 
Pub. L. 91-663; sec. 1.49(m), regulations of the Office of the Secretary 
of Transportation, 49 CFR 1.49(m).

    Source: 36 FR 770, Jan. 16, 1971, unless otherwise noted.



Sec. 250.1  Form and content of application.

    The application shall include, in the order indicated and by section 
numbers and letters corresponding to those used in this part, the 
following:
    (a) As to the Trustee:
    (1) Full and correct name and principal business address.
    (2) The name and address of the reorganization court under the 
direction of which the Trustee is acting and the docket number of the 
proceeding.
    (3) Name, title, and address of the person to whom correspondence 
regarding the application should be addressed.
    (4) Brief description of the loan and its purpose or purposes, 
including statements of
    (i) The total amount of the loan and the amount of the guarantee 
being sought,
    (ii) The purpose or purposes for which the loan proceeds will be 
used,
    (iii) The maturity date or dates,
    (iv) The date or dates on which the Trustee desires the funds to be 
made available, and
    (v) The rate of interest.
    (5) Statement, in summary form, showing financial obligations to or 
claims against the United States or obligations for which the United 
States is guarantor, if any, by applicant or any applicant's parent as 
to the date of the application, including:
    (i) Status of any claims under litigation; and
    (ii) Any other debts or credits existing between the applicant and 
the

[[Page 688]]

United States, showing the department or agency involved in such loans, 
claims and other debts;
    (6)(i) Statement on behalf of the Trustee that the Trustee has 
endeavored to obtain a loan or loans for the purpose or purposes 
proposed without a guarantee by the Secretary, but has not been able to 
obtain a loan therefor upon reasonable terms, or if only upon terms 
considered unreasonable, a statement setting forth such terms and 
describing any facts relevant thereto.
    (ii) Information as to the Trustee's efforts to obtain the needed 
financing without a guarantee thereof by the Secretary, and as to the 
results of such efforts. (See Sec. 250.2(b)(1) as to exhibits on this 
subject.)
    (7) Full and complete statement, together with independent 
supporting evidence, where feasible, concerning the effect that 
cessation of essential transportation services of carrier would have on 
the public welfare.
    (8) Full and complete statement, together with supporting evidence, 
where possible, demonstrating that cessation of essential transportation 
services by applicant carrier is imminent.
    (9) Full and complete statement, together with supporting evidence, 
if possible, that there is no other practicable means of obtaining funds 
to meet payroll and other expenses necessary to provide essential 
transportation services other than the issuance of Trustee certificates. 
Such statements shall include in detail a complete listing of all 
nontransportation assets of the carrier and corporate affiliates, or 
subsidiaries having a fair market value of not less than $50,000, 
together with the amount of encumbrances thereon, if any, and a 
statement or plan for the disposition or sale of such assets as a means 
of obtaining funds necessary for essential transportation services.
    (10) Full and complete statement, together with supporting evidence, 
if possible, demonstrating, with particularity, that the carrier can 
reasonably be expected to become self sustaining within a reasonable 
period of time.
    (11) Full and complete statement, together with supporting evidence, 
that the probable value of the assets of the carrier in the event of 
liquidation provides reasonable protection to the United States.
    (b) As to the holder or holders:
    (1) Full and correct name and principal business address.
    (2) Names and addresses of principal executive officers and 
directors, or partners.
    (3) Reference to applicable provisions of law and the charter or 
other governing instruments conferring authority to the lender to make 
the loan and to accept the proposed obligation.
    (4) Brief statement of the circumstances and negotiations leading to 
the agreement by the lender to make the proposed loan, including the 
name and address of any person or persons, or employees of the carrier, 
representing or purporting to represent the Trustee in connection with 
such negotiations.
    (5) Brief statement of the nature and extent of any affiliation or 
business relationship between the lender and any of its directors, 
partners, or principal executive officers, on the one hand, and, on the 
other, the carrier and any of its directors, partners, or principal 
executive officers, or any person or persons whose names are required to 
be furnished under paragraph (b)(4) of this section.
    (6) Full and complete statement of all sums paid or to be paid and 
of any other consideration given or to be given by lender in connection 
with the proposed loan, including with respect thereto:
    (i) Name and address of each person to whom the payment is made or 
to be made,
    (ii) The amount of the cash payment, or the nature and value of 
other consideration,
    (iii) The exact nature of the services rendered or to be rendered,
    (iv) Any condition upon the obligation of the lender to make such 
payment, and
    (v) The nature of any affiliation, association, or prior business 
relationship between any person named in answer to paragraph (6)(i) of 
this section and the lender or any of its directors, partners, or 
officers.
    (c) As to the impact of the financing on the environment. (1) 
Summary statement of the use to which funds will be

[[Page 689]]

put and any anticipated impact on the environment. After reviewing this 
submission, the Administrator retains the right to require the Trustee 
to submit a detailed assessment of the financing's impact on the 
environment in a general format to be supplied by the Administrator.
    (2) [Reserved]

[44 FR 23851, Apr. 23, 1979]



Sec. 250.2  Required exhibits.

    There shall be filed with and made a part of each application and 
copy thereof the following exhibits, except that exhibits filed with the 
Administrator pursuant to some other statutory provision or regulation 
which are in the same format as the following exhibits may be 
incorporated in and made part of the application filed under this part 
by reference. While the application is pending, when actual data become 
available in place of the estimated or forecasted data required in the 
exhibits under this part, such actual data must be reported promptly to 
the Administrator in the form required in the appropriate exhibit.
    (a) The following exhibits are required concerning the Trustee and 
the carrier:
    (1) As Exhibit 1, copy of duly certified order of the court, or 
instrument of appointment, appointing trustees of the carrier.
    (2) As Exhibit 2, a certified copy of the order(s) of the 
reorganization court having jurisdiction of applicant authorizing (i) 
the filing of the application with the Administrator for a guarantee of 
the Trustee's certificate; (ii) filing of the application with the 
Interstate Commerce Commission for authority to issue a Trustee's 
certificate; (iii) such pledge of security for the loan and the 
guarantee as the applicant proposes in connection with Exhibit 3; and 
(iv) compliance by the Trustee with conditions to the guarantee imposed 
by law and the Administrator.
    (3) As Exhibit 3, full and complete statement, together with 
supporting evidence, that the probable value of the assets of the 
railroad in the event of liquidation provides reasonable protection to 
the United States.
    (4) As Exhibit 4, a map of the carrier's existing railroad.
    (5) As Exhibit 5, statement showing miles of line owned; miles 
operated; number of units of locomotives, freight cars, and passenger 
cars owned and leased; principal commodities carried; and identification 
of the ten most important industries served.
    (6) As Exhibit 6, statement as to whether any railroad affiliated 
with the carrier has applied for or received any Federal assistance 
since 1970.
    (7) As Exhibit 7, statement showing total dividends, if any, 
declared and total dividends paid for each of the last 5 calendar years 
and for each month of the current year to latest available date.
    (8) As Exhibit 8, a copy of applicant's most recent year-end general 
balance sheet certified by applicant's independent public accountants, 
if available, and a copy of applicant's most recent unaudited general 
balance sheet as of a date no less recent than the end of the third 
month preceding the date of the filing of the application. The unaudited 
balance sheet shall be presented in account form and detail as required 
in Schedule 200 of the Commission's annual report R-1 or R-2, as 
appropriate, together with the following schedules (where changes in 
accounts from the end of the prior year to date of the application have 
not been significant, copies of the appropriate schedules in the prior 
year's R-1 or R-2 with marginal notations listing the changes may be 
substituted):
    (i) Particulars of Account 704, Loans and Notes Receivable, in form 
and detail as required in Schedule 201 of annual report R-1 for the 
Class I railroads, and in similar form for the Class II railroads except 
that for Class II railroads, loans and notes receivable that are each 
less than $25,000 may be combined into a single amount;
    (ii) Particulars of investment in affiliated companies and other 
investment in form and detail required in Schedules 205 and 206 of 
annual report R-1, or Schedules 1001 and 1002 of annual report R-2, as 
appropriate;
    (iii) Particulars of balances in Accounts 741, Other Assets, and 
743, Other Deferred Changes, in form and detail required in Schedule 216 
of annual report R-1 or Schedule 1703 of annual report R-2, as 
appropriate;

[[Page 690]]

    (iv) Particulars of loans and notes payable in form and detail 
required in Schedule 223 of annual report R-1, or Schedule 1701 of 
annual report R-2, as appropriate, as well as information as to bank 
loans, including the name of the bank, date and amount of the original 
loan, current balance, maturities, rate of interest, and security, if 
any;
    (v) Particulars of long-term debt in form and detail required in 
Schedules 218 and 219 of annual report R-1 or Schedules 670, 695, 901, 
902 and 1702 of annual report R-2, as appropriate, together with a brief 
statement concerning each mortgage, pledge, and other lien, indicating 
the property or securities encumbered, the mortgage limit per mile, if 
any, and particulars as to priority;
    (vi) Particulars of balance in Account 784. Other Deferred Credits, 
in form and detail required in Schedule 225 of annual report R-1 or 
Schedule 1704 of annual report R-2, as appropriate; and
    (vii) Particulars as to capital stock in form and detail required in 
Schedules 228, 229, and 230 of annual report R-1 or Schedule 690 in 
annual report R-2, as appropriate.
    (9) As Exhibit 9, a copy of carrier applicant's report to its 
stockholders or report of the trustee for each of the 3 years preceding 
the year in which the application is filed.
    (10) As Exhibit 10, applicant's most recent annual income statement 
certified by applicant's independent public accounts if available, and a 
spread sheet showing unaudited monthly and year-to-date income statement 
data for the calendar year in which the application is filed in account 
form similar to that required in column (a) of Schedule 300 of annual 
report R-1 or R-2 as appropriate. For those months preceding and ending 
upon the date of the unaudited balance sheet presented in Exhibit 8, the 
income statement shall be reported on an actual basis and so noted. For 
those months between the dates of the unaudited balance sheet and the 
filing of the application, the income statement data shall be reported 
on an estimated basis and so noted and shall be submitted in conjunction 
with corresponding estimated month-end balance sheets. For those months 
between the date of the application and the end of the year income 
statement data shall be presented on a forecasted basis and so noted and 
shall be submitted in conjunction with a forecasted balance sheet as at 
the year end.
    (11) As Exhibit 11, spread sheets showing for each of the four years 
subsequent to the year in which the application is filed, both before 
and after giving effect to the proceeds of the assistance required in 
the application:
    (i) Forecasted annual income statement data in account form and 
detail similar to that required in column (a) of Schedule 300 of annual 
report R-1 or R-2 as appropriate, including the subaccounts comprising 
line 2 (railway operating expenses), as specified by lines 64, 92, 105, 
159, 166, and 180 of Schedule 320; and
    (ii) Forecasted year-end balance sheets in account form and detail 
similar to that required in Schedule 200 of annual report R-1 or R-2, as 
appropriate. These spread sheets shall be accompanied by a statement 
setting forth the bases for such forecasts.
    (12) As Exhibit 12, a spread sheet showing changes in financial 
position for the year in which the application is filed in account form 
and detail as required in Schedule 309 of annual report R-1 and R-2 as 
appropriate as follows:
    (i) For that period ending on the date of the unaudited balance 
sheet in Exhibit C, based upon actual data; and
    (ii) For that period from the balance sheet date to the end of the 
year, based upon estimated and forecasted data.
    (13) As Exhibit 13, a spread sheet showing forecasted changes in 
financial position for each of the four calendar years subsequent to the 
year in which the application is filed, both before and after giving 
effect to any funds requested in the application and including a 
statement showing the bases for such estimates, in account form and 
detail as required in Schedule 309 of the annual Report R-1 for Class I 
railroads in similar form and detail for Class II railroads.
    (14) As Exhibit 14, a statement showing actual cash balance at the 
beginning of each month and the actual cash receipts and disbursements 
during each month of the current year to the date of the latest balance 
sheet furnished as

[[Page 691]]

Exhibit 8, together with a monthly forecast (both before and after 
giving effect to use of proceeds from the proposed loan) for the balance 
of the current year and the year subsequent thereto.
    (15) As Exhibit 15, a general statement setting forth the facts as 
to estimated prospective earnings and other funds upon which applicant 
relies to repay the loan.
    (b) The following exhibits are required as to the transaction.
    (1) As Exhibit 16, copies of correspondence from all, and not less 
than three, lending institutions or security underwriters to which 
application for the financing has been made, evidencing that they have 
declined the financing unless guaranteed by the Secretary or specifying 
the terms upon which they will undertake the financing without such 
guarantee.
    (2) As Exhibit 17, specimens, or forms where specimens are not 
available, of all securities to be pledged or otherwise issued in 
connection with the proposed loan; and in case of mortgage, a copy of 
the mortgage or indenture.
    (3) As Exhibit 18, copies of the loan agreement entered into, or to 
be entered into, between the Trustee and lender, and of any agreements 
or instruments executed or be executed in connection with the proposed 
loan.

[44 FR 23852, Apr. 23, 1979]



Sec. 250.3  Fees.

    On date of final payment of the loan guaranteed by the Secretary 
pursuant to application filed under this part, the applicant carrier or 
the trustee, if still in existence, shall pay, or cause to be paid, to 
the Administrator as a guarantee fee such amount as the Administrator 
hereafter may determine and prescribe as necessary to cover the 
administrative costs of carrying out the provisions of the Emergency 
Rail Services Act of 1970.



Sec. 250.4  Execution and filing of application.

    The following procedure shall govern the execution and filing of the 
application:
    (a) The original application shall bear the date of execution and be 
signed with ink by or on behalf of the trustee and the lender. Execution 
on behalf of the trustee shall be by the trustee or trustees having 
knowledge of the matters therein set forth. Persons signing the 
application on behalf of the trustee and lender, respectively, shall 
also sign a certificate in form as follows:

    (Name of official) ------------------------ certifies that he is the 
------------------------ (title of official) of the --------------------
---- (name of carrier or lender); that he is authorized on the part of 
said applicant to sign and file with the Administrator this application 
and exhibits attached thereto; that he has carefully examined all of the 
statements contained in such application and the exhibits attached 
thereto and made a part thereof relating to the aforesaid --------------
-- (name of carrier or lender); that he has knowledge of the matters set 
forth therein and that all such statements made and matters set forth 
therein are true and correct to the best of his knowledge, information, 
and belief.
                                                                  (Date)

    (b) There shall be made a part of the original application the 
following certificate by the Chief Accounting Officer of the carrier:

    (Name of officer) ------------------------, certifies that he is --
---------------------- (title of officer) of --------------------------
------ (name of carrier applicant); that he has supervision over the 
books of account and other financial records of the carrier and has 
control over the manner in which they are kept; that such accounts are 
maintained in good faith in accordance with the effective accounting and 
other orders of the Interstate Commerce Commission; that he has examined 
the financial statements and supporting schedules included in this 
application and to the best of his knowledge and belief said statements 
accurately reflect the accounts as stated in the books of account; and 
that, other than the matters set forth in the exceptions attached to 
such statements, said financial statements and supporting schedules 
represent a true and complete statement of the financial position of the 
carrier applicant and that there are no undisclosed assets, liabilities, 
commitments to purchase property or securities, other commitments, 
litigation in the courts, contingent rental agreements, or other 
contingent transactions which might materially affect the financial 
position of the carrier applicant.
                                                                  (Date)

    (c) The original application and supporting papers, and six copies 
thereof for the use of the Administrator shall

[[Page 692]]

be filed with the Administrator, Federal Railroad Administration, 
Department of Transportation, Washington, DC. Simultaneously, one copy 
of the application and supporting papers shall be filed with the 
Secretary of the Interstate Commerce Commission, Washington, DC. Each 
copy shall bear the dates and signatures that appear in the original and 
shall be complete in itself, but the signatures in the copies may be 
stamped or typed. If unusual difficulties arise in the furnishing of any 
of the exhibits required in Sec. 250.2, the carrier applicant or the 
lender, upon appropriate showing and with the consent of the 
Administrator, may file a lesser number.
    (d) In the event the furnishing of exhibits in the detail required 
by Sec. 250.2 is shown by the applicant or applicants to be unduly 
burdensome in relation to the nature and amount of the loan, the 
Administrator may modify the requirements of said section. In addition, 
the Administrator may waive or modify any requirement of this part upon 
good cause shown, or make any additional requirements he deems 
necessary.



Sec. 250.5  General instructions.

    (a) If the application is approved by the Administrator and the 
Secretary of Transportation and the latter agrees to make the guarantee, 
the following documents will be required for deposit with the 
Administrator before the transaction is closed:
    (1) Final opinion by counsel for the Trustee to the effect that he 
is familiar with the corporate powers of the carrier applicant and the 
orders of the reorganization court; that the Trustees of the carrier 
applicant are authorized to execute and deliver the certificate or other 
obligations evidencing the same, and to pledge and hypothecate any 
securities pledged as collateral; that the certificate or other 
obligations so executed and so delivered constitute the valid and 
binding obligations of the Trustees of the carrier that the certificate 
or other obligations of the Trustee will be treated as an expense of 
administration and receive the highest lien on the railroads property 
and priority in payment under the Bankruptcy Act, and that the lender 
and the Secretary will obtain a lien on any security involved of the 
rank and priority represented by the Trustee. Such opinion shall also 
cover the priority and lien of each item of the collateral offered.
    (2) Certified copies of the reorganization court orders and decrees 
authorizing the Trustee to execute and deliver the certificates or other 
obligations and to give the security under and according to the terms of 
the loan and guarantee as prescribed by the Administrator. Such order or 
orders of the reorganization court shall specify that trustee 
certificates, guaranteed by the Secretary as to payment of principal and 
interest, shall be treated as an expense of administration and receive 
the highest lien on the railroad's property and priority in payment 
under the Bankruptcy Act.
    (3) Unexecuted copies of the foregoing documents will be delivered 
to the Administrator 3 business days prior to closing.
    (b) The guarantee by the Secretary of a loan pursuant to an 
application filed as provided in this part should not be construed as 
relieving a carrier from complying with applicable provisions of section 
20a of the Interstate Commerce Act (49 U.S.C. 20a) in relation to the 
issuance of Trustee certificates.



PART 256--FINANCIAL ASSISTANCE FOR RAILROAD PASSENGER TERMINALS--Table of Contents




  Regulations Governing Applications for and Disbursement of Financial 
                               Assistance

Sec.
256.1 Purpose.
256.3 Definitions.
256.5 Eligibility.
256.7 Financial assistance.
256.9 [Reserved]
256.11 Applications.
256.13 Review and approval of applications.
256.15 Disbursement of financial assistance.

Appendix A to Part 256--Certificate

    Authority: Sec. 4(i) of the Department of Transportation Act, 49 
U.S.C. 1653(i), as amended by (1) sec. 15 of the Amtrak Improvement Act 
of 1974, Pub. L. 93-496, 88 Stat. 1528; (2) sec. 13 of the Amtrak 
Improvement Act of 1975, Pub. L. 94-25, 89 Stat. 93; (3) sec. 706 of the 
Railroad Revitalization and Regulatory Reform Act of 1976, Pub. L. 94-
210, 90 Stat. 125; and (4) sec. 219(a) of the Rail Transportation 
Improvement Act, Pub. L.

[[Page 693]]

94-555, 90 Stat. 2629; and regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(r).

  Regulations Governing Applications for and Disbursement of Financial 
                               Assistance



Sec. 256.1  Purpose.

    The purpose of this part is to establish procedures for implementing 
subsection 4(i) of the Department of Transportation Act as amended (49 
U.S.C. 1653(i)) with respect to all financial assistance provided under 
that subsection.

[40 FR 29080, July 10, 1975]



Sec. 256.3  Definitions.

    As used in this part--
    (a) Act means the Department of Transportation Act, as amended.
    (b) Administrator means the Federal Railroad Administrator, or his 
delegate.
    (c) Allowable project costs means those project costs for which 
Federal financial assistance may be expended under Sec. 256.7.
    (d) Applicant means a governmental entity, a non-profit public-
purpose organization, or any responsible person having the legal, 
financial, and technical capacity to implement an intermodal passenger 
terminal project under this part. The applicant must have legal 
authority to receive and expend Federal funds.
    (e) Chairman means the Chairman of the National Endowment for the 
Arts.
    (f) Civic and cultural activities includes, but is not limited to, 
museums, libraries, musical and dramatic presentations, art exhibitions, 
adult education programs, public meetings of community groups, 
convention visitors and others, and other public activities supported in 
whole or in part under Federal law.
    (g) Council means the Advisory Council on Historic Preservation.
    (h) Demonstration funds means funds authorized for the purpose set 
forth in paragraph (1)(A) of subsection 4(i) of the Act.
    (i) Intermodal passenger terminal means an existing railroad 
passenger terminal which has been or may be modified as necessary to 
accommodate several modes of transportation, including intercity rail 
service and some or all of the following: Intercity bus, commuter rail, 
intra-city rail transit and bus transportation, airport limousine 
service and airline ticket offices, rent-a-car facilities, taxis, 
private parking, and other transportation services.
    (j) National Register means the National Register of Historic Places 
maintained by the Secretary of the Interior.
    (k) Planning funds means funds authorized for the purpose set forth 
in paragraph (1)(D) of subsection 4(i) of the Act.
    (l) Preservation funds means funds authorized for the purpose set 
forth in paragraph (1)(B) of subsection 4(i) of the Act.
    (m) Project means a locally sponsored, coordinated, and administered 
program, or any part thereof, to plan, finance, construct, maintain, or 
improve an intermodal passenger terminal, which may incorporate civic or 
cultural activities where feasible in an architecturally or historically 
distinctive railroad passenger terminal.
    (n) 4R Act means the Railroad Revitalization and Regulatory Reform 
Act of 1976, as amended, Public Law 94-210, 90 Stat. 125, 49 U.S.C. 
1653.
    (o) Sufficient commitments means commitments of a binding nature 
adequate to ensure the successful operation of a project. Such 
commitments may be conditional, requiring, for example, the 
participation of other entities in the project, or action by a date 
certain.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]



Sec. 256.5  Eligibility.

    (a) General. A project is eligible for financial assistance under 
subsection 4(i) of the Act if:
    (1) The applicant provides satisfactory assurance that such fiscal 
control and fund accounting procedures will be adopted as may be 
necessary to assure proper disbursement of and accounting for Federal 
financial assistance granted to the applicant under the Act;
    (2) The applicant complies with the regulations of the Administrator 
prescribed in this part, and with such

[[Page 694]]

other terms and conditions as may be included in the grant of 
assistance; and
    (3) The Council is given a reasonable opportunity to review and 
comment upon the project as it affects property listed or eligible for 
listing on the National Register.
    (b) Demonstration funds. A project is eligible for financial 
assistance in accordance with subsection 4(i) of the Act if the 
Administrator determines that:
    (1) The railroad passenger terminal can be converted to an 
intermodal passenger terminal;
    (2) There exist sufficient commitments by Amtrak or other rail 
passenger carriers, and by intercity bus carriers, the local public 
transportation authority, or other public or private transportation 
operators, to provide co-ordinated service for convenient intermodal 
interchange to meet the goals enumerated in paragraph (b) of 
Sec. 256.13;
    (3) The railroad passenger terminal is listed on the National 
Register;
    (4) The architectural integrity of the railroad passenger terminal 
will be preserved, and this determination is concurred in by the 
consultants recommended by the Chairman and Council and retained by the 
Administrator for this purpose;
    (5) To the extent practicable, the use of station facilities for 
transportation purposes may be combined with use for other civic and 
cultural activities, especially when such use is recommended by the 
Council or the Chairman, or the consultants retained by the 
Administrator upon their recommendation;
    (6) The applicant has provided the information and documentation 
required under Sec. 256.11(c).
    (7) The railroad passenger terminal and the conversion project meet 
such other criteria as the Administrator may develop and promulgate in 
consultation with the Chairman and the Council.
    (c) Preservation funds. A project is eligible for financial 
assistance in accordance with subsection 4(i) of the Act if the 
Administrator determines that:
    (1) The applicant is empowered by applicable law, and is qualified, 
prepared, and committed, on an interim basis pending the formulation of 
plans for reuse, to maintain and prevent the demolition, dismantling, or 
further deterioration of, a railroad passenger terminal;
    (2) The railroad passenger terminal is threatened with demolition, 
dismantling, or further deterioration;
    (3) There is a reasonable likelihood that the railroad passenger 
terminal will be converted to or conditioned for reuse as an intermodal 
passenger terminal. The primary use of the terminal shall be for 
intermodal purposes, but facilities for the provision of civic and 
cultural activities may be incorporated to the extent feasible. Such 
dual use of the terminal is particularly encouraged when it is 
recommended by the Council or the Chairman.
    (4) Planning activity aimed at conversion or reuse has commenced and 
is proceeding in a competent manner;
    (5) The expenditure of funds on such project would be in the manner 
most likely to maximize the preservation of railroad passenger terminals 
which are:
    (i) Reasonably capable of conversion to intermodal passenger 
terminals;
    (ii) Listed in the National Register; or
    (iii) Recommended on the basis of architectural integrity and 
quality by the Chairman or the Council; and
    (6) The applicant has provided the information and documentation 
required by Sec. 256.11(d).
    (d) Planning funds. A project is eligible for financial assistance 
in accordance with subsection 4(i)(5) of the Act if the Administrator 
determines that:
    (1) The applicant is prepared to develop practicable plans meeting 
the zoning, land use, and other requirements of the applicable State and 
local jurisdictions in which the rail passenger terminal is located;
    (2) The applicant incorporates into its plans for the conversion of 
an historic terminal into an intermodal passenger terminal, features 
which appear reasonably likely to attract private investors willing to 
finance the planned conversion and/or its subsequent maintenance and 
operation. The primary use of the terminal shall be for intermodal 
purposes, but facilities for the provision of civic or cultural 
activities may be incorporated to the extent feasible.

[[Page 695]]

    (3) The applicant will be able to complete the designs and plans for 
such conversion within two years following the approval of the 
application for Federal financial assistance;
    (4) The expenditure of funds on such project would be in the manner 
most likely to maximize the preservation of railroad passenger terminals 
which are listed in the National Register or recommended on the basis of 
architectural integrity and quality by the Chairman or the Council; and
    (5) The applicant has provided the information and documentation 
required under Sec. 256.11(e).

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]



Sec. 256.7  Financial assistance.

    (a) Demonstration funds. Federal financial assistance for the 
conversion of a railroad passenger terminal into an intermodal passenger 
terminal, under subsection 4(i)(2) of the Act, may be expended for the 
following project costs incurred after the date of final project 
approval:
    (1) Acquisition or long-term lease of real property or other 
property interests, including air rights, subterranean rights, or 
easements, where necessary for project implementation;
    (2) Final architectural and engineering construction documentation, 
including all necessary plans, specifications, detailed cost estimates, 
and implementation schedules; and
    (3) Construction, which may include, but is not limited to:
    (i) Complete rehabilitation and refurbishment of the interior and 
exterior of the structure;
    (ii) Provision of necessary public service facilities;
    (iii) Structural modifications and minor additions necessary to 
permit the development of (A) improved rail passenger facilities, (B) 
intercity bus terminal and docking facilities, (C) adequate facilities 
for local mass transit, and (D) parking and access for automobiles and 
bicycles; and
    (iv) Provisions for accommodating major tenants and concessionaires 
such as airline ticket offices, rent-a-car offices, and other 
transportation service facilities.
    (b) Preservation funds. Federal financial assistance under 
subsection 4(i)(3) of the Act, for the preservation of a railroad 
passenger terminal which has a reasonable likelihood of being converted 
or otherwise maintained, may be expended for costs incurred after the 
date of project approval which are necessary to maintain (and prevent 
the demolition, dismantling, or further deterioration of) a railroad 
passenger terminal pending the completion of project planning, for a 
period not to exceed five years.
    (c) Planning funds. Federal financial assistance granted under 
subsection 4(i)(5) of the Act for the development of plans for the 
conversion of a railroad passenger terminal into an intermodal passenger 
terminal, which may incorporate civic and cultural activities where 
feasible, may be expended for the following project costs if incurred 
within two years after project approval:
    (1) Cost of a study or studies to:
    (i) Assess the need for and the feasibility of converting an 
existing railroad passenger terminal into an intermodal passenger 
terminal which may incorporate civic and cultural activities where 
feasible;
    (ii) Develop a fiscal plan and agreements for the plan's 
implementation; and
    (iii)(A) Relate the project to other transportation priorities in 
the area; and
    (B) Evaluate alternate means of providing needed intermodal 
passenger services within the community.
    (2) Costs of preparation of preliminary architectural and 
engineering design documents for the project, including:
    (i) Plans, sections, and sketches illustrating the functional as 
well as preservation aspects of the recommended development;
    (ii) Assessment of the condition of existing structural and 
utilities systems and requirements for their improvement;
    (iii) Outline specifications and preliminary estimates of project 
costs; and
    (iv) Required environmental impact reviews and analyses.

[[Page 696]]

    (d) Federal share. The Federal share of any project under this part 
shall not exceed 80 percent of the total allowable project costs. The 
non-Federal share may not be augmented by any Federal funds, directly or 
indirectly, unless the funds are provided through a Federal program 
which specifically authorizes the augmentation of a non-Federal share of 
a federally-assisted program with such funds.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]



Sec. 256.9  [Reserved]



Sec. 256.11  Applications.

    (a) Incorporation by reference in application of previously 
submitted information or material. Any information or material of any 
kind which has been submitted by an applicant need not be resubmitted if 
the prior submission is identified and incorporated by reference in the 
application. Where the prior submission is in need of any changes of any 
kind, the changes may be submitted provided the prior submission is 
identified and incorporated by reference with the changes. Any 
assurance, certification, or affirmation previously made by the 
applicant, in connection with a prior submission, must be reaffirmed by 
the applicant when any identification and incorporation by reference of 
previously submitted materials is made.
    (b) Pre-applications for demonstration funds. In accordance with 
appendix M of Office of Management and Budget Circular A-102, applicants 
shall use the pre-application form directed for use for construction, 
land acquisition, and land development projects when applying for 
demonstration funds under this program. Applicants shall include under 
Part IV (Program Narrative) of the pre-application form:
    (1) A statement of whether the railroad passenger terminal is listed 
in the National Register;
    (2) A statement as to the interest and anticipated cooperation of 
the terminal owner and the relevant transportation companies;
    (3) Where the applicant contemplates using funds it has received or 
will receive from other Federal programs for the planning or 
preservation stage of the projects, a brief description of the sources, 
and total anticipated amount of such funds; and
    (4) A breakdown of the total allowable project costs.
    (c) Applications for demonstration funds. Upon notification of the 
approval of the pre-application, applicants shall submit a final 
application for demonstration funds using the Federal Assistance 
Application for Construction Programs in accordance with appendix M of 
Office of Management and Budget Circular A-102. Applicants shall include 
under Part IV (Program Narrative) of the form:
    (1) A list of all organizations which will participate in the 
planning, implementation, or operation of each project, along with a 
discussion of the role of each organization;
    (2) A full discussion of the desirability and feasibility of the 
project and a summary of the benefits to be derived;
    (3) A summary of each proposed use of the intermodal passenger 
terminal for a civic or cultural activity;
    (4) A description and documentation of existing or potential markets 
for interline intermodal service making use of the project facility, and 
of any changes in existing services which must be provided to achieve 
this potential;
    (5) The proposed period during which the project will be evaluated 
to determine whether it has achieved the goals set forth in 
Sec. 256.13(b);
    (6) A detailed description of the rail passenger terminal (including 
where applicable the description on file with the National Register), 
the available transportation facilities, and the proposed intermodal 
passenger transportation improvements;
    (7) Evidence that the architectural integrity of the railroad 
passenger terminal will be preserved;
    (8) A detailed estimate of the total allowable project costs, 
listing and identifying each cost to the maximum possible extent;
    (9) Evidence of the applicant's ability and intent to furnish its 
share of the total allowable costs;

[[Page 697]]

    (10) Evidence that the applicant has established, in accordance with 
Attachment G of Office of Management and Budget Circular A-102, adequate 
procedures for financial control, accounting, and performance 
evaluation, in order to assure proper use of the Federal funds;
    (11) An assurance by the applicant that it will use Federal funds 
provided under the Act solely for the purpose for which assistance is 
sought and in conformance with the limitations on the expenditures 
allowed under the Act and applicable regulations;
    (12) A description of the proposed methods of monitoring and 
evaluating the demonstration;
    (13) Copies of the following: Preliminary architectual and 
engineering design documents, plans, sections, sketches, and outline 
specifications;
    (14) A proposed draft of an environmental impact statement, 
including documentation that the project includes all possible planning 
to minimize harm to the historic nature of the facility as required by 
section 4(f) of the Act (49 U.S.C. 1653(f)), to be reviewed, analyzed 
and used by the Administrator in preparation of a final Environmental 
Impact Statement under Department of Transportation Order 5610.IB (39 FR 
35234, September 30, 1974);
    (15) Two copies of an affirmative action program prepared in 
accordance with section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR 
part 265;
    (16) Assurances that the applicant will comply with the following 
Federal laws, policies, regulations and pertinent directives:
    (i) Title VI of the Civil Rights Act of 1964 42 U.S.C. 2000d et 
seq., and 49 CFR part 21;
    (ii) Section 905 of the 4R Act (45 U.S.C. 803), and 49 CFR part 265;
    (iii) Executive Order 11246, as amended (30 FR 12319, 32 FR 14303) 
and 41 CFR 60-4, as amended (43 FR 14888, Apr. 7, 1978) which require 
equal employment opportunity in federally-assisted construction 
programs.
    (iv) Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et seq., and 
49 CFR part 25;
    (v) 42 U.S.C. 4151 et seq., with regard to Federal policies ensuring 
that physically handicapped persons will have ready access to, and use 
of, public buildings;
    (vi) The Rehabilitation Act of 1973, 29 U.S.C. 794, with regard to 
nondiscrimination under Federal grants;
    (vii) The Hatch Act, 5 U.S.C. 1501 et seq., which limits the 
political activities of employees; and
    (viii) Where applicable, the State and Local Fiscal Assistance Act 
of 1972, 31 U.S.C. 1221 et seq., and 31 CFR part 51.
    (17) Evidence of all legal commitments including, but not limited 
to, operating agreements and right-of-way leases which have been 
obtained from private carriers, public transportation operating 
agencies, and other entities as appropriate, to assure continued 
operation of the transportation services during the evaluation period;
    (18) Evidence (including, but not limited to, copies of leases, 
deeds, easements, certificates of title, and mortgage agreements) that 
the applicant's property interest in the railroad passenger terminal is 
or will be, at the commencement of the project, sufficient for the 
applicant to implement the project;
    (19) A summary of each proposed agreement permitting the use of any 
portion of the imtermodal passenger terminal for commercial purposes 
other than the provision of transportation services (if a standard form 
contract is to be used, applicant may submit a copy of the standard 
contract, a list of parties with whom it has contracted, and a list of 
any terms not common to the standard contract);
    (20) An opinion of the applicant's legal counsel advising that (i) 
counsel is familiar with (A) the applicant's corporate or other 
organization powers; (B) section 4(i) of the Act, as amended (49 U.S.C. 
1653(i)); (C) the other Acts referred to in these regulations; and (D) 
any regulations issued to implement those Acts; (ii) the applicant is 
authorized to make the application including all certifications, 
assurances, and affirmations required; (iii) the applicant has the 
requisite authority to carry out the actions proposed in the application 
and to fulfill the obligations created thereby, including the obligation

[[Page 698]]

to pay a share of the costs of the proposed project; (iv) the applicant 
has the authority to enter into all of the legal commitments referred to 
in paragraph (c)(16) of this section and that these commitments are 
legal and binding by their terms; and (v) the applicant's property 
interest in the railroad passenger terminal is sufficient for the 
applicant to implement the project;
    (21) For projects located in urbanized areas, as defined by the 
Bureau of the Census, a statement that the application has been 
coordinated with the metropolitan planning organization, designated by 
the Governor of the State in which the project is located pursuant to 23 
U.S.C. 104(f)(3);
    (22) A certification by the applicant that, in accordance with 
Office of Management and Budget Circular A-95 (41 FR 2052, Jan. 13, 
1976), section 204 of the Demonstration Cities and Metropolitan 
Development Act of 1966 (42 U.S.C. 3334), and section 401 of the 
Intergovernmental Cooperation Act of 1968 (42 U.S.C. 4231), notification 
of the project has been submitted to, and comments thereon have been 
solicited from, the appropriate State and regional agencies and 
clearinghouses; and
    (23) Any other information that the Administrator may require.
    (d) Applications for preservation funds. Each application for 
preservation assistance shall include:
    (1) The complete name and principal business address of the 
applicant;
    (2) The complete name, title, and address of the person to whom 
correspondence regarding the application should be addressed;
    (3) A list of all organizations which will participate in the 
planning, implementation, or operation of each project, and a discussion 
of each organization's role;
    (4) A full discussion of the desirability and feasibility of the 
project and a summary of the benefits to be derived;
    (5) A detailed description of the rail passenger terminal (including 
where applicable the description on file with the National Register), 
the available transportation facilities, and the proposed intermodal 
passenger transportation improvements;
    (6) Documentation of the threat to the existing terminal, involving 
demolition, dismantling, or further deterioration of the terminal and 
the causes thereof;
    (7) Evidence that the planning for conversion or reuse of the 
terminal has commenced and that it is proceeding in a timely manner, 
including a copy of the projected planning schedule;
    (8) A proposed draft of an environmental impact statement or a 
negative declaration, including documentation that the project includes 
all possible planning to minimize harm to the historic nature of the 
facility as required by section 4(f) of the Act, 49 U.S.C. 1653(f), to 
be reviewed, analyzed, and used by the Administrator in preparation of a 
final Environmental Impact Statement or Negative Declaration as required 
by Department of Transportation Order 5610.1B (39 FR 35234, Sept. 30, 
1974);
    (9) A detailed estimate of the total allowable project costs, 
listing and identifying all anticipated preservation costs to the 
maximum extent possible;
    (10) The total amount of Federal assistance requested;
    (11) Evidence of the applicant's ability and intent to furnish its 
share of the total allowable project costs;
    (12) Where the applicant contemplates using funds which it has 
received or will receive from other Federal programs for the planning or 
demonstration stage of the project, a brief description of the sources, 
use and total anticipated amount of such funds;
    (13) Evidence that the applicant has established in accordance with 
Attachment G of Office of Management and Budget Circular A-102, adequate 
procedures for financial control, accounting, and performance evaluation 
in order to assure proper use of the Federal funds;
    (14) An assurance by the applicant that it will use Federal funds 
provided under the Act solely for the purpose for which assistance is 
sought and in conformance with the limitations on the expenditures 
allowed under the Act and applicable regulations;
    (15) Evidence of substantial local public and/or private interest in 
organizing a project to convert the existing railroad passenger terminal 
to an intermodal passenger terminal, which

[[Page 699]]

may include use for civic or cultural activities;
    (16) An opinion of the applicant's legal counsel stating that:
    (i) Counsel is familiar with (A) the applicant's corporate or other 
organizational powers; (B) section 4(i) of the Act, as amended (49 
U.S.C. 1653(i)), (C) the other Acts referred to in these regulations; 
(D) and any regulation issued to implement those Acts;
    (ii) The applicant is authorized to make this application including 
all certifications, assurances, and affirmations required;
    (iii) The applicant has the requisite authority to carry out the 
actions proposed in its application and to fulfill the obligations 
created thereby, including the obligation to pay a share of the cost of 
the proposed project, and
    (iv) The applicant is empowered, for an interim period pending the 
formulation of plans for the conversion of the existing railroad 
passenger terminal, to maintain the terminal building and prevent its 
demolition, dismantling, or further deterioration;
    (17) For projects located in urbanized areas, as defined by the 
Bureau of the Census, a statement that the application has been 
coordinated with the metropolitan planning organization, designated by 
the Governor of the State in which the project is located, pursuant to 
23 U.S.C. 104(f)(3);
    (18) A certification by the applicant that, in accordance with 
Office of Management and Budget Circular A-95 (41 FR 2052, Jan. 13, 
1976), section 204 of the Demonstration Cities and Metropolitan 
Development Act of 1966 (42 U.S.C. 3334), and section 401 of the 
Intergovernmental Cooperation Act of 1968 (42 U.S.C. 4231), notification 
of the project has been submitted to, and comments thereon have been 
solicited from, the appropriate State and regional agencies and 
clearinghouses;
    (19) Two copies of an affirmative action program prepared in 
accordance with section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR 
part 265;
    (20) Assurances that the applicant will comply with the following 
Federal laws, policies, regulations and pertinent directives:
    (i) Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et 
seq., and 49 CFR part 21;
    (ii) Section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR part 265;
    (iii) Executive Order 11246, as amended (30 FR 12319, 32 FR 14303) 
and 41 CFR 60-4, as amended (43 FR 14888, Apr. 7, 1978), which requires 
equal employment opportunity in federally-assisted construction 
programs.
    (iv) Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et seq., and 
49 CFR part 25;
    (v) 42 U.S.C. 4151 et seq., with regard to Federal policies ensuring 
that physically handicapped persons will have ready access to, and use 
of, public buildings;
    (vi) The Rehabilitation Act of 1973, 29 U.S.C. 794, with regard to 
nondiscrimination under Federal grants;
    (vii) The Hatch Act, 5 U.S.C. 1501 et seq., which limits the 
political activities of employees; and
    (viii) Where applicable, the State and Local Fiscal Assistance Act 
of 1972, 31 U.S.C. 1221 et seq., and 31 CFR part 51; and
    (21) Any other information that the Administrator may require.
    (e) Applications for planning funds. Each application for planning 
assistance shall include:
    (1) The complete name and principal business address of the 
applicant;
    (2) The name, title, and address of the person to whom 
correspondence regarding the application should be addressed;
    (3) A list of all organizations which will participate in the 
planning, implementation, or operation of each project, and a discussion 
of each organization's role;
    (4) A preliminary statement of work, and a detailed estimate of all 
planning costs broken down by project task;
    (5) A proposed schedule for the planning process;
    (6) A full discussion of the desirability and feasibility of the 
project and a summary of the benefits to be derived;
    (7) A detailed description of the rail passenger terminal 
(including, where applicable, the description on file with the National 
Register), the available

[[Page 700]]

transportation facilities, and the proposed intermodal passenger 
transportation improvements;
    (8) The total amount of Federal assistance requested;
    (9) Evidence of the applicant's ability and intent to furnish its 
share of the total allowable project costs;
    (10) Where the applicant contemplates using funds which it has 
received or will receive from other Federal programs for the 
preservation or demonstration stages of the project, a brief description 
of the sources, use, and anticipated amount of such funds;
    (11) Evidence that the applicant has established, in accordance with 
Attachment G of Office of Management and Budget Circular A-102, adequate 
procedures for financial control, accounting, and performance 
evaluation, in order to assure proper use of the Federal funds;
    (12) An assurance by the applicant that it will use Federal funds 
provided under the Act solely for the purpose for which assistance is 
sought and in conformance with the limitations on the expenditures 
allowed under the Act and applicable regulations;
    (13) An opinion of the applicant's legal counsel stating that:
    (i) Counsel is familiar with (A) the applicant's corporate or other 
organization powers; (B) section 4(i) of the Act, as amended, 49 U.S.C. 
1653(i); (C) the other Acts referred to in these regulations; and (D) 
any regulations issued to implement those Acts;
    (ii) The applicant is authorized to make this application including 
all certifications, assurances, and affirmations required; and
    (iii) The applicant has the requisite authority to carry out the 
actions proposed in its applications and to fulfill the obligations 
created thereby, including the obligation to pay a share of the costs of 
the proposed project;
    (14) A proposed schedule for the implementation of the applicant's 
completed designs and plans;
    (15) For projects located in urbanized areas, as defined by the 
Bureau of the Census, a statement that the application has been 
coordinated with the metropolitan planning organization, designated by 
the Governor of the State in which the project is located, pursuant to 
23 U.S.C. 104(f)(3);
    (16) A certification by the applicant that, in accordance with 
Office of Management and Budget Circular A-95 (41 FR 2052, Jan. 13, 
1976), section 204 of the Demonstration Cities and Metropolitan 
Development Act of 1966 (42 U.S.C. 3334), and section 401 of the 
Intergovernmental Cooperation Act of 1968 (42 U.S.C. 4231), notification 
of the project has been submitted to, and comments thereon have been 
solicited from, the appropriate State and regional agencies and 
clearinghouses;
    (17) Two copies of an affirmative action program prepared in 
accordance with section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR 
part 265;
    (18) Assurances that the applicant will comply with the following 
Federal laws, policies, regulations, and pertinent directives:
    (i) Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et 
seq. and 49 CFR part 21;
    (ii) Section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR part 265;
    (iii) Title II and title III of the Uniform Relocation Assistance 
and Real Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et 
seq. and 49 CFR part 25;
    (iv) 42 U.S.C. 4151 et seq., with regard to Federal policies 
ensuring that physically handicapped persons will have ready access to, 
and use of, public buildings;
    (v) The Rehabilitation Act of 1973, 29 U.S.C. 794, with regard to 
nondiscrimination under Federal grants;
    (vi) The Hatch Act, 5 U.S.C. 1501, et seq., which limits the 
political activities of employees; and
    (vii) Where applicable, the State and Local Fiscal Assistance Act of 
1972, 31 U.S.C. 1221 et seq., and 31 CFR part 51;
    (19) A statement that the applicant is prepared to develop 
practicable plans meeting the zoning, land use, and other requirements 
of the applicable State and local jurisdictions in which the rail 
passenger terminal is located.
    (20) An assurance by the applicant that the designs and plans for 
the conversion to an intermodal passenger terminal, including any use 
for civic or cultural activities, will be completed

[[Page 701]]

within two years following the approval of the application for Federal 
financial assistance;
    (21) A description of how the applicant can incorporate features 
which appear reasonably likely to attract private investors willing to 
share in the implementation of the planned conversion and its subsequent 
maintenance and operation;
    (22) An environmental assessment using an interdisciplinary approach 
in identifying the type, degree, effect, and probability of occurrence 
of potential environmental impacts due to the conversion to an 
intermodal passenger terminal; and
    (23) Any other information that the Administrator may require.
    (f) Execution and filing of applications. (1) The original 
application shall bear the date of execution and be signed by the Chief 
Executive Officer of the applicant or by the applicant, where the 
applicant is an individual. Each person required to execute an 
application shall execute a certificate in the form of appendix A 
hereto.
    (2) The original application and two (2) copies shall be filed with 
the Federal Railroad Administrator, Department of Transportation, 400 
7th Street SW., Washington, DC 20590. Each copy shall show the dates and 
signatures that appear in the original and shall be complete in itself.
    (3) Pre-applications for demonstration funds must be submitted to 
the Administrator no later than August 21, 1978. Applications for 
planning, preservation and demonstration funds must be submitted to the 
Administrator no later than September 19, 1978. Applications received 
after these deadlines will not be considered for funding, unless all 
funds are not granted to applicants who have met the application 
deadline.

[43 FR 21887, May 22, 1978]



Sec. 256.13  Review and approval of applications.

    (a) Pre-applications. Pre-applications for demonstration funds shall 
be reviewed by the Administrator in consultation with the Chairman and 
the Council.
    (b) Applications. The Administrator shall review applications in 
consultation with the Chairman and the Council and select and monitor 
projects most likely to accomplish the following goals:
    (1) Demonstrate the capabilities of intermodal terminals to provide 
a more effective means of passenger interchange between various modes of 
transportation;
    (2) Demonstrate the advantages of joint use terminal facilities to 
carriers;
    (3) Demonstrate a more comprehensive and effective network of energy 
efficient surface common carrier transportation services through 
improving coordinated interline intermodal exchange at selected 
intermodal passenger terminals distinguished by coordinated information 
systems, schedules, and through ticketing and baggage handling;
    (4) Evaluate user response to such coordinated interline intermodal 
transportation services, and to joint carrier use of terminal 
facilities;
    (5) Demonstrate the potential of underutilized railroad passenger 
terminals of historical and architectural distinction for improving 
intermodal passenger transportation services and for providing an 
appropriate focal point for civic and cultural activities;
    (6) Stimulate local public and private investment, by transportation 
carriers and others, in improved intercity and local public 
transportation facilities and services;
    (7) Encourage the preservation of railroad passenger terminals 
pending the formulation of plans for reuse; and
    (8) Encourage the development of plans for the conversion of 
railroad passenger terminals into intermodal passenger terminals, which 
may incorporate civic and cultural activities where feasible.
    (c) Preferential consideration. In reviewing applications for 
planning funds, the Administrator shall give preferential consideration 
to applicants whose completed designs and plans will be implemented and 
effectuated within three years after the date of completion.
    (d) Approval within 90 days. The Administrator will approve or deny 
each application within 90 days of the submission dates set forth in 
Sec. 256.11(f)(3) and the Administrator will promptly

[[Page 702]]

notify in writing each applicant whose application has been approved.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21890, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]



Sec. 256.15  Disbursement of financial assistance.

    (a) Grant agreement. After receipt, review, and approval of an 
application, the Administrator will enter into a grant agreement with an 
applicant for the Federal share of the total allowable project costs. 
The terms and conditions of payment of the Federal share shall be set 
forth in the grant agreement.
    (b) Record retention. Each recipient of financial assistance under 
this part shall keep such records as the Administrator shall prescribe, 
including records which fully disclose the amount and disposition by 
such recipient of the proceeds of such assistance, the total cost of the 
project or undertaking in connection with which such assistance was 
given or used, the amount of that portion of the cost of the project or 
undertaking supplied by other sources, and such other records as will 
facilitate an effective audit.
    (c) Audit and examination. Until the expiration of three years after 
the completion of the project or undertaking referred to in paragraph 
(b) of this section, the Administrator and the Comptroller General of 
the United States, or any of their duly authorized representatives, 
shall have access for the purpose of aduit and examination to any books, 
documents, papers, and records of such receipts which, in the opinion of 
the Administrator or the Comptroller General, may be related or 
pertinent to such financial assistance.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21890, May 22, 1978]

                   Appendix A to Part 256--Certificate

    The following is the form of the certificate to be executed by each 
person signing a pre-application or application:

    -------------- (Name of Person) certifies that he is the Chief 
Executive Officer of -------------- (Name of Agency or Organization); 
that he is authorized to sign and file with the Federal Railroad 
Administrator this (pre-application or application); that he has 
carefully examined all of the statements contained in the (pre-
application or application) relating to --------------; that he has 
knowledge of the matters set forth therein and that all statements made 
and matters set forth therein are true and correct to the best of his 
knowledge, information and belief.

[43 FR 21890, May 22, 1978]



PART 260--REGULATIONS GOVERNING LOANS AND LOAN GUARANTEES UNDER THE RAILROAD REHABILITATION AND IMPROVEMENT FINANCING PROGRAM--Table of Contents




                           Subpart A--Overview

Sec.
260.1 Program authority.
260.3 Definitions.
260.5 Eligible purposes.
260.7 Priority consideration.
260.9 Loan terms.
260.11 Investigation charge.
260.13 Credit reform.
260.15 Credit risk premium.

 Subpart B--FRA Policies and Procedures for Evaluating Applications for 
                          Financial Assistance

260.17 Credit risk premium analysis.
260.19 Preapplication meeting.

            Subpart C--Applications for Financial Assistance

260.21 Eligibility.
260.23 Form and content of application generally.
260.25 Additional information for Applicants not having a credit rating.
260.27 Additional information for loan guarantees.
260.29 Third party consultants.
260.31 Execution and filing of the application.
260.33 Information requests.
260.35 Environmental assessment.

   Subpart D--Standards for Maintenance of Facilities Involved in the 
                                 Project

260.37 Applicability.
260.39 Maintenance standards.
260.41 Inspection and reporting.
260.43 Impact on other laws.

      Subpart E--Procedures To Be Followed in the Event of Default

260.45 Events of default for guaranteed loans.
260.47 Events of default for direct loans.
260.49 Avoiding defaults.

[[Page 703]]

                   Subpart F--Loan Guarantees--Lenders

260.51 Conditions of guarantee.
260.53 Lenders' functions and responsibilities.
260.55 Lender's loan servicing.

    Authority: 45 U.S.C. 821, 822, 823; 49 CFR 1.49.

    Source: 65 FR 41841, July 6, 2000, unless otherwise noted.



                           Subpart A--Overview



Sec. 260.1  Program authority.

    Section 502 of the Railroad Revitalization and Regulatory Reform Act 
of 1976, as amended, 45 U.S.C. 821 et seq., authorizes the Secretary of 
Transportation to provide direct loans and loan guarantees to State and 
local governments, government sponsored authorities and corporations, 
railroads, and joint ventures that include at least one railroad. The 
Secretary's authority has been delegated to the Administrator of the 
Federal Railroad Administration, an agency of the Department of 
Transportation.



Sec. 260.3  Definitions.

    As used in this part--
    (a) Act means the Railroad Revitalization and Regulatory Reform Act 
of 1976, as amended, 45 U.S.C. 821 et seq.
    (b) Administrator means the Federal Railroad Administrator, or his 
or her representative.
    (c) Applicant means any State or local government, government 
sponsored authority or corporation, railroad, or group of two or more 
entities, at least one of which is a railroad, participating in a joint 
venture, that submits an application to the Administrator for a direct 
loan or the guarantee of an existing obligation under which it is an 
obligor or for a commitment to guarantee a new obligation.
    (d) Borrower means an Applicant that has been approved for, and has 
received, financial assistance under this part.
    (e) Credit risk premium means that portion of the total subsidy cost 
to the Government of a direct loan or loan guarantee that is not covered 
by Federal appropriations and which must be paid by Applicant or its 
non-Federal infrastructure partner before that direct loan can be 
disbursed or loan guarantee can be issued.
    (f) Direct loan means a disbursement of funds by the Government to a 
non-federal borrower under a contract that requires the repayment of 
such funds.
    (g) FRA means the Federal Railroad Administration.
    (h) Financial assistance means a direct loan, or a guarantee of a 
new loan issued under this part.
    (i) Holder means the current owner of an obligation or the entity 
retained by the owner to service and collect an obligation which is 
guaranteed under the provisions of this part.
    (j) Including means including but not limited to.
    (k) Infrastructure partner means any non-Federal source of the 
Credit Risk Premium which must be paid to the Administrator in lieu of, 
or in combination with, an appropriation in connection with financial 
assistance provided under this part.
    (l) Intermodal means of or relating to the connection between rail 
service and other modes of transportation, including all parts of 
facilities at which such connection is made.
    (m) Lender means the non-Federal entity making a loan to an 
Applicant for which a loan guarantee under this part is sought.
    (n) Loan guarantee means any guarantee, insurance, or other pledge 
with respect to the payment of all or a part of the principal or 
interest on any debt obligation of a non-Federal borrower to a non-
Federal Lender, but does not include the insurance of deposits, shares, 
or other withdrawable accounts in financial institutions.
    (o) Obligation means a bond, note, conditional sale agreement, 
equipment trust certificate, security agreement, or other obligation.
    (p) Obligor means the debtor under an obligation, including the 
original obligor and any successor or assignee of such obligor.
    (q) Project means the purpose for which financial assistance is 
requested.
    (r) Railroad means a rail carrier subject to part A of subtitle IV 
of title 49, United States Code.
    (s) Subsidy cost of a direct loan means the net present value, at 
the time when

[[Page 704]]

the direct loan is disbursed, of the following estimated cash flows:
    (1) Loan disbursements;
    (2) Repayments of principal; and
    (3) Payments of interest and other payments by or to the Government 
over the life of the loan after adjusting for estimated defaults, 
prepayments, fees, penalties, and other recoveries; including the 
effects of changes in loan terms resulting from the exercise by the 
borrower of an option included in the loan contract.
    (t) Subsidy cost of a loan guarantee means the net present value, at 
the time when the guaranteed loan is disbursed, of the following 
estimated cash flows:
    (1) Payments by the Government to cover defaults, delinquencies, 
interest subsidies, or other payments; and
    (2) The payments to the Government including origination and other 
fees, penalties and recoveries.



Sec. 260.5  Eligible purposes.

    (a) Financial assistance under this part is available solely to:
    (1) Acquire, improve, or rehabilitate intermodal or rail freight or 
passenger equipment or facilities, including track, components of track, 
bridges, yards, buildings, and shops;
    (2) Refinance outstanding debt incurred for purposes described in 
paragraph (a)(1) of this section; or
    (3) Develop or establish new intermodal or railroad facilities.
    (b) Financial assistance under this part cannot be used for railroad 
operating expenses.



Sec. 260.7  Priority consideration.

    When evaluating applications, the Administrator will give priority 
consideration (but not necessarily in the following order) to projects 
that:
    (a) Enhance public safety;
    (b) Enhance the environment;
    (c) Promote economic development;
    (d) Enable United States companies to be more competitive in 
international markets;
    (e) Are endorsed by the plans prepared under section 135 of title 
23, United States Code, by the State or States in which they are 
located; or
    (f) Preserve or enhance rail or intermodal service to small 
communities or rural areas.



Sec. 260.9  Loan terms.

    The maximum repayment period for direct loans and guaranteed loans 
under this part is 25 years from the date of execution. The interest 
rate on direct loans will be equal to the rate on Treasury securities of 
a similar term. In general, the financial assistance provided will be 
required to be repaid prior to the end of the useful life of the project 
it is used to fund.



Sec. 260.11  Investigation charge.

    (a) Applicants for financial assistance under this part may be 
required to pay an investigation charge of up to one-half of one percent 
of the principal amount of the direct loan or portion of the loan to be 
guaranteed.
    (b) When an investigation charge is assessed, one-half of the 
investigation charge shall be paid by Applicant at the time a formal 
application is submitted to FRA.
    (c) Within 60 days after the date of filing of the application, 
Applicant shall pay to the Administrator the balance of the 
investigation charge.



Sec. 260.13  Credit reform.

    The Federal Credit Reform Act of 1990, 2 U.S.C. 661, requires 
Federal agencies to set aside the subsidy cost of new credit assistance 
provided in the form of direct loans or loan guarantees. The subsidy 
cost will be the estimated long term cost to the Government of the loan 
or loan guarantee. The subsidy cost associated with each direct loan or 
loan guarantee, which the Administrator must set aside, may be funded by 
Federal appropriations, direct payment of a Credit Risk Premium by the 
Applicant or a non-Federal infrastructure partner on behalf of the 
Applicant, or any combination thereof.



Sec. 260.15  Credit risk premium.

    (a) Where available Federal appropriations are inadequate to cover 
the subsidy cost, a non-Federal infrastructure partner may pay to the 
Administrator a Credit Risk Premium adequate to cover that portion of 
the subsidy

[[Page 705]]

cost not covered by Federal appropriations. Where there is no Federal 
appropriation, the Credit Risk Premium must cover the entire subsidy 
cost.
    (b) The amount of the Credit Risk Premium required for each direct 
loan or loan guarantee, if any, shall be established by the 
Administrator. The Credit Risk Premium shall be determined based on the 
credit risk and anticipated recovery in the event of default, including 
the recovery of collateral.
    (c) The Credit Risk Premium must be paid before the disbursement of 
a direct or guaranteed loan. Where the borrower draws down the direct or 
guaranteed loan in several increments, the borrower may pay a portion of 
the total Credit Risk Premium for each increment equal to the proportion 
of that increment to the total amount of the direct or guaranteed loan.
    (d) Each direct loan and loan guarantee made by the Administrator 
will be included in one cohort of direct loans or one cohort of loan 
guarantees, respectively, made during that same fiscal year, or longer 
period, as may be determined by the Administrator. When all obligations 
in a cohort have been satisfied or liquidated, the amount of Credit Risk 
Premiums, paid by applicants or infrastructure partners, remaining in 
the cohort, after deductions made to mitigate losses from any loan or 
loan guarantee in the cohort, together with interest accrued thereon, 
will be repaid on a pro rata basis to each original payor of a Credit 
Risk Premium for any obligation which was fully satisfied. If the 
Administrator's estimate of the default risk cost of each loan is 
accurate, the aggregate of Credit Risk Premiums associated with each 
cohort of loans will fully offset all losses in the cohort and none will 
remain to be returned to the payees.



 Subpart B--FRA Policies and Procedures for Evaluating Applications for 
                          Financial Assistance



Sec. 260.17  Credit risk premium analysis.

    (a) When Federal appropriations are not available to cover the total 
subsidy cost, the Administrator will determine the Credit Risk Premium 
necessary for each direct loan or loan guarantee by estimating the 
credit risk and the potential recovery in the event of a default of each 
project evaluating the factors described in paragraphs (b) and (c) of 
this section.
    (b) Establishing the credit risk.
    (1) Where an Applicant has received a recent credit rating from one 
or more nationally recognized rating agencies, that rating will be used 
to estimate the credit risk.
    (2) Where an Applicant has not received a credit rating from a 
credit rating agency, the Administrator will determine the credit risk 
based on an evaluation of the following factors:
    (i) Business risk, based on Applicant's:
    (A) Industry outlook;
    (B) Market position;
    (C) Management and financial policies;
    (D) Capital expenditures; and
    (E) Operating efficiency.
    (ii) Financial risk, based on Applicant?s past and projected:
    (A) Profitability;
    (B) Liquidity;
    (C) Financial strength;
    (D) Size; and
    (E) Level of capital expenditures; and
    (iii) Project risk, based on the proposed project's:
    (A) Potential for improving revenues, profitability and cash flow 
from operations; and
    (B) Reliance on third parties for success.
    (c) The potential recovery in the event of a default will be based 
on:
    (1) The nature of the Applicant's assets; and
    (2) Liquidation value of the collateral offered, including the terms 
and conditions of the lien securing the collateral.



Sec. 260.19  Preapplication meeting.

    Potential Applicants may request a meeting with the FRA Associate 
Administrator for Railroad Development to discuss the nature of the 
project being considered. Applicants must be prepared to provide at 
least the following information:
    (a) Applicant's name, address, and contact person;

[[Page 706]]

    (b) Name of the proposed infrastructure partner(s), if any, 
including the identification of potential amounts of funding from each;
    (c) Amount of the direct loan or loan guarantee request, and a 
description of the technical aspects of the project including a map of 
the existing railroad lines with the location of the project indicated;
    (d) Brief description and estimate of the economic impact, including 
future demand for service, improvements that can be achieved, the 
project's relation to the priorities listed in Sec. 260.7, along with 
any feasibility, market or other studies that may have been done as 
attachments;
    (e) Amount of Applicant's equity and a description of collateral 
offered, with estimated values, including the basis of such, to be 
offered as security for the loan;
    (f) If applicable, the names and addresses of the Applicant's 
parent, affiliates, and subsidiary corporations, if any, and a 
description of the ownership relationship and the level of guarantee, if 
any, to be offered;
    (g) For existing companies, a current balance sheet and an income 
statement not more than 90 days old and financial statements for the 
borrower and any parent, affiliates, and subsidiaries for at least the 
four most recent years; and
    (h) Information relevant to the potential environmental impacts of 
the project in the context of applicable Federal law.



            Subpart C--Applications for Financial Assistance



Sec. 260.21  Eligibility.

    The Administrator may make a direct loan to an Applicant, or 
guarantee the payment of the principal balance and any interest of an 
obligation of an Applicant prior to, on, or after the date of execution 
or the date of disbursement of such obligation, if the proceeds of such 
direct loan or obligation shall be, or have been, used by the Applicant 
for the eligible purposes listed in Sec. 260.5(a)(1), (2), and (3).



Sec. 260.23  Form and content of application generally.

    Each application shall include, in the order indicated and 
identified by applicable paragraph numbers and letters corresponding to 
those used in this section, the following information:
    (a) Full and correct name and principal business address of the 
Applicant;
    (b) Date of Applicant's incorporation, or organization if not a 
corporation, and name of the government, State or territory under the 
laws of which it was incorporated or organized. If Applicant is a 
partnership, association, or other form of organization other than a 
corporation, a full description of the organization should be furnished;
    (c) Name, title, and address of the person to whom correspondence 
regarding the application should be addressed.
    (d) A statement of whether the project involves another railroad or 
other participant, through joint execution, coordination, or otherwise; 
if so, description of the relative participation of Applicant and such 
other railroad or participant, including financial statements (if 
applicable) and financing arrangements of each participant, portion of 
the work to be performed by each participant, and anticipated level of 
usage of the equipment or facility of each participant when the work is 
completed, along with a statement by a responsible officer or official 
of the other railroad or participant that the information provided 
reflects their agreement on these matters;
    (e) A detailed description of the amount and timing of the financial 
assistance that is being requested and its purpose or purposes, 
including:
    (1) Detailed description of the project and its purpose or purposes;
    (2) A description of all facilities or equipment and the physical 
condition of such facilities or equipment included in or directly 
affected by the proposed project;
    (3) Each part or sub-part into which the project may reasonably be 
divided and the priority and schedule of expenditure for each part or 
sub-part; and
    (4) Proposed dates of commencement and completion of the project and 
estimated timing of the expenditure of the proceeds of the obligation;

[[Page 707]]

    (5) A map of Applicant's existing railroad with location of project 
indicated, if appropriate.
    (f) A listing and description of the collateral to be offered the 
Administrator in connection with any financial assistance provided; 
Applicant's opinion of the value of this security and the basis for such 
opinion; in the case of leased equipment to be rehabilitated or improved 
with the proceeds of the obligation proposed to be guaranteed, Applicant 
shall state, in addition to the above, whether the lease provides for, 
or the lessor will permit, encumbrance of the leasehold or subordination 
of the lessor's interest in the equipment to the Administrator;
    (g) A statement, in summary form, showing financial obligations to 
or claims against the United States or obligations for which the United 
States is guarantor, if any, by Applicant or any affiliated corporate 
entity of the Applicant or the Applicant's parent as of the date of the 
application, including:
    (1) Status of any claims under litigation; and
    (2) Any other debits or credits existing between the Applicant and 
the United States, showing the department or agency involved in such 
loans, claims and other debts;
    (h) To the extent such information is available, an analysis that 
includes:
    (1) A statement, together with supporting evidence including copies 
of all market analyses and studies that have been performed to determine 
present and future demand for rail services or facilities, that the 
financing is justified by present and future probable demand for rail 
services or facilities, will meet existing needs for such services or 
facilities, and will provide shippers or passengers with improved 
service;
    (2) Description of the impact of the project upon the projected 
freight or passenger traffic to be originated, terminated, or carried by 
the Applicant for at least the five years immediately following 
completion of the project;
    (3) Explanation of the manner in which the project will increase the 
economical and efficient utilization of equipment and facilities; and
    (4) Description of cost savings or any other benefit which would 
accrue to the Applicant from the project;
    (i) A statement as to how the project will contribute to, or 
enhance, the safe operation of the railroad, considering such factors as 
the occupational safety and health of the employees and the improvement 
of the physical and other conditions that have caused or may cause 
serious injury or loss of life to the public or significant property 
damage;
    (j) A statement of the Applicant's maintenance program for its 
entire rail system and planned maintenance program for the equipment or 
facilities financed by the proceeds of the financial assistance;
    (k) A certified statement in the form contained in Sec. 260.31(d) 
that Applicant will pay to the Administrator, in accordance with 
Sec. 260.11, the investigation charge with respect to the application.
    (l) Information relevant to the potential environmental impacts of 
the project in the context of applicable Federal laws;
    (m) Any additional information that the Applicant deems appropriate 
to convey a full and complete understanding of the project, the 
project's relations to the priorities listed in Sec. 260.7, and its 
impact, or to assist the Administrator in making the statutorily 
prescribed findings; and
    (n) Any other information which the Administrator may deem necessary 
concerning an application filed under this part.
    (o) Railroad applicants must also submit a copy of application for 
financing for the project in the private sector, including terms 
requested, from at least one commercial lender, and its response 
refusing to provide such financing.



Sec. 260.25  Additional information for Applicants not having a credit rating.

    Each application submitted by Applicants not having a recent credit 
rating from one or more nationally recognized rating agencies shall 
include, in the order indicated and identified by applicable numbers and 
letters corresponding to those used in this section, the following 
information:
    (a) A narrative statement detailing management's business plan to 
enhance Applicant's ability to provide

[[Page 708]]

rail services including a discussion of the following:
    (1) Applicant's current and prospective traffic base, including by 
commodity and geographic region, major markets served, major interchange 
points, and market development plans;
    (2) Applicant's current operating patterns, and plans, if any, to 
enhance its ability to serve its current and prospective traffic base;
    (3) System-wide plans to maintain equipment and rights-of-way at 
current or improved levels; and
    (4) Specific plans for rationalization of marginal or uneconomic 
services;
    (b) Detailed financial information, including:
    (1) Financial statements prepared by a Certified Public Accountant 
(audited, if available), for the four calendar years immediately 
preceding the date of filing of the application, including:
    (i) A copy of Applicant's most recent year-end general balance sheet 
and a copy of Applicant's most recent unaudited general balance sheet; 
and
    (ii) Applicant's most recent annual income statement and a spread 
sheet showing unaudited monthly and year-to-date income statement data 
up to the date the application is filed;
    (2) Projected financial statements, including spread sheets showing 
for each of the four years subsequent to the year in which the 
application is filed, both before and after giving effect to the 
proceeds of the assistance requested in the application:
    (i) Forecasted annual income statement;
    (ii) Forecasted year-end balance sheets. These spread sheets shall 
be accompanied by a statement setting forth the bases for such 
forecasts; and
    (iii) A spread sheet showing changes in financial position for the 
year in which the application is filed, including the period ending on 
the date of the application based upon actual data and the period from 
the date of the application to the end of the year, based upon estimated 
and forecasted data;
    (c) Capital spending plans for the next five years;
    (d) Cash flow projections;
    (e) Contingency plans for termination of the project before 
completion, if necessary; and
    (f) A narrative description of Applicant's management team, 
including:
    (1) Rail experience of top management;
    (2) Management's plans for achieving growth and its long-term 
capital spending plan; and
    (3) A narrative description of Applicant's workforce and the 
historical rate of employee turnover.



Sec. 260.27  Additional information for loan guarantees.

    Applications for a loan guarantee shall also include in the order 
indicated and identified by applicable numbers and letters corresponding 
to those used in this section, the following information:
    (a) With respect to each existing obligation to be refinanced or 
proposed obligation:
    (1) A certified copy of proposed or executed obligation agreements;
    (2) A detailed description of the obligation, and a description of 
the series or issue of which the obligation is, or will be, a part, 
including:
    (i) Effective date, or anticipated effective date;
    (ii) Where a guarantee is sought for an outstanding obligation being 
refinanced, actual effective rate of interest; or where the obligation 
is new, the terms of the proposed obligation including the proposed 
effective rate of interest; and
    (iii) All related documents, whether executed or proposed;
    (3) For an existing obligation, the Applicant's payment history on 
that obligation; and
    (b) With respect to each existing Lender, Holder, or prospective 
Lender, a statement as to:
    (1) Full and correct name and principal business address;
    (2) Reference to applicable provisions of law and the charter or 
other governing instruments conferring authority to do business on the 
Lender, Holder, or prospective Lender;
    (3) Brief statement of the circumstances and negotiations leading to 
the agreement by the Lender, Holder, or prospective Lender to make the 
loan;

[[Page 709]]

    (4) Brief statement of the nature and extent of any affiliation or 
business relationship between the Lender, Holder, or prospective Lender 
and the Applicant or any of Applicant's directors, partners, or 
principal executive officers; and.
    (5) Full and complete statement of all sums to be provided by the 
Lender or Holder, or to be provided by the prospective Lender in 
connection with the proposed obligation including:
    (i) Name and address of each person to whom the payment has been 
made or will be made and nature of any affiliation, association, or 
prior business relationship between any person named in this paragraph 
and the Lender, Holder or prospective Lender or any of its directors, 
partners, or officers; and
    (ii) Amount of the cash payment, or the nature and value of other 
consideration.



Sec. 260.29  Third party consultants.

    Applicants may utilize independent third-party consultants to 
prepare a financial evaluation of the proposed project and the 
applicant, if approved by FRA. Providing such an evaluation would 
greatly assist FRA in the evaluation of the application and would 
significantly reduce the time necessary for FRA to process the 
application. We encourage the use of third party consultants.



Sec. 260.31  Execution and filing of the application.

    (a) The original application shall bear the date of execution, be 
signed in ink by or on behalf of the Applicant, and shall bear the 
corporate seal in the case of an Applicant which is a corporation. 
Execution shall be by all partners if a partnership, unless satisfactory 
evidence is furnished of the authority of a partner to bind the 
partnership, or if a corporation, an association or other similar form 
of organization, by its president or other executive officer having 
knowledge of the matters therein set forth. Persons signing the 
application on behalf of the Applicant shall also sign a certificate in 
form as follows:

    (Name of official) certifies that he or she is the (Title of 
official) of the (Name of Applicant); that he or she is authorized on 
the part of the Applicant to sign and file with the Administrator this 
application and exhibits attached thereto; that the consent of all 
parties whose consent is required, by law or by binding commitment of 
the Applicant, in order to make this application has been given; that he 
or she has carefully examined all of the statements contained in such 
application and the exhibits attached thereto and made a part thereof 
relating to the aforesaid (Name of Applicant); that he or she has 
knowledge of the matters set forth therein and that all such statements 
made and matters set forth therein are true and correct to the best of 
his or her knowledge, information, and belief; and that Applicant will 
pay the balance of the investigation charge in accordance with 
Sec. 260.11.

(Signature of official)
(Date)
    (b) There shall be made a part of the original application the 
following certificate by the Chief Financial Officer or equivalent 
officer of the Applicant:

    (Name of officer) certifies that he or she is (Title of officer) of 
(Name of Applicant); that he or she has supervision over the books of 
accounts and other financial records of the affected Applicant and has 
control over the manner in which they are kept; that such accounts are 
maintained in good faith in accordance with the effective accounting 
practices; that such accounts are adequate to assure that proceeds from 
the financing being requested will be used solely and specifically for 
the purposes authorized; that he or she has examined the financial 
statements and supporting schedules included in this application and to 
the best of his or her knowledge and belief those statements accurately 
reflect the accounts as stated in the books of account; and that, other 
than the matters set forth in the exceptions attached to such 
statements, those financial statements and supporting schedules 
represent a true and complete statement of the financial position of the 
Applicant and that there are no undisclosed assets, liabilities, 
commitments to purchase property or securities, other commitments, 
litigation in the courts, contingent rental agreements, or other 
contingent transactions which might materially affect the financial 
position of the Applicant.

(Signature of official)
(Date)

    (c) The Applicant shall pay the investigation charge in accordance 
with Sec. 260.11.
    (d) The application shall be accompanied by a transmittal letter in 
form as follows:


[[Page 710]]


Federal Railroad Administrator, c/o Associate Administrator for Railroad 
Development, Federal Railroad Administration, Washington, D.C. 20590
    Re: Application for financial assistance under the Railroad 
Rehabilitation and Improvement Financing Program.

    Dear Sir or Madam: Being duly authorized by (jointly and severally/
if more than one) (the ``Applicant'') to convey the understandings 
hereinafter set forth, I respectfully submit this application and remit 
its investigation fee in the amount equal to one-half the total 
investigation fee established by the Administrator. By this filing, 
Applicant requests the Administrator to investigate the application and 
make the necessary findings upon which Applicant's eligibility for a 
direct loan or loan guarantee may be determined. Applicant understands 
that neither the acceptance of this filing, the deposit of the 
investigation charge, nor the commencement of an investigation 
acknowledges the sufficiency of the application's form, content or 
merit. Furthermore, Applicant understands that the Administrator will 
incur numerous expenses by this filing with respect to the investigation 
of the application, the appraisal of security being offered, and the 
making of the necessary determinations and findings, and promises to 
pay, within 60 days, the remainder of the investigation fee required by 
the Administrator. Applicant understands that the Administrator will 
establish the amount of Credit Risk Premium due from Applicant, if any, 
as provided in Sec. 260.15. Applicant agrees to pay such Credit Risk 
Premium prior to the disbursement of direct or guaranteed loan, as 
appropriate. Such Credit Risk Premium may be refunded as provided in 
Sec. 260.15.
     Respectfully submitted.

Applicant(s)
Seal(s) by Its(Their).

    (e) The original application and supporting papers, and two copies 
thereof for the use of the Administrator, shall be filed with the 
Associate Administrator for Railroad Development of the Federal Railroad 
Administration, 1120 Vermont Ave., NW., MailStop 20, Washington, DC 
20590. Each copy shall bear the dates and signatures that appear in the 
original and shall be complete in itself, but the signatures in the 
copies may be stamped or typed.



Sec. 260.33  Information requests.

    If an Applicant desires that any information submitted in its 
application or any supplement thereto not be released by the 
Administrator upon request from a member of the public, the Applicant 
must so state and must set forth any reasons why such information should 
not be released, including particulars as to any competitive harm which 
would probably result from release of such information. The 
Administrator will keep such information confidential to the extent 
permitted by law.



Sec. 260.35  Environmental assessment.

    (a) The provision of financial assistance by the Administrator under 
this Part is subject to a variety of environmental and historic 
preservation statutes and implementing regulations including the 
National Environmental Policy Act (``NEPA'') (42 U.S.C. 4332 et seq.), 
Section 4(f) of the Department of Transportation Act (49 U.S.C. 303(c)), 
the National Historic Preservation Act (16 U.S.C. 470(f)), the Coastal 
Zone Management Act (16 U.S.C. 1451), and the Endangered Species Act (16 
U.S.C. 1531). Appropriate environmental/historic preservation 
documentation must be completed and approved by the Administrator prior 
to a decision by the Administrator on the applicant's financial 
assistance request. FRA's ``Procedures for Considering Environmental 
Impacts'' (``FRA's Environmental Procedures'') (65 FR 28545 (May 26, 
1999)) or any replacement environmental review procedures that the FRA 
may later issue and the NEPA regulation of the Council on Environmental 
Quality (``CEQ Regulation'') (40 CFR Part 1500) will govern the FRA's 
compliance with applicable environmental/historic preservation review 
requirements.
    (b) The Administrator, in cooperation with the applicant, has the 
responsibility to manage the preparation of the appropriate 
environmental document. The role of the applicant will be determined by 
the Administrator in accordance with the CEQ Regulation and 
Environmental Procedures.
    (c) Depending on the type, size and potential environmental impact 
of the project for which the applicant is seeking financial assistance, 
FRA will need to determine whether the project is categorically excluded 
from detailed environmental review under FRA's Environmental Procedures 
and, if not, to

[[Page 711]]

prepare or have prepared an Environmental Assessment leading to an 
Environmental Impact Statement (EIS) or a Finding of No Significant 
Impact. At the discretion of the Administrator, Applicants may be 
required to prepare and submit an environmental assessment of the 
proposed project or to submit adequate documentation to support a 
finding that the project is categorically excluded from detailed 
environmental review. If the applicant is a public agency that has 
statewide jurisdiction or is a local unit of government acting through a 
statewide agency, and meets the requirements of section 102(2)(D) of 
NEPA, the applicant may be requested to prepare the EIS and other 
environmental documents under the Administrator's guidance.
    (d) Applicants are strongly urged to consult with the Associate 
Administrator for Railroad Development at the earliest possible stage in 
project development in order to assure that the environmental/historic 
preservation review process can be completed in a timely manner.
    (e) Applicants may not initiate any activities that would have an 
adverse environmental impact or limit the choice of reasonable 
alternatives in advance of the completion of the environmental review 
process. This does not preclude development by applicants of plans or 
designs or performance of other work necessary to support the 
application for financial assistance.



   Subpart D--Standards for Maintenance of Facilities Involved in the 
                                 Project



Sec. 260.37  Applicability.

    This subpart prescribes standards governing the maintenance of 
facilities that are being, or have been, acquired, rehabilitated, 
improved, or constructed with the proceeds of a direct loan or a 
guaranteed loan issued under this part for the period during which any 
portion of the principal or interest of such obligation remains unpaid.



Sec. 260.39  Maintenance standards.

    (a) When the proceeds of a direct loan or an obligation guaranteed 
by the Administrator under this part are, or were, used to acquire, 
rehabilitate, improve or construct track, roadbed, and related 
structures, Borrower shall, as long as any portion of the principal or 
interest of such obligation remains unpaid, maintain such facilities in 
at least the highest track class, as defined by FRA Track Safety 
Standards in part 213 of this chapter, specified in the Application at 
which the rehabilitated, improved, acquired, or constructed track is to 
be operated upon completion of the project.
    (b) When the proceeds of a direct loan or an obligation guaranteed 
by the Administrator under this part are, or were, used for equipment or 
facilities, the Borrower shall, during the period in which any portion 
of the principal or interest in such obligation remains unpaid, maintain 
such equipment or facilities in a manner consistent with sound 
engineering and maintenance practices and in a condition that will 
permit the level of use that existed upon completion of the acquisition, 
rehabilitation, improvement or construction of such equipment or 
facilities.



Sec. 260.41  Inspection and reporting.

    (a) Equipment or facilities subject to the provisions of this 
subpart may be inspected at such times as the Administrator deems 
necessary to assure compliance with the standards set forth in 
Sec. 260.39. Each Borrower shall permit representatives of the FRA to 
enter upon its property to inspect and examine such facilities at 
reasonable times and in a reasonable manner. Such representatives shall 
be permitted to use such testing devices as the Administrator deems 
necessary to insure that the maintenance standards imposed by this 
subpart are being followed.
    (b) Each Borrower shall submit annually to the Administrator 
financial records and other documents detailing the maintenance and 
inspections performed which demonstrate that the Borrower has complied 
with the standards in Sec. 260.39.



Sec. 260.43  Impact on other laws.

    Standards issued under this subpart shall not be construed to 
relieve the Borrower of any obligation to comply with any other Federal, 
State, or local law or regulation.

[[Page 712]]



      Subpart E--Procedures To Be Followed in the Event of Default



Sec. 260.45  Events of default for guaranteed loans.

    (a) If the Borrower is more than 30 days past due on a payment or is 
in violation of any covenant or condition of the loan documents and such 
violation constitutes a default under the provisions of the loan 
documents, Lender must notify the Administrator in writing and must 
continue to submit this information to the Administrator each month 
until such time as the loan is no longer in default; and the 
Administrator will pay the Lender of the obligation, or the Lenders's 
agent, an amount equal to the past due interest on the guaranteed 
portion of the defaulted loan. This payment will in no way reduce the 
Borrower's obligation to the Lender to make all payments of principal 
and interest in accordance with the note. If the loan is brought 
current, the Lender will repay to the Agency any interest payments made 
by the Agency, plus accrued interest at the note rate.
    (b) If the default has continued for more than 90 days, the 
Administrator will pay to the Lender, or the Lender's agent, 90 percent 
of the unpaid guaranteed principal. If, subsequent to this payment being 
made, the default is cured and liquidation is no longer appropriate, the 
Lender will repay such funds to the Administrator, plus interest at the 
note rate.
    (c) After the default has continued for more than 90 days, the 
Lender shall expeditiously submit to the Administrator, in writing, its 
proposed detailed plan to resolve the default by liquidating the 
collateral or by any other means. If the resolution will require the 
liquidation of the collateral, then the Lender's plan shall include:
    (1) Proof adequate to establish that the Lender is legally in 
possession of the obligation, or is the agent for a Holder who is 
legally in possession of the obligation, and a statement of the current 
loan balance and accrued interest to date and the method of computing 
the interest;
    (2) A full and complete list of all collateral, including any 
personal and corporate guarantees;
    (3) The recommended liquidation methods for making the maximum 
collection possible and the justification for such methods, including 
recommended action for acquiring and disposing of all collateral and 
collecting from any guarantors;
    (4) Necessary steps for preservation of the collateral;
    (5) Copies of the Borrower's latest available financial statements;
    (6) Copies of any guarantor's latest available financial statements;
    (7) An itemized list of estimated liquidation expenses expected to 
be incurred along with justification for each expense;
    (8) A schedule to periodically report to the FRA on the progress of 
liquidation;
    (9) Proposed protective bid amounts on collateral to be sold at 
auction and a breakdown to show how the amounts were determined;
    (10) If a voluntary conveyance is considered, the proposed amount to 
be credited to the guaranteed debt;
    (11) Legal opinions, as appropriate;
    (12) The Lender will obtain an independent appraisal on all 
collateral securing the loan which will reflect the fair market value 
and potential liquidation value. In order to formulate a liquidation 
plan that maximizes recovery, the appraisal shall consider the presence 
of hazardous substances, petroleum products, or other environmental 
hazards, which may adversely impact the market value of the collateral; 
and
    (13) The anticipated expenses associated with the liquidation will 
be considered a cost of liquidation.
    (d) The Administrator will inform the Lender in writing whether the 
Administrator concurs in the Lender's liquidation plan. Should the 
Administrator and the Lender not agree on the liquidation plan, 
negotiations will take place between the Administrator and the Lender to 
resolve the disagreement. When the liquidation plan is approved by the 
Administrator, the Lender will proceed expeditiously with liquidation. 
The liquidation plan may be modified when conditions warrant. All 
modifications must be approved in writing by the Administrator prior to 
implementation.

[[Page 713]]

    (e) Lender will account for funds during the period of liquidation 
and will provide the Administrator with reports at least quarterly on 
the progress of liquidation including disposition of collateral, 
resulting costs, and additional procedures necessary for successful 
completion of the liquidation.
    (f) Within 30 days after final liquidation of all collateral, the 
Lender will prepare and submit to the Administrator a final report in 
which the Lender must account for all funds during the period of 
liquidation, disposition of the collateral, all costs incurred, and any 
other information necessary for the successful completion of 
liquidation. Upon receipt of the final accounting and report of loss, 
the Administrator may audit all applicable documentation to confirm the 
final loss. The Lender will make its records available and otherwise 
assist the Administrator in making any investigation.
    (g) The Administrator shall be subrogated to all the rights of the 
Lender, or if Lender is agent for a Holder then to all of the rights of 
the Holder, with respect to the Borrower to the extent of the 
Administrator's payment to the Lender under this section.
    (h) When the Administrator finds the final report to be proper in 
all respects:
    (1) All amounts recovered in liquidation shall be paid to the 
Administrator; and
    (2) The remaining obligation of the Administrator to the Lender 
under the guarantee, if any, will be paid directly to Lender by the 
Administrator.
    (i) The Administrator shall not be required to make any payment 
under paragraphs (a) and (b) of this section if the Administrator finds, 
before the expiration of the periods described in such subsections, that 
the default has been remedied.
    (j) The Administrator shall have the right to charge Borrower 
interest, penalties and administrative costs, including all of the 
United States' legally assessed or reasonably incurred expenses of its 
counsel and court costs in connection with any proceeding brought or 
threatened to enforce payment or performance under applicable loan 
documents, in accordance with OMB Circular A-129 (www.whitehouse.gov/
omb.), as it may be revised from time to time.



Sec. 260.47  Events of default for direct loans.

    (a) Upon the Borrower's failure to make a scheduled payment, or upon 
the Borrower's violation of any covenant or condition of the loan 
documents which constitutes a default under the provisions of the loan 
documents, the Administrator, at the Administrator's discretion may:
    (1) Exercise any and all remedies available under the provisions of 
the loan agreement and other loan documents, including any guarantees, 
or inherent in law or equity;
    (2) Terminate further borrowing of funds;
    (3) Take possession of assets pledged as collateral; and
    (4) Liquidate pledged collateral.
    (b) The Administrator shall have the right to charge Borrower 
interest, penalties and administrative costs, including all of the 
United States' legally assessed or reasonably incurred expenses of its 
counsel and court costs in connection with any proceeding brought or 
threatened to enforce payment or performance under applicable loan 
documents, in accordance with OMB Circular A-129, as it may be revised 
from time to time.



Sec. 260.49  Avoiding defaults.

    Borrowers are encouraged to contact the Administrator prior to the 
occurrence of an event of default to explore possible avenues for 
avoiding such an occurrence.



                   Subpart F--Loan Guarantees--Lenders



Sec. 260.51  Conditions of guarantee.

    (a) The percentage of the obligation for which Applicant seeks a 
guarantee is a matter of negotiation between the Lender and the 
Applicant, subject to the Administrator's approval. The maximum 
percentage of the total obligation that the Administrator will guarantee 
is 80 percent. The amount of guarantee allowed will depend on the total 
credit quality of the transaction and the level of risk believed to be 
assumed by the Administrator.

[[Page 714]]

    (b) A guarantee under this part constitutes an obligation supported 
by the full faith and credit of the United States and is incontestable 
except for fraud or misrepresentation of which a Lender or Holder has 
actual knowledge at the time it becomes such Lender or Holder or which a 
Lender or Holder participates in or condones. In addition, the guarantee 
will be unenforceable by the Lender or the Holder to the extent any loss 
is occasioned by the violation of usury laws, negligent servicing, or 
failure to obtain the required security regardless of the time at which 
the Administrator acquires knowledge thereof. Any losses occasioned will 
be unenforceable to the extent that loan funds are used for purposes 
other than those specifically approved by FRA in its guarantee.
    (c) The Administrator may guarantee an Applicant's obligation to any 
Lender provided such Lender can establish to the satisfaction of the 
Administrator that it has the legal authority and sufficient expertise 
and financial strength to operate a successful lending program. Loan 
guarantees will only be approved for Lenders with adequate experience 
and expertise to make, secure, service, and collect the loans.
    (d) The Lender may sell all of the guaranteed portion of the loan on 
the secondary market, provided the loan is not in default, or retain the 
entire loan.
    (e) When a guaranteed portion of a loan is sold to a Holder, the 
Holder shall succeed to all rights of the Lender under the loan 
guarantee to the extent of the portion purchased. The Lender will remain 
bound to all obligations under the loan guarantee and the provisions of 
this part. In the event of material fraud, negligence or 
misrepresentation by the Lender or the Lender's participation in or 
condoning of such material fraud, negligence or misrepresentation, the 
Lender will be liable for payments made by the Agency to any Holder.



Sec. 260.53  Lenders' functions and responsibilities.

    Lenders have the primary responsibility for the successful delivery 
of the program consistent with the policies and procedures outlined in 
this part. All Lenders obtaining or requesting a loan guarantee from the 
Administrator are responsible for:
    (a) Loan processing. Lender shall be responsible for all aspects of 
loan processing, including:
    (1) Processing applications for the loan to be guaranteed;
    (2) Developing and maintaining adequately documented loan files;
    (3) Recommending only loan proposals that are eligible and 
financially feasible;
    (4) Obtaining valid evidence of debt and collateral in accordance 
with sound lending practices;
    (5) Supervising construction, where appropriate;
    (6) Distributing loan funds;
    (7) Servicing guaranteed loans in a prudent manner, including 
liquidation if necessary; and
    (8) Obtaining the Administrator's approval or concurrence as 
required in the loan guarantee documentation;
    (b) Credit evaluation. Lender must analyze all credit factors 
associated with each proposed loan and apply its professional judgment 
to determine that the credit factors, considered in combination, ensure 
loan repayment. The Lender must have an adequate underwriting process to 
ensure that loans are reviewed by other than the originating officer. 
There must be good credit documentation procedures;
    (c) Environmental responsibilities. Lender has a responsibility to 
become familiar with Federal environmental requirements; to consider, in 
consultation with the prospective borrower, the potential environmental 
impacts of their proposals at the earliest planning stages; and to 
develop proposals that minimize the potential to adversely impact the 
environment. Lender must alert the Administrator to any controversial 
environmental issues related to a proposed project or items that may 
require extensive environmental review. Lender must assist borrowers as 
necessary to comply with the environmental requirements outlined in this 
part. Additionally, Lender will assist in the collection of additional 
data when the Agency needs such data to complete its environmental 
review of the proposal; and assist in the resolution of environmental 
problems;

[[Page 715]]

    (d) Loan closing. The Lender will conduct or arrange for loan 
closings; and
    (e) Fees and Charges. The Lender may establish charges and fees for 
the loan provided they are similar to those normally charged other 
Applicants for the same type of loan in the ordinary course of business.



Sec. 260.55  Lender's loan servicing.

    (a) The lender is responsible for servicing the entire loan and for 
taking all servicing actions that are prudent. This responsibility 
includes but is not limited to the collection of payments, obtaining 
compliance with the covenants and provisions in the loan documents, 
obtaining and analyzing financial statements, verification of tax 
payments, and insurance premiums, and maintaining liens on collateral.
    (b) The lender must report the outstanding principal and interest 
balance on each guaranteed loan semiannually.
    (c) At the Administrator's request, the Lender will periodically 
meet with the Administrator to ascertain how the guaranteed loan is 
being serviced and that the conditions and covenants of the loan 
documents are being enforced.
    (d) The Lender must obtain and forward to the Administrator the 
Borrower's annual financial statements within 120 days after the end of 
the Borrower's fiscal year and the due date of other reports as required 
by the loan documents. The Lender must analyze the financial statements 
and provide the Agency with a written summary of the Lender's analysis 
and conclusions, including trends, strengths, weaknesses, extraordinary 
transactions, and other indications of the financial condition of the 
Borrower.
    (e) Neither the Lender nor the Holder shall alter, nor approve any 
amendments of, any loan instrument without the prior written approval of 
the Administrator.



PART 261--CREDIT ASSISTANCE FOR SURFACE TRANSPORTATION PROJECTS--Table of Contents




    Authority: Secs. 1501 et seq., Pub. L. 105-178, 112 Stat. 107, 241, 
as amended; 23 U.S.C. 181-189 and 315; 49 CFR 1.49.

    Source: 64 FR 29753, June 2, 1999, unless otherwise noted.



Sec. 261.1  Cross-reference to credit assistance.

    The regulations in 49 CFR Part 80 shall be followed in complying 
with the requirements of this part. Title 49, CFR, Part 80 implements 
the Transportation Infrastructure Finance and Innovation Act of 1998, 
secs. 1501 et seq., Pub. L. 105-178, 112 Stat. 107, 241.



PART 265--NONDISCRIMINATION IN FEDERALLY ASSISTED RAILROAD PROGRAMS--Table of Contents




                           Subpart A--General

Sec.
265.1 Purpose.
265.3 Applicability.
265.5 Definitions.

                         Subpart B--Requirements

265.7 Nondiscrimination clauses.
265.9 Affirmative action program--General.
265.11 Submission of affirmative action program.
265.13 Contents of affirmative action program.
265.14 Determining the MBE status of a business.
265.14-1 Appeals of determination of MBE status.
265.15 Implementation and maintenance of affirmative action program.
265.17 Review of affirmative action program.

                          Subpart C--Compliance

265.19 Compliance information.
265.21 Conduct of investigations.
265.23 Procedures for effecting compliance.
265.25 Other information.

Appendix A to Part 265

    Authority: Sec. 905 of the Railroad Revitalization and Regulatory 
Reform Act of 1976, Pub. L. 94-210, 90 Stat. 31; regulations of the 
Office of the Secretary of Transportation, 49 CFR 1.49(u).

    Source: 42 FR 4286, Jan. 24, 1977, unless otherwise noted.



                           Subpart A--General



Sec. 265.1  Purpose.

    The purpose of this part is to effectuate the provisions of section 
905 of the Railroad Revitalization and Regulatory Reform Act of 1976 
(hereinafter

[[Page 716]]

referred to as the ``Act'') to ensure that no person in the United 
States shall on the grounds of race, color, national origin, or sex be 
excluded from participation in, or denied the benefits of, or be 
subjected to discrimination under, any project, program or activity 
funded in whole or in part through financial assistance under the Act, 
or any provision of law amended by the Act. Nothing contained in these 
regulations is intended todiminish or supersede the obligations made 
applicable by either title VI of the Civil Rights Act of 1964, (42 
U.S.C. 2000d), or Executive Order No. 11246, (42 U.S.C. 2000e (note)). 
Subsection (d) of section 905 of the Act authorizes the Secretary to 
prescribe such regulations and take such actions as are necessary to 
monitor, enforce, and affirmatively carry out the purposes of that 
section. This authority coupled with the provisions of section 906 of 
the Act, which requires the establishment of a Minority Resource Center 
which is authorized to encourage, promote and assist in the 
participation by MBE enterprises in the restructuring, improvement, 
revitalization and maintenance of our Nation's railroads, provides the 
basis for requirements for the development of affirmative action 
programs by recipients of Federal financial assistance and certain of 
their contractors to insure that minorities and MBEs are afforded ample 
consideration with respect to employment and contractual opportunities 
produced as a result of the implementation of the Act and other 
provisions of law amended by the Act.



Sec. 265.3  Applicability.

    This part applies to any project, program, or activity funded in 
whole or in part through financial assistance provided under the Act, 
and to any activity funded under any provision of the Regional Rail 
Reorganization Act of 1973, as amended (45 U.S.C. 701 et seq.) or the 
Rail Passenger Service Act, as amended (45 U.S.C. 501 et seq.) amended 
by the Act including the financial assistance programs listed in 
appendix A. It applies to contracts awarded to implement the Northeast 
Corridor Project and to financial assistance programs administered by 
the United States Railway Association.



Sec. 265.5  Definitions.

    As used in this part, unless the context indicates otherwise:
    (a) Act means the Railroad Revitalization and Regulatory Reform Act 
of 1976 (Pub. L. No. 94-210).
    (b) Administrator means the Federal Railroad Administrator or his 
delegate.
    (c) Affirmative action program means the program described in 
Sec. 265.9 through Sec. 265.15 of this part.
    (d) Agency means the Federal Railroad Administration.
    (e) Applicant means persons applying for financial assistance under 
any of the Rail Acts.
    (f) Contractor means a prime contractor or a subcontractor who will 
be paid in whole or in part directly or indirectly from financial 
assistance provided under the Rail Acts.
    (g) [Reserved]
    (h) Includes means includes but not limited to.
    (i) Minority means women, Blacks, Hispanic Americans, American 
Indians, American Eskimos, American Orientals and American Aleuts.
    (j) MBE means a business concern which is owned and controlled by a 
minority. For the purpose of this part, owned and controlled means a 
business:
    (1) Which is at least 51 per centum owned by one or more minority 
individuals; or, in the case of a publicly owned business, at least 51 
per centum of the stock of which is owned by one or more minority 
individuals; and
    (2) Whose management and daily operations are controlled by one or 
more such individuals.
    (k) MBE Resource Center means the Minority Resource Center 
established in the Department of Transportation pursuant to section 906 
of the Act.
    (l) Rail Acts means the Railroad Revitalization and Regulatory 
Reform Act of 1976, the Regional Rail Reorganization Act of 1973, as 
amended (45 U.S.C. 701 et seq.) and the Rail Passenger Service Act, as 
amended (45 U.S.C. 501 et seq.).
    (m) Recipient means a person who receives financial assistance under 
any of the Rail Acts except under section 602 of the Rail Passenger 
Service Act, as amended (45 U.S.C. 501 et seq.).

[[Page 717]]

    (n) Underutilization means the condition of having fewer minority 
employees in a particular job group or fewer awards of contracts to MBEs 
than would reasonably be expected by their availability for such jobs or 
awards.

[42 FR 4286, Jan. 24, 1977, as amended at 44 FR 36339, June 21, 1979]



                         Subpart B--Requirements



Sec. 265.7  Nondiscrimination clauses.

    (a) Each agreement for financial assistance made under any provision 
of the Rail Acts shall include, or in the case of agreements made prior 
to the effective date of this part, shall be amended to include, the 
following clauses:
    (1) As a condition to receiving Federal financial assistance under 
the Railroad Revitalization and Regulatory Reform Act of 1976 (``Act''), 
or the provisions of the Regional Rail Reorganization Act of 1973, as 
amended (45 U.S.C. 701 et seq.), or the Rail Passenger Service Act of 
1970, as amended (45 U.S.C. 501 et seq.) amended by the Act 
(collectively called, together with the Act, the ``Rail Acts''), the 
recipient hereby agrees to observe and comply with the following:
    (i) No person in the United States shall on the ground of race, 
color, national origin or sex be excluded from participation in, or 
denied the benefits of, or be subjected to discrimination under, any 
project, program, or activity funded in whole or in part through such 
assistance.
    (2) The following specific discriminatory actions are prohibited:
    (i) A recipient under any project, program or activity to which 
these clauses apply shall not, directly or through contractual or other 
arrangements, on the ground of race, color, national origin, or sex:
    (A) Deny a person any service, financial aid, or other benefit 
provided under such project, program or activity;
    (B) Provide any service, financial aid, or other benefit to a person 
which is different, or is provided in a different manner, from that 
provided to others under such project, program or activity;
    (C) Subject a person to segregation or separate treatment in any 
matter related to his receipt of any service, financial aid or other 
benefit under such project, program or activity;
    (D) Restrict a person in any way in the enjoyment of any advantage 
or privilege enjoyed by others receiving any service, financial aid or 
other benefit under such project, program or activity; or
    (E) Deny a person an opportunity to participate in such project, 
program or activity through the provision of services or otherwise or 
afford him an opportunity to do so which is different from that afforded 
others under such project, program or activity.
    (ii) A recipient, in determining the types of services, financial 
aid, or other benefits, or facilities which will be provided under any 
such project, program or activity or the class of persons to whom, or 
the situations in which such services, financial aid, other benefits, or 
facilities will be provided under any such project, program or activity, 
or the class of persons to be afforded an opportunity to participate in 
any such project, program or activity shall not, directly or through 
contractual or other arrangements, utilize criteria or methods of 
administration which have the effect of subjecting persons to 
discrimination because of their race, color, national origin, or sex, or 
have the effect of defeating or substantially impairing accomplishment 
of the objectives of the project, program or activity, with respect to 
individuals of a particular race, color, national origin or sex.
    (iii) In determining the site or location of facilities, a recipient 
shall not make selections with the purpose or effect of excluding 
persons from, de- nying them the benefits of, or subjecting them to 
discrimination under any project, program or activity to which these 
clauses apply on the grounds of race, color, national origin or sex, or 
with the purpose or effect of defeating or substantially impairing the 
accomplishment of the objectives of these clauses.
    (iv) The recipient shall not discriminate against any employee or 
applicant for employment because of race, color,

[[Page 718]]

national origin or sex. Except as otherwise required by the regulations 
or orders of the Administrator, the recipient shall take affirmative 
action to insure that applicants for employment are employed, and that 
employees are treated during employment, without regard to their race, 
color, national origin or sex. Such action shall include but not be 
limited to the following: Employment, promotion, demotion, transfer, 
recruitment or recruitment advertising, layoff or termination, rates of 
pay or other forms of compensation, and selection for training, 
including apprenticeship. The recipient agrees to post in conspicuous 
places, available to employees and applicants for employment, notices to 
be provided by the agency's representative setting forth the provisions 
of these nondiscrimination clauses. The recipient understands and agrees 
that it shall not be an excuse for the recipient's failure to provide 
affirmative actionthat the labor organizations with which the recipient 
has a collective bargaining agreement failed or refused to admit or 
qualify minorities for admission to the union, or that the provisions of 
such agreements otherwise prevent recipient from implementing its 
affirmative action program.
    (v) The recipient shall not discriminate against any business 
organization in the award of any contract because of race, color, 
national origin or sex of its employees, managers or owners. Except as 
otherwise required by the regulations or orders of the Administrator, 
the recipient shall take affirmative action to insure that business 
organizations are permitted to compete and are considered for awards of 
contracts without regard to race, color, national origin or sex.
    (3) As used in these clauses, the services, financial aid, or other 
benefits provided under a project, program, or activity receiving 
financial assistance under the Rail Acts include any service, financial 
aid, or other benefit provided in or through a facility funded through 
financial assistance provided under the Rail Acts.
    (4) The enumeration of specific forms of prohibited discrimination 
does not limit the generality of the prohibition in paragraph (a)(1)(i) 
of this section.
    (5) These clauses do not prohibit the consideration of race, color, 
national origin or sex if the purpose and effect are to remove or 
overcome the consequences of practices or impediments which have 
restricted the availability of, or participation in, recipient's 
operations or activities on the grounds of race, color, national origin 
or sex. Where prior discriminatory or other practice or usage tends, on 
the grounds of race, color, national origin or sex, to exclude 
individuals or businesses from participation in, to deny them the 
benefits of, or to subject them to discrimination under any project, 
program or activity to which these clauses apply, the recipient must 
take affirmative action to remove or overcome the effects of the prior 
discriminatory practice or usage. Even in the absence of prior 
discriminatory practice or usage to which this partapplies, the 
recipient is expected to take affirmative action to insure that no 
person is excluded from participation in or denied the benefits of the 
project, program or activity on the grounds of race, color, national 
origin or sex, and that minorities and MBEs are afforded a reasonable 
opportunity to participate in employment and procurement opportunities 
that will result from financial assistance provided under the Rail Acts.
    (6) The recipient agrees to take such actions as are necessary to 
monitor its activities and those of its contractors who will be paid in 
whole or in part with funds provided by the Rail Acts, or from 
obligations guaranteed by the Administrator pursuant to the Rail Acts, 
except obligations guaranteed under section 602 of the Rail Passenger 
Service Act, in order to carry out affirmatively the purposes of 
paragraph (a)(1) of this section, and to implement the affirmative 
action program developed and implemented pursuant to 49 CFR part 265.
    (7) The recipient shall, in all advertisements for employees, or 
solicitations for services or materials from business organizations 
placed by or on behalf of the recipient, in connection with any project, 
program or activity funded in whole or in part with financial assistance 
under the Rail Acts,

[[Page 719]]

state that all applicants for employment will receive consideration for 
employment, and all business organizations will receive consideration 
for an award of a contract, without regard to race, color, national 
origin or sex.
    (8) The recipient shall send to each labor organization or 
representative of workers with which it has a collective bargaining 
agreement or other contract or understanding a notice to be provided by 
the agency's representative, advising the labor organization or workers' 
representative of the recipient's commitments under section 905 of the 
Act, and shall post copies of the notice in conspicuous places available 
to employees and applicants for employment.
    (9) The recipient shall comply with all provisions of section 905 of 
the Act, the Civil Rights Act of 1964, any other Federal civil rights 
act, and with the rules, regulations, and orders issued under such acts.
    (10) The recipient shall furnish all information and reports 
required by the rules, regulations, and orders of the Administrator, and 
will permit access to its books, records, and accounts by the 
Administrator for purposes of investigation to ascertain compliance with 
rules, regulations, and orders referred to in paragraph (a)(9) of this 
section.
    (11) Recipient shall furnish such relevant procurement information, 
not included in its affirmative action program as may be requested by 
the MBE Resource Center. Upon the request of the recipient, the Center 
shall keep such information confidential to the extent necessary to 
protect commercial or financial information or trade secrets to the 
extent permitted by law.
    (12) In the event of the recipient's noncompliance with the 
nondiscrimination clauses of this agreement, or with the provisions of 
section 905 of the Act, the Civil Rights Act of 1964, or with any other 
Federal civil rights act, or with any rules, regulations, or orders 
issued under such acts, this contract will, after notice of such 
noncompliance, and after affording a reasonable opportunity for 
compliance, be canceled, terminated, or suspended in whole or in part 
and the recipient may be declared ineligible for further Federal 
financial assistance in accordance with procedures authorized in section 
905 of the Act, or as otherwise provided by law.
    (13) The recipient shall not enter into any contract or contract 
modification whether for the furnishing of supplies or services or for 
the use of real or personal property, including lease arrangements, or 
for construction, in connection with a project, program or activity 
which receives financial assistance under the Rail Acts with a 
contractor debarred from or who has not demonstrated eligibility for 
Federal or federally assisted contracts, and will carry out such 
sanctions and penalties for violation of this part as may be imposed 
upon contractors and subcontractors by the Administrator or any other 
authorized Federal official. The recipient shall insure that the clauses 
required by 41 CFR 60-1.46 implementing Executive Order 11246 will be 
placed in each non-exempt federally assisted construction contract.
    (14) The recipient agrees to comply with and implement the written 
affirmative action program as approved by the Administrator pursuant to 
Sec. 265.17 of title 49 CFR.
    (15) The recipient agrees to notify the Administrator promptly of 
any law suit or complaint filed against the recipient alleging 
discrimination on the basis of race, color, national origin or sex.
    (16) The recipient shall include the preceding provisions of 
paragraphs (a) (1) through (15) of this section in every contract or 
purchase order, whether for the furnishing of supplies or services or 
for the use of real or personal property, including lease arrangements, 
or for construction relating to projects, programs or activities 
financed in whole or in part under the Rail Acts. The recipient shall 
cause each such contractor or vendor to include the provisions of 
paragraphs (a) (1) through (15) of this section in every subcontract. 
The recipient will take such action with respect to any such contract or 
purchase order as the Administrator may direct as a means of enforcing 
such provisions including sanctions for noncompliance; provided, 
however, that in the event the recipient becomes

[[Page 720]]

involved in, or is threatened with, litigation with a contractor or 
vendor as a result of such direction by the Administrator, the recipient 
may request the United States to enter into such litigation.



Sec. 265.9  Affirmative action program--General.

    Recipients of financial assistance under the Rail Acts and their 
contractors, as specified herein, shall develop and maintain an 
affirmative action program to insure that persons and businesses are not 
discriminated against because of race, color, national origin or sex in 
programs, projects and activities financed in whole or in part through 
financial assistance provided under the Rail Acts, and that minorities 
and MBEs receive a fair proportion of employment and contractual 
opportunities which will result from such programs, projects and 
activities.



Sec. 265.11  Submission of affirmative action program.

    (a) Each application for financial assistance under any of the Rail 
Acts shall, as a condition to its approval and the extension of any 
financial assistance pursuant to the application, contain or be 
accompanied by two copies of a written affirmative action program for 
review by and approval of the Administrator. Recipients that have 
already entered into an agreement or other arrangement providing for 
such assistance shall, within 60 days after the effective date of this 
part, develop and submit to the Administrator two copies of a written 
affirmative action program for review by and approval of the 
Administrator and thereafter maintain such program.
    (b)(1) Beginning 30 days after the effective date of this part, and 
until 120 days after such date, each recipient shall require any 
contractor, as a condition to an award of a contract, for $50,000 or 
more for services or products on a project receiving federal financial 
assistance under a program covered by section 905 of the Act:
    (i) To furnish to the recipient a written assurance that it will, 
within 90 days after the date of the award, develop and maintain a 
written affirmative action program meeting the requirements of this part 
for the project, program or activity covered by the contract,
    (ii) To require each of its subcontractors receiving an award of a 
subcontract for $50,000 or more within 120 days after the effective date 
of this part, to furnish to the contractor as a condition to such an 
award the written assurance described in paragraph (b)(1)(i) of this 
section.
    (2) Beginning 120 days after the effective date of this part, each 
recipient shall require as a condition to the award of a contract or 
subcontract of $50,000 or more that the contractor or subcontractor 
furnish a certificate to the recipient or contractor as appropriate that 
a written affirmative action program meeting the requirements of this 
part has been developed and is being maintained.
    (3) Notwithstanding paragraphs (b) (1) and (2) of this section, each 
contractor or subcontractor having a contract or $50,000 or more but 
less than 50 employees shall be required to develop and maintain a 
written affirmative action program only for contracts in accordance with 
Sec. 265.13(c) of this part.
    (4) A recipient or contractor shall not procure supplies or services 
in less than usual quantities or in a manner which is intended to have 
the effect of avoiding the applicability of this paragraph.



Sec. 265.13  Contents of affirmative action program.

    (a) General. A prerequisite to the development of a satisfactory 
affirmative action program is the identification and analysis of problem 
areas inherent in minority employment and utilization of MBEs, and an 
evaluation of opportunities for utilization of minority group personnel 
and MBEs. Therefore, an affirmative action program to guarantee 
employment and contractual opportunities shall provide for specific 
actions keyed to the problems and needs of minority persons and MBEs 
including, where there are deficiencies based on past practices, and 
with respect to future plans for hiring and promoting employees or 
awarding contracts, the development of specific goals and timetables for 
the prompt achievement and maintenance of full

[[Page 721]]

opportunities for minority persons and MBEs with respect to programs, 
projects and activities subject to this part.
    (b) Employment practices. (1) The affirmative action program for 
employment showing the level of utilization of minority employees, and 
establishing a plan to insure representative opportunities for 
employment for minority persons shall be developed in accordance with 
the regulations of the Department of Labor at 41 CFR 60-2.
    (2) Railroad applicants or recipients shall develop their program 
for each establishment in their organization and by job categories in 
accordance with the requirements of the Joint Reporting Committee of the 
Equal Employment Opportunity Commission and the Department of Labor. 
Other applicants, recipients or contractors may use any program format 
or organization which has been approved for use by other Federal 
agencies enforcing equal opportunity laws.
    (3) The affirmative action program shall show the source of 
statistical data used.
    (4) The affirmative action program shall include a listing by job 
category of all jobs which may be established or filled by the 
applicant, recipient or contractor as a result of the project, program 
or activity funded by federal financial assistance under the Rail Acts 
for the first five years of such project, program or activity or the 
period during which such project, program or activity will be 
undertaken, whichever is the lesser (``program period'').
    (5) The affirmative action program shall set forth in detail a plan 
to insure that with respect to the project, program or activity financed 
in whole or in part through financial assistance under the Rail Acts, 
minority persons have an opportunity to participate in employment in 
proportion to the percentage of the minority work force in the area 
where the applicant's, recipient's or contractor's operations are 
located as compared to the total work force, and that such minority 
persons have an equal opportunity for promotion or upgrading. Where 
appropriate because of prior underutilization of minority employees, the 
program shall establish specific goals and timetables to utilize 
minority employees in such projects, programs or activities in the 
above-mentioned proportion.
    (c) Contracts. (1) The affirmative action program shall include 
details of proposed contracts in excess of $10,000 to be awarded in 
connection with projects, programs and activities funded in whole or in 
part through financial assistance under the Rail Acts, including 
contracts for professional and financial services, for the program 
period. The details shall include a description of the services or 
products which will be sought including estimated quantities, the 
location where the services are to be provided, the manner in which 
proposals will be solicited (e.g., cost plus fixed fee, fixed price), 
the manner in which contracts will be awarded (e.g., competitive or sole 
source). The plan shall also give details as to bidding procedures, and 
information as to other qualifications for doing business with the 
applicant, recipient or contractor. Upon request by the applicant, 
recipient or contractor, any information submitted to the Administrator 
shall be kept confidential to the extent permitted by law.
    (2) The affirmative action program shall review the procurement 
practices of the applicant, recipient or contractor for the full year 
preceding the date of the submission of the affirmative action program 
and evaluate the utilization of MBE in its procurement activities. Such 
evaluation of utilization of MBEs shall include the following:
    (i) An analysis of awards of contracts to MBEs during such year 
describing the nature of goods and services purchased and the dollar 
amount involved; and
    (ii) A comparison of the percentage of awards of contracts to MBEs 
(by number of contracts and by total dollar amount involved) to the 
total procurement activity of the applicant, recipient or contractor for 
said year.
    (3) The affirmative action program shall set forth in detail 
applicant's, recipient's or contractor's plan to insure that MBEs are 
afforded a fair and representative opportunity to do business with 
applicant, recipient or contractor

[[Page 722]]

(both in terms of number of contracts and dollar amount involved) for 
the program period. Such plan shall identify specific actions to be 
taken to:
    (i) Designate a liaison officer who will administer the MBE program;
    (ii) Provide for adequate and timely consideration of the 
availability and potential of MBEs in all procurement decisions;
    (iii) Assure that MBEs will have an equitable opportunity to compete 
for contracts, by arranging solicitation time for the preparation of 
bids, quantities, specifications, and delivery schedules so as to 
facilitate the participation of MBEs and by assisting MBEs who are 
potential contractors in preparing bid materials and in obtaining and 
maintaining suitable bonding coverage in those instances where bonds are 
required;
    (iv) Maintain records showing that the policies set forth in this 
part are being complied with;
    (v) Submit quarterly reports of the records referred to in paragraph 
(c)(3)(iv) of this section in such form and manner as the Administrator 
may prescribe; and
    (vi) Where appropriate because of prior underutilization of MBEs, 
establish specific goals and timetables to utilize MBEs in the 
performance of contracts awarded.
    (d) Successor organizations. Where applicant, recipient or 
contractor is a successor organization, its affirmative action program 
shall review the hiring and procurement practices of its predecessor 
organization or organizations.



Sec. 265.14  Determining the MBE status of a business.

    FRA or a recipient may, on the basis of available information, 
determine that a business is not an MBE within the meaning of this part. 
This determination shall be final, except as provided in Sec. 265.14-1, 
for that contract and other contracts being let by that contracting 
agency at the time of the determination. Businesses may correct 
deficiencies in their ownership and control and apply as MBEs only for 
future contracts.

[44 FR 36339, June 21, 1979]



Sec. 265.14-1  Appeals of determination of MBE status.

    (a) Filing. Any firm who believes that it has been wrongly 
determined not to be an MBE under Sec. 265.14 by the FRA or a recipient 
may file an appeal in writing with the Administrator. The appeal shall 
be filed no later than 30 days after the date of the determination. The 
Administrator may extend the time for filing or waive the time limit in 
the interest of justice, specifying in writing the reasons for so doing. 
Third parties who have reason to believe that a business has been 
wrongly denied or granted status as an MBE may advise the Administrator. 
This information is not considered an appeal pursuant to this section.
    (b) Decision to investigate. The Administrator ensures that a prompt 
investigation is made of those cases with investigative merit (except 
those being reviewed on the merits by the Comptroller General), pursuant 
to prescribed DOT Title VI (49 CFR part 21) investigation procedures.
    (c) Status during the investigation. The Administrator may deny the 
business in question eligibility to participate as an MBE in direct or 
FRA-assisted contracts let during the pendancy of the investigation, 
after providing the business in question an opportunity to show cause by 
written statement to the Administrator why this should not occur.
    (d) Cooperation in investigation. All parties shall cooperate fully 
with the investigation. Failure or refusal to furnish relevant 
information or other failure to cooperate is a violation of this part.
    (e) Determinations. The Administrator will make one of the following 
determinations and so inform the business in writing of the reasons for 
the determination:
    (1) The business is considered to be an MBE within the meaning of 
this part; or
    (2) The business is not considered to be an MBE within the meaning 
of this part and is denied eligibility to participate as an MBE in any 
direct or FRA-assisted contract until a further determination is made by 
FRA that the

[[Page 723]]

business is an MBE within the meaning of this part.

[44 FR 36339, June 21, 1979]



Sec. 265.15  Implementation and maintenance of affirmative action program.

    The affirmative action program with respect to employment and 
procurement practices shall set forth in detail applicant's recipient's 
or contractor's program to implement and maintain its recommended action 
program to insure that persons and businesses are not discriminated 
against because of race, color, national origin or sex, and that 
minorities and MBEs have equal employment and contractual opportunities 
with applicant, recipient or contractor. In developing its maintenance 
program for employment, applicants, recipients and contractors shall 
follow the applicable regulations of the Department of Labor 
implementing Executive Order 11246 at 41 CFR 60-2, subpart C, which 
provisions may also be helpful in implementing and maintaining 
applicant's recipient's or contractor's procurement program.



Sec. 265.17  Review of affirmative action program.

    (a) Except as provided for contractors and subcontractors in 
Sec. 265.11(b), each affirmative action program to be acceptable must 
have the written approval of the Administrator.
    (b) The Administrator recognizes that there may be some exceptional 
situations where the requirements of Sec. 265.13 through Sec. 265.15 may 
not fulfill the affirmative action objectives sought or that those 
objectives may be better achieved through modified or different 
requirements. Accordingly, the applicant, recipient or contractor may 
request approval for modified or different requirements that embody the 
objectives of Secs. 265.13 through 265.15. Such a request must include 
detailed showings that the particular situation is exceptional and that 
the modified or different proposals substantially comply with the 
objectives of this part. If the Administrator determines that the 
requirements for a detailed justification have been met, he may waive or 
modify these requirements or impose different requirements as he deems 
necessary to further the objectives sought herein.



                          Subpart C--Compliance



Sec. 265.19  Compliance information.

    (a) Each recipient and contractor shall keep such records and submit 
to the Administrator complete and accurate reports, at such times, and 
in such form, and containing such information as the Administrator may 
determine to be necessary to enable him to ascertain whether the 
recipient or contractor has complied or is complying with this part. 
These records shall show in connection with the project, program or 
activity funded in whole or in part through financial assistance under 
the Rail Acts:
    (1) Procedures which have been adopted to comply with the policies 
set forth in this part, including the establishment of a source list of 
MBEs;
    (2) Specific efforts to identify and award contracts to MBEs; and
    (3) Awards to MBEs on the source list required in paragraph (a)(1) 
of this section.
    (b) Each recipient and contractor shall permit access by the 
Administrator during normal business hours to such of its books, 
records, accounts and other sources of information and its facilities as 
may in the opinion of the Administrator be necessary to ascertain 
compliance with this part.
    (c) Each recipient and contractor shall make available to 
participants, beneficiaries and other interested persons, such 
information regarding the provisions of this part and the applicability 
to the program, project or activity under which the recipient received 
financial assistance from the Rail Acts or under which the contractor is 
awarded a contract and make such information available to them in such 
manner as the Administrator finds necessary to apprise such persons of 
the protections against discrimination assured them by the Act and this 
part.



Sec. 265.21  Conduct of investigations.

    (a) The Administrator shall from time to time review the practices 
of recipients and contractors to determine whether they are complying 
with this part. The Administrator shall to the

[[Page 724]]

fullest extent practicable seek the cooperation of recipients and 
contractors in obtaining compliance with this part and shall provide 
assistance and guidance to recipients and contractors to help them 
comply voluntarily with this part. As required by Sec. 265.7(a)(6) of 
this part recipients and contractors shall from time to time review the 
practices of their contractors and subcontractors to determine whether 
they are complying with this part.
    (b) Any person who believes himself or herself or any other person 
to be subjected to discrimination prohibited by this part, may file with 
the Administrator a written complaint. A complaint must be filed not 
later than sixty (60) days after the date complainant discovers the 
alleged discrimination, unless the time for filing is extended by the 
Administrator.
    (c) The Administrator will make a prompt investigation in cases 
where a compliance review, report, complaint or other information 
indicates a possible failure to comply with this part.
    (d)(1) If an investigation pursuant to paragraph (c) of this section 
indicates a failure to comply with this part, the Administrator shall 
within ten (10) days after such determination so inform the recipient or 
contractor in writing of the specific grounds for alleging noncompliance 
and the matter shall be resolved by informal means whenever possible. 
The notice shall provide that, if it has been determined that the matter 
is not resolved by informal means within thirty (30) days after the 
delivery of the notice, action will be taken as provided for in 
Sec. 265.23.
    (2) If an investigation does not warrant action pursuant to 
paragraph (d)(1) of this section, the Administrator shall within ten 
(10) days after such determination so inform the recipient, or 
contractor and the complainant, if any, in writing.
    (e) No recipient, contractor or other person shall intimidate, 
threaten, coerce or discriminate against any individual for the purpose 
of interfering with any right or privilege secured by section 905 of the 
Act or this part, or because he or she made a complaint, testified, 
assisted or participated in any manner in an investigation, proceeding 
or hearing under this part. The identity of complainants shall be kept 
confidential at their election during the conduct of any investigation, 
proceeding or hearing under this part. But when such confidentiality is 
likely to hinder the investigation the complainant will be advised for 
the purpose of waiving the privilege.



Sec. 265.23  Procedures for effecting compliance.

    (a) Whenever the Administrator determines that any recipient, or 
contractor has failed to comply with the provisions of this part, or 
with any Federal civil rights statute, or with any order or regulation 
issued under such a statute, and such failure has not been resolved by 
informal means pursuant to Sec. 265.21 of this part, the Administrator 
shall within ten (10) days after such determination notify such 
recipient or contractor, and the appropriate labor organization if the 
matter may appear to affect a person who is covered by a collective 
bargaining agreement, in writing of the specific grounds for alleging 
noncompliance, and the right of such persons to respond to such 
determination in writing or to request an informal hearing. Where the 
Administrator determines that substantial noncompliance exists and it is 
unlikely that compliance will be obtained, or that lack of good 
faithexists, or that other good cause exists, he may order that further 
financial assistance be suspended in whole or in part pending a final 
decision in the matter. Subject to the provisions of paragraphs (b) 
through (e) of this section, the recipient or contractor shall have 
sixty (60) days from the date of delivery of the notice within which to 
comply. The recipient or contractor may be entitled to additional time 
if it is demonstrated that compliance is not possible within the sixty 
day period and that the necessary initial curative actions were 
undertaken promptly and have been diligently prosecuted toward 
completion. The Administrator shall specify the last day upon which 
curative action must be completed to his satisfaction. Unless the 
Administrator determines that compliance cannot be reasonably attained, 
failure to take curative action shall be grounds for the Administrator 
to:

[[Page 725]]

    (1) Direct that no further Federal financial assistance be provided 
to the recipient;
    (2) Refer the matter to the Attorney General with a recommendation 
that an appropriate civil action be instituted;
    (3) Exercise the powers and functions provided by title VI of the 
Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.); or
    (4) Take such other actions as may be provided by law or this part.
    (b) Persons receiving notification and a directive pursuant to 
paragraph (a) of this section may within thirty (30) days after receipt 
respond to the notice in writing in lieu of requesting an informal 
hearing as specified in paragraph (c) of this section. The Administrator 
will make a determination as to compliance within thirty (30) days after 
receipt of such written response, and advise the person in writing of 
his determination. If the Administrator determines that compliance is 
reasonably attainable and that such person has failed to comply with the 
provisions of this part or with his determination within 30 days after 
receipt of his determination, the Administrator shall pursue the 
remedies set forth in the last sentence of paragraph (a) of this 
section.
    (c) Persons receiving notification and a directive pursuant to 
paragraph (a) of this section may within ten (10) days after receipt 
request an informal hearing in lieu of filing a written response as 
specified in paragraph (b) of this section. The Administrator may, in 
his discretion, grant a request for an informal hearing for the purpose 
of inquiring into the status of compliance of such person. The 
Administrator will advise persons subject to his directive in writing as 
to the time and place of the informal hearings and may direct such 
persons to bring specific documents and records, or furnish other 
relevant information concerning their compliance status. When so 
requested, such person shall attend and bring the requested information. 
The time and place so fixed shall be reasonable and shall be subject to 
change for cause. The complainant, if any, shall be advised of the time 
and place of the hearing. The failure of such person to request a 
hearing or to appear at a hearing for which a date has been set shall be 
deemed to be a consent to the applicability of the procedures set forth 
in paragraph (a) of this section.
    (d) The hearing shall be conducted by a hearing officer appointed by 
the Administrator. Such hearings shall commence within twenty (20) days 
from the date the hearing is granted and shall be concluded no later 
than thirty (30) days from the commencement date. Parties to informal 
hearings may be represented by counsel or other authorized 
representative and shall have a fair opportunity to present any relevant 
material. Formal rules of evidence will not apply to such proceedings.
    (e) Decisions and notices. (1) Within ten (10) days after the 
conclusion of such hearings, the hearing officer will advise the 
Administrator, in writing, of his views and recommendations as to 
compliance with this part and a copy of such decision shall be sent by 
registered mail, return receipt requested, to the recipient or 
contractor and participating labor organization. If the hearing officer 
in his decision determines that the recipient or contractor is in 
noncompliance with this part, he may, if he determines that it is 
unlikely that compliance will be obtained, or that a lack of good faith 
exists, or for other good cause, order that further financial assistance 
be suspended in whole or in part, pending a decision by the 
Administrator in the matter.
    (2) The recipient, contractor or labor organization may file 
exceptions to the hearing officer's decision, with his reasons therefor, 
with the Administrator within thirty (30) days of receipt of the initial 
decision. Within twenty (20) days, after the time for filing exceptions, 
the Administrator shall determine, in writing, whether or not the 
parties involved are in compliance with this part. A copy of the 
Administrator's decision will be given to the recipient, contractor, 
labor organization, if appropriate, and to the complainant, if any.
    (3) If the Administrator determines that compliance can reasonably 
be attained, his decision shall provide that

[[Page 726]]

if such person fails or refuses to comply with the decision of the 
Administrator within thirty (30) days after receipt of the decision, the 
Administrator shall:
    (i) Direct that no further Federal assistance be provided to such a 
person;
    (ii) Refer the matter to the Attorney General with a recommendation 
that an appropriate civil action be instituted;
    (iii) Exercise the powers and functions provided by title VI of the 
Civil Rights Act of 1964; and/or
    (iv) Take such other actions as may be provided by law or this part.
    (4) A recipient or contractor adversely affected by a decision of 
the Administrator issued under paragraph (a) or (b) of this section 
shall be restored to full eligibility to receive Federal assistance or 
award of a federally assisted contract if the recipient or contractor 
takes complete curative action to eliminate the noncompliance with this 
part and if the recipient or contractor provides reasonable assurance 
that the recipient or contractor will fully comply with this part.



Sec. 265.25  Other information.

    (a) Each person required to submit a written affirmative action 
program pursuant to this part shall include as an appendix thereto, the 
following information except to the extent such information is already 
provided as part of the application for financial assistance;
    (1) A brief description of other pending applications to other 
federal agencies for financial assistance, and of federal assistance 
being provided at the time of submission of the affirmative action 
program;
    (2) A statement of any civil rights compliance reviews regarding 
applicant or recipient conducted in the two year period before the 
application, or affirmative action program; the name of the agency or 
organization performing the review, and the findings of the review;
    (3) Where the project, program or activity receiving financial 
assistance will require the relocation of persons and businesses, a 
description of the requirements and steps used or proposed to guard 
against unnecessary impact on persons on the basis of race, color, or 
national origin;
    (4) Where the project, program or activity receiving financial 
assistance will result in the construction of new facilities or 
expansion of existing facilities, a description of the requirements and 
steps used or proposed to guard against unnecessary impact on persons on 
the basis of race, color or national origin;
    (5) Where paragraphs (a) (3) and (4) of this section are applicable, 
additional data such as demographic maps, racial composition of affected 
neighborhoods, or census data should be provided where necessary or 
appropriate to evaluate the impact of projects, programs and activities 
referred to in paragraphs (a) (3) and (4) of this section.

                         Appendix A to Part 265

    The following are the financial assistance programs to which this 
part applies:
    (a) Railroad Revitalization and Regulatory Reform Act of 1976, (1) 
purchase of redeemable preference shares or trustee certificates 
pursuant to section 505;
    (2) Guarantee of obligations, the proceeds of which will be used to 
acquire, or rehabilitate or improve rail facilities, or equipment, 
pursuant to section 511; and
    (3) Grants and contracts made to implement the Northeast Corridor 
project under section 704.
    (b) Regional Rail Reorganization Act of 1973, as amended, (1) loans 
made by the United States Railway Association (USRA) pursuant to section 
211;
    (2) Purchase of securities of the Consolidated Rail Corporation 
pursuant to section 216; and
    (3) Grants to States, or local or regional authorities for rail 
continuation assistance under section 402.
    (c) Department of Transportation Act, (1) grants to States for rail 
freight assistance programs under section 5 (sec. 803 of the Railroad 
Revitalization and Regulatory Reform Act of 1976); and
    (2) Grants under section 4(i) for the planning, preservation and 
conversion of rail passenger terminals of historical or architectural 
significance.
    (d) Rail Passenger Service Act, (1) grants to Amtrak under section 
601.

[[Page 727]]



PART 266--ASSISTANCE TO STATES FOR LOCAL RAIL SERVICE UNDER SECTION 5 OF THE DEPARTMENT OF TRANSPORTATION ACT--Table of Contents




Sec.
266.1 Definitions.
266.3 Rail Service Assistance Program.
266.5 State eligibility.
266.7 Project eligibility.
266.9 Federal/State share.
266.11 Allowable costs.
266.13 Distribution of funds.
266.15 Requirements for State Rail Plan.
266.17 Applications.
266.19 Environmental impact.
266.21 Grant agreement and disbursement.
266.23 Record, audit, and examination.
266.25 Waivers and modifications.

    Authority: Sec. 5 of the Department of Transportation Act (49 U.S.C. 
1654), as amended by the Local Rail Service Assistance Act of 1978, Pub. 
L. 95-607, 92 Stat. 3059.

    Source: 44 FR 51129, Aug. 30, 1979, unless otherwise noted.



Sec. 266.1  Definitions.

    As used in this part:
    Acquisition assistance means funds granted to a State under section 
5(f)(2) of the Department of Transportation Act (49 U.S.C. 1654(f)(2)) 
to cover the cost of acquiring by purchase, lease, or in such other 
manner as the State considers appropriate, a line of railroad or other 
rail properties, or any interest therein for existing or future rail 
freight service.
    Act means the Department of Transportation Act (49 U.S.C. 1650 et 
seq.).
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Cash means an outlay of funds.
    Commission means the Interstate Commerce Commission or any successor 
Federal agency to the relevant activity.
    Common carrier means a person providing railroad transportation for 
compensation who is subject to the jurisdiction of the Commission under 
subchapter I of chapter 105 of title 49 of the U.S.C.
    Designated State Agency means the State agency designated under 
section 5(j)(2) of the Act (49 U.S.C. 1654(j)(2)).
    Entitlement means the amount of assistance which a State is eligible 
to receive annually under section 5(h) of the Act (49 U.S.C. 1654(h)).
    Equipment means rolling stock of the kind generally used by American 
railroads in revenue freight service.
    Facilities means track, ties, roadbed and related structures 
including terminals, team tracks and appurtenances, bridges and tunnels, 
and other structures used or usable for rail service operations.
    FRA means the Federal Railroad Administration.
    Federal Share means the contribution by the Administrator under 
section 5(g) of the Act (49 U.S.C. 1654(g)) to a State's rail service 
assistance program.
    Final System Plan means the plan approved by the Congress under 
section 208 of the Regional Rail Reorganization Act of 1973 (45 U.S.C. 
718).
    Gross ton miles per mile means the combined weight of locomotives 
and all trailing cars and their contents used in revenue freight trains 
multiplied by the number of route miles traveled and divided by the 
number of route miles of the line.
    Line means a line of railroad.
    Maintenance means inspection and light repairs, emergency repairs 
and a planned program of periodic maintenance which is necessary to keep 
a line at its existing condition or to comply with FRA Class 1 Safety 
Standards.
    Planning assistance means funds granted to a State under section 
5(i) of the Act (49 U.S.C. 1654(i)) to meet the cost of establishing 
(including developing a planning application), implementing, revising, 
and updating the State Rail Plan required by section 5(j) of the Act (49 
U.S.C. 1654(j)).
    Planning Work Program means that portion of a State's planning 
application which outlines the State's plan for establishing, 
implementing, revising, or updating a State Rail Plan which meets the 
requirements of section 5(i) of the Act, (49 U.S.C. 1654(i)).
    Program operation assistance means funds granted to a State to cover 
those administrative costs allowable under Federal Management Circular 
74-4.
    Rail Act means the Regional Rail Reorganization Act of 1973 (45 
U.S.C. 701 et seq.).

[[Page 728]]

    Rail banking means the acquisition of an interest in a rail right-
of-way sufficient to ensure its preservation for future rail freight 
service.
    Rail facility construction assistance means funds granted to a State 
under section 5(f)(5) of the Act (49 U.S.C. 1654(f)(5)) to cover the 
cost of constructing rail or rail related facilities (including new 
connections between two or more existing lines, intermodal freight 
terminals, sidings, and relocation of existing lines) for the purpose of 
improving the quality and efficiency of rail freight service.
    Rail service continuation assistance means funds granted to a State 
under section 5(f)(1) of the Act (49 U.S.C. 1654(f)(1)) to cover rail 
service continuation payments for the difference between the revenue 
attributable to a line of railroad and the avoidable costs of providing 
rail service on that line, together with a reasonable return on the 
value of the line and other rail properties related to that line, all as 
determined in accordance with 49 CFR part 1121 with the following 
exceptions:
    (1) Where service was eligible to be subsidized under section 
402(c)(2) (A) and (B) of the Rail Act, rail service continuation 
assistance means funds for payments determined in accordance with 49 CFR 
part 1125; and
    (2) Where service was eligible to be subsidized under section 
402(c)(2)(C) of the Rail Act, rail service continuation assistance means 
funds for payments calculated, to the greatest extent possible, in a 
manner consistent with 49 CFR part 1121.
    Rehabilitation or improvement assistance means funds granted to a 
State under section 5(f)(3) of the Act (49 U.S.C. 1654(f)(3)) to cover 
the cost of replacing or upgrading, to the extent necessary to permit 
adequate and efficient rail freight service, facilities needed to 
provide service on a line.
    Relocation costs means actual expenses directly incurred in moving 
shippers from a line to a new location.
    State means any State or the District of Columbia in which a common 
carrier maintains any line.
    State Rail Plan means the current plan, including all updates, 
revisions, and amendments required by section 5(j)(1) of the Act (49 
U.S.C. 1654(j)(1)).
    Substitute service assistance means funds granted to a State under 
section 5(f)(4) of the Act (49 U.S.C. 1654(f)(4)) to cover the cost of 
reducing the costs of lost rail service in a manner less expensive than 
continuing rail service and includes (but is not limited to) the 
acquisition, construction, or improvement of facilities for the 
provision of substitute freight transportation services and relocation 
costs.



Sec. 266.3  Rail Service Assistance Program.

    (a) Scope of the program. The Rail Service Assistance Program 
includes:
    (1) Rail service continuation assistance;
    (2) Acquisition assistance;
    (3) Rehabilitation or improvement assistance;
    (4) Substitute service assistance;
    (5) Rail facility construction assistance;
    (6) Planning assistance; and
    (7) Program operations assistance.
    (b) Special limitations on planning assistance and program operation 
assistance. (1) A State is eligible to receive up to $100,000, or 5 
percent of its entitlement, whichever is greater, as planning 
assistance; and
    (2) A State is eligible to receive up to 5 percent of the total 
amount of funds granted to it each fiscal year under paragraphs (a)(1) 
to (5) of this section as program operation assistance.



Sec. 266.5  State eligibility.

    (a) General eligibility requirements under the rail service 
assistance program. A State is eligible for assistance if:
    (1) The State has certified pursuant to section 5(j)(4) of the Act 
that it has or will adopt and maintain adequate procedures for financial 
control, accounting and performance evaluation in order to assure proper 
use of Federal funds;
    (2) For purpose of establishing a State Rail Plan, the State has 
submitted, in accordance with Sec. 266.17(e) of this part, a planning 
application; and
    (3) For any other assistance,
    (i) The State has established an adequate plan for rail services in 
the State which (A) meets the requirements of Sec. 266.15 of this part; 
(B) is part of an

[[Page 729]]

overall planning process for all transportation services in the State; 
(C) includes a suitable procedure for updating, revising, and amending 
such plan; and (D) as updated, revised, or amended has been approved by 
the Administrator;
    (ii) Such State Rail Plan (A) is administered or coordinated by a 
designated State agency; (B) provides for the equitable distribution of 
resources; and (C) includes a methodology for determining the ratio of 
benefits to costs of projects for which acquisition assistance, 
rehabilitation or improvement assistance, substitute service assistance, 
and rail facility construction assistance is sought;
    (iii) The State agency:
    (A) Has authority and administrative jurisdiction to develop, 
promote, supervise, and support safe, adequate, and efficient rail 
transportation services;
    (B) Employs or will employ, directly or indirectly, sufficient 
trained and qualified personnel;
    (C) Maintains or will maintain adequate programs of investigation, 
research, promotion, and development with provision for public 
participation; and
    (D) Is designated and directed solely or in cooperation with other 
State agencies to take all practicable steps to improve transportation 
safety and to reduce transportation-related energy utilization and 
pollution; and
    (iv) The State undertakes to immediately notify the Administrator of 
any changes in conditions which might affect its compliance with this 
section.



Sec. 266.7  Project eligibility.

    (a) Rail service continuation assistance, acquisition assistance and 
substitute service assistance. A project is eligible for assistance 
under Sec. 266.3(a) (1), (2), and (4) of this part, respectively, if:
    (1) The Commission pursuant to 49 U.S.C. 10903 has found since 
February 5, 1976, that the public convenience and necessity permit the 
abandonment and discontinuance of rail service on the line related to 
the project, except that any such line or related project eligible prior 
to October 1, 1978, is eligible only until September 30, 1981 and any 
such line eligible for rail service continuation assistance shall 
receive such assistance for no more than 36 months after October 1, 
1978;
    (2) The line related to the project was eligible for assistance 
under section 402 of the Rail Act (45 U.S.C. 762), except that any such 
line or related project is eligible only until September 30, 1981; or
    (3) For purposes of acquisition assistance, the line related to the 
project is listed for possible inclusion in a rail bank in Part III, 
Section C of the Final System Plan.
    (b) Rehabilitation and improvement assistance and rail facility 
construction assistance. A project is eligible for assistance under 
Sec. 266.3(a) (3) and (5) of this part, respectively, if:
    (1)(i) The Commission has not made a finding that the public 
convenience and necessity would require or permit abandonment or 
discontinuance of rail service on the line related to the project;
    (ii) Any pending application for a certificate of abandonment or 
discontinuance of rail service on the line related to the project is 
withdrawn within a reasonable period (as determined by the 
Administrator) following the execution of the grant agreement and before 
Federal funds are disbursed for the project; and
    (iii)(A) The line related to the project is certified by the 
railroad as having carried three million gross ton miles per mile or 
less during the prior year; or
    (B) The line related to the project is certified by the railroad in 
a written statement which identifies the name of the line, the State or 
States in which it is located, its length, termini, and termini mile 
posts as having carried between three and five million gross ton miles 
per mile during the prior year, and the Administrator has determined 
that the project is consistent with proposals made under the authority 
of subsections 5 (a) through (e) of the Act (49 U.S.C. 1654 (a)-(e));
    (2)(i) An application for a certificate of abandonment or 
discontinuance of rail service on the line related to the project has 
been filed with the Commission during the period February 5, 1976 
through December 31, 1978, whether or not such application has been 
granted; or

[[Page 730]]

    (ii) During the period February 5, 1976, through December 31, 1978, 
the Commission has found that the public convenience and necessity would 
require or permit abandonment or discontinuance of rail service on the 
line related to the project irrespective of when the application was 
filed;
    (3) The line related to the project is listed for possible inclusion 
in a rail bank in Part III, Section C of the Final System Plan; or
    (4) The line related to the project was eligible to be acquired 
under section 402(c)(3) of the Rail Act (45 U.S.C. 762(c)(3)).
    (c) Projects eligible under paragraphs (b)(2), (b)(3), and (b)(4), 
of this section are eligible only until September 30, 1981. Projects 
initially eligible under paragraph (b)(2) of this section, may 
subsequently become eligible under paragraph (b)(1) of this section, if 
the Commission issues a new certificate of public convenience and 
necessity with respect to the line related to the project.



Sec. 266.9  Federal/State share.

    (a) Federal share. The Federal share of allowable costs under the 
Rail Service Assistance Program is 80 percent, with the exception that 
the Federal share of payments to be covered by rail service continuation 
assistance shall be 70 percent for any third twelve month period which 
begins on or after October 1, 1980 that such assistance is provided.
    (b) State share-general. The State share of allowable costs under 
the Rail Service Assistance Program shall be provided either in cash or 
through eligible in-kind benefits which would not otherwise have been 
provided. When more than the required State share is provided during the 
Federal fiscal year beginning October 1, 1978, or thereafter, the amount 
in excess of the required State share may be carried forward to 
subsequent fiscal years. The State share of allowable costs under the 
Rail Service Assistance Program may not be satisfied directly or 
indirectly by any Federal funds unless the funds are provided through a 
Federal program which specifically authorizes the use of such funds to 
satisfy the non-Federal share of a Federally subsidized program.
    (c) In-kind benefits--(1) Eligible types of benefits and their 
valuation. The following types of in-kind benefits are eligible when 
they are provided for projects eligible under Sec. 266.7 of this part 
(whether or not Federal assistance is requested for the projects) or 
they are activities which would be eligible for planning and program 
operation assistance. Eligible in-kind benefits are valued as follows:
    (i) The value of forgiven taxes, such as those portions of gross 
receipts or revenue taxes which are applicable to an approved project or 
property taxes on project related property, shall be the amount which 
would otherwise have been levied by the taxing authority. Forgiveness 
may be through exemption or remission;
    (ii) The value of trackage rights secured by a State for a common 
carrier shall be the amount paid by railroads for comparable rights on 
comparable rail freight properties;
    (iii) The value of State salaries for State public employees working 
in the State Rail Service Assistance Program, shall be consistent with 
rates paid for similar work by state public employees working in 
comparable state programs but shall not include overhead or general 
administrative costs;
    (iv) The value of donations by the State or by a third party on 
behalf of the State of real property or tangible personal property of 
the kind necessary for safe and efficient operation of rail freight 
service, such as State or locally owned or leased buildings used in rail 
freight operations or equipment or materials, shall be determined as 
follows:
    (A) The value of State tangible personal property shall be 
established at the State's actual cost in accordance with Federal 
Management Circular 74-4;
    (B) The value of donated tangible personal property shall be 
determined in accordance with Attachment F of Office of Management and 
Budget Circular (OMB) A-102;
    (C) The value of State real property shall be established at the 
State's actual cost in accordance with Federal Management Circular 74-4, 
if at least one independent appraisal based on the

[[Page 731]]

results of a title search was performed when the property was purchased 
by the State, otherwise it shall be valued at the fair market value as 
established by at least one independent appraisal based on the results 
of a title search at the time the state proposes to make the property 
available as in-kind benefit; and
    (D) The value of donated real property shall be its fair market 
value, at the time of donation to the State, as established by at least 
one independent appraisal based on the results of a title search;
    (2) Eligibility criteria. To be applied toward the State share, in-
kind benefits must:
    (i) Be verifiable from the State's records;
    (ii) Be necessary and reasonable for proper and efficient 
accomplishment of the objectives of the Rail Service Assistance Program;
    (iii) Be provided for in the approved grant budget; and
    (iv) Be approved under paragraph (3) of this paragraph (c).
    (v) The State shall submit such information as the Administrator may 
request to verify the value of in-kind benefits.
    (3) Request for approval. A request for approval of the in-kind 
benefits are to be applied and shall include the following:
    (i) Full name and principal business address of the contributor if 
other than grantee;
    (ii) Detailed documentation of the in-kind benefits including 
identification of the kind of in-kind benefits to be provided as well as 
their estimated value. When in-kind benefits are to be provided by a 
third party, a copy of the executed agreement between the State and the 
third party; and
    (iii) Certification by the State that the contribution will be used 
solely for the purposes documented.



Sec. 266.11  Allowable costs.

    Allowable costs include only the following costs which are properly 
allocable to the work performed: Planning and program operation costs 
which are allowed under Federal Management Circular 74-4; and costs of 
projects eligible under Sec. 266.7 of this part. All allowable costs 
shall be authorized by a fully executed grant agreement. A State may 
incur costs prior to the execution of a grant agreement only if the 
Administrator, based on the State's demonstration of a compelling need 
to incur costs prior to the execution of a grant agreement, has 
authorized the costs in writing prior to their incurrence by the State.



Sec. 266.13  Distribution of funds.

    (a) Formula. Funds appropriated for or reallocated in any fiscal 
year (in this section refered to jointly as ``funds'') are to be 
distributed to each State as follows:
    (1) Two-thirds of the funds will be allocated in the ratio which a 
State's rail mileage that, in accordance with 49 U.S.C. 10904(d), is 
either potentially subject to abandonment or is to become the subject of 
an application for a certificate of abandonment or discontinuance which 
a carrier plans to submit, but has not yet submitted, bears to the total 
such rail mileage in all the States;
    (2) One-third of the funds will be allocated in the ratio which a 
State's rail mileage for which the Commission has found within three 
years prior to the first day of the fiscal year for which the funds are 
being allocated that the public convenience and necessity permits the 
abandonment, or the discontinuance, of rail service on such rail 
mileage, bears to the total such rail mileage in all the States. Until 
September 30, 1981, such rail mileage includes the rail mileage which 
was eligible under the Rail Service Assistance Program pursuant to 
section 402 of the Rail Act, and all rail mileage which, prior to 
October 1, 1978, had been included for formula allocation purposes. The 
Administrator will calculate rail mileage under this paragraph as of 
October 1 of each year; and
    (3) The above calculations will be adjusted if necessary so that no 
State receives less than 1 percent of the funds appropriated for a 
fiscal year.
    (b) Reallocation. The Administrator will reallocate among the States 
funds which have not been granted under an executed grant agreement by 
the end of the fiscal year for which the funds were appropriated and 
funds determined by

[[Page 732]]

a Federal audit to be in excess of allowable costs when they have not 
been granted under an executed grant agreement by the end of the fiscal 
year in which the Federal audit is made. Reallocated funds are 
distributed in accordance with the allocation formula described in 
paragraph (a) of this section.
    (c) Interstate sharing of allocated funds. Where not in violation of 
State law, two or more States, which are eligible to receive assistance 
under the Rail Service Assistance Program pursuant to Sec. 266.5 of this 
part may combine any portion of their entitlements for purposes of 
conducting any eligible project of mutual benefit provided that they 
enter into an agreement for this purpose.



Sec. 266.15  Requirements for State Rail Plan.

    (a) State planning process. The State Rail Plan shall be based on a 
comprehensive, coordinated and continuing planning process for all 
transportation services within the State and shall be developed with an 
opportunity for participation by persons interested in rail activity in 
the State and adjacent States where appropriate. At a minimum, the State 
shall hold a public hearing if, on the basis of reasonable public notice 
appearing in the press, there is sufficient public interest to justify a 
hearing. Public notice shall be given, in accordance with applicable 
State law and practice concerning comparable matters, that a draft of 
the State Rail Plan is available for public inspection at a reasonable 
time in advance of the hearing. The State shall enable local and 
regional governmental bodies to review and comment on appropriate 
elements of the State Rail Plan. Provisions shall also be made for 
updating, revising, and amending the State Rail Plan.
    (b) Format of the State Rail Plan. Each item submitted in response 
to a requirement of this section shall reference that requirement by 
subsection, paragraph, and subparagraph.
    (c) Contents of the State Rail Plan. Each State Rail Plan shall:
    (1) Specify the objectives of the State's Rail Service Assistance 
Program and explain how the implementation of the State Rail Plan will 
accomplish these objectives and explain relevant data sources, 
assumptions, analytical methodology, other legal constraints and special 
problems or conditions which will aid the public in understanding the 
State Rail Plan;
    (2) Contain an illustration of the State's entire rail system on 
suitable scale maps of the State highway system (such as a reduction of 
the County Highway Planning Series of maps), designating with respect to 
each line listed under subparagraph (3) of this subsection, including 
all lines connecting to them:
    (i) The operating carrier or carriers;
    (ii) Freight traffic density, and
    (iii) Location of passenger service.


These maps shall be accompanied by a written description of the service 
provided on each line;
    (3) Identify the following classes of rail service within the State:
    (i) Lines in the State which are eligible for assistance under 
Sec. 266.7 of this part other than those included in paragraph 
(c)(3)(ii) of this section;
    (ii) Lines in the State which a common carrier has identified on its 
system diagram map submitted under 49 CFR 1121.20(b) (1) and (2) as 
potentially subject to abandonment and lines which are anticipated to be 
the subject of an abandonment or discontinuance application within three 
years following the date of submission;
    (iii) [Reserved]
    (iv) Lines in the State for which abandonment or discontinuance 
applications are pending;
    (v) Lines in the State which are involved in the following kinds of 
proposals that have been submitted to the Commission for approval or are 
in the process of negotiation, to the extent that this information is 
publicly available:
    (A) Mergers;
    (B) Consolidations;
    (C) Reorganizations;
    (D) Purchases by other common carriers; or
    (E) Other unification and coordination projects.
    (vi) Rail projects for which the State plans to request Federal 
assistance or approval as in-kind benefits; and

[[Page 733]]

    (vii) Rail projects for which a State provides or plans to provide 
assistance from sources other than the Rail Service Assistance Program, 
including the estimated cost of the projects;
    (4) Establish and describe screening criteria to be used in 
selecting the eligible lines which the State analyzes in detail, 
identify these lines, and explain how the application of the screening 
criteria resulted in their selection;
    (5) Describe the State's methodology for determining the ratio of 
benefits to the costs of proposed projects eligible under Sec. 266.7 of 
this part (except projects to be funded with rail service continuation 
assistance);
    (6) Include, to the extent that the information is available to the 
State, the following data for each line the State has selected to 
analyze in detail:
    (i) Annual freight tonnage and carloads segregated by commodity type 
and indicating any seasonal traffic fluctuations and the number of 
shippers and receivers on the line aggregated by type (e.g., grain 
elevator, power plant, heavy manufacturing), including identification of 
information which a shipper wishes the Administrator to consider 
confidential to the extent permitted by law;
    (ii) Revenues and costs of providing rail freight service on the 
line;
    (iii) Condition of the related rail facilities and equipment, and 
for a line eligible under Sec. 266.7(b) of this part, a description of 
the particular rail facilities involved in any project a State may be 
considering on the line;
    (iv) When the State is considering a line for rail service 
continuation assistance, projections of freight traffic needs on the 
line for at least the three succeeding calendar years and estimates of 
the amount and type of equipment, the condition of the rail facilities, 
and the level of service necessary to satisfy the projected traffic 
needs as well as estimates of the revenue and costs of providing this 
service; and
    (v) When the State is considering a project eligible under 
Sec. 266.7(b) of this part, the amount of funds expended for the 
maintenance of the line and the kinds of work performed during the five 
year period preceding its eligibility.
    (vi) When the State is considering a line for rail banking, a 
description of the line's future economic potential, such as the 
existence of fossil fuel reserves or agricultural production likely to 
be served;
    (7) Describe the alternatives which the State will analyze in 
applying the methodology described in paragraph (c)(5) of this section, 
such as: Rail service continuation payments, rehabilitation or 
improvement, acquisition, rail facility construction, potential for 
moving freight by alternate modes, or abandonment or discontinuance of 
rail freight service;
    (8) Apply the methodology described in paragraph (c)(5) of this 
section to each line the State has selected to analyze in detail;
    (9) Specify the State's decision regarding the alternative selected 
for each line the State has analyzed in detail and include the 
following:
    (i) An indication of whether Federal assistance will be requested or 
other funds will be used to implement the alternative selected;
    (ii) An identification of lines which may be affected by the 
alternative selected;
    (iii) An explanation of how the alternative selected contributes to 
the accomplishment of the State's objectives as stated in paragraph 
(c)(1) of this section; and
    (iv) A statement of the projected future of the line after the 
alternative selected is implemented and the line is no longer eligible 
for rail service continuation assistance under Sec. 266.7(a) of this 
part or after the payback period used in the State's benefit-cost 
analysis, whichever is appropriate;
    (10) Describe the planning process participation of local and 
regional governmental bodies, the railroads, railroad labor, rail 
service users, and the public in general;
    (11) Describe the overall planning process for all transportation 
services in the State; and
    (11A) Indicate how the overall planning process in the State 
addresses the need to improve national energy efficiency, reduce the 
national use of petroleum and natural gas, and increase the national use 
of coal.

[[Page 734]]

    (12) Include a program of projects which identifies the projects for 
which the State expects to submit applications and the anticipated 
submission date. The program shall group the proposed projects in the 
order they comply with the State's criteria and goals for assistance, 
and shall:
    (i) Identify the type of project (i.e., rail service continuation 
payments, acquisition, rehabilitation or improvement, rail facility 
construction, or substitute service), its location, and duration; and
    (ii) Include the anticipated amount of funds to be requested for 
each project:
    (d) Updates, revisions, and amendments of the State Rail Plan--(1) 
General. As provided for in paragraph (e) of this section, State Rail 
Plans shall be updated at least on an annual basis but may be revised 
more frequently at the discretion of the State in accordance with its 
program needs. Such updates shall be subject to the same review, public 
participation and approval procedures by the State and FRA as the 
original State Rail Plan.
    (2) Contents. Annual updates shall include the following:
    (i) A response to unanswered FRA comments on previously submitted 
updates, revisions, amendments, or the original State Rail Plan;
    (ii) An update of information in previous submittals which is no 
longer accurate as a result of plan implementation, action by a 
governmental entity or railroad, or changed conditions;
    (iii) For lines receiving rail service continuation assistance, 
inclusion of revenue and cost information from the past year's operating 
experience and a reevaluation of service based on these new data;
    (iv) Updating of the maps and descriptions required under paragraph 
(c)(2) of this section;
    (v) Analysis of any new projects developed by the State in 
accordance with paragraphs (c)(4), (5) and (6) of this section;
    (vi) Changes in agency responsibilities and authority including 
ability to provide the non-Federal share; and
    (vii) Revisions in the State's policies, objectives or long-range 
expectations.
    (e) Adoption and submission of State Rail Plan and annual updates. 
An original and five copies of the State Rail Plan, and any amendments, 
revisions, or updates shall be submitted to FRA for review and approval 
with a certification by the Governor, or by the Governor's delegate, 
that the submission constitutes the State Rail Plan established by the 
State as provided in section 5(j) of the Act. The State Rail plan, and 
all amendments, revisions, and updates shall be submitted to the FRA 
through the appropriate Federal Highway Division Office. A current list 
of mailing addresses of the above offices will be provided by FRA to 
each State.
    (f) Review of the State Rail Plan and Updates. The State Rail Plan 
and all amendments, revisions, and updates shall analyze in accordance 
with this section all projects for which the State anticipates 
requesting rail service assistance, other than planning assistance, 
during the fiscal year. In accordance with Sec. 266.17(b) of this part, 
a project for which funds are requested must have been addressed in a 
previously approved State Rail Plan or update. If the Administrator 
determines that the State Rail Plan or update is not in accordance with 
this part, the Administrator will notify the State in writing setting 
forth the Administrator's reasons for such a determination.

[44 FR 51129, Aug. 30, 1979, as amended at 45 FR 58038, Aug. 29, 1980; 
48 FR 29274, June 24, 1983]



Sec. 266.17  Applications.

    (a) General. (1) Applications for planning assistance shall comply 
with paragraphs (b), (c) and (e) of this section.
    (2) Applications for rail service continuation assistance shall 
comply with paragraphs (b), (c), (d) and (f) of this section.
    (3) Applications for acquisition assistance shall comply with 
paragraphs (b), (c), (d) and (g) of this section.
    (4) Applications for rehabilitation or improvement assistance and 
rail facility construction assistance shall comply with paragraphs (b), 
(c), (d) and (h) of this section.

[[Page 735]]

    (5) Applications for substitute service assistance shall comply with 
paragraphs (b), (c), (d) and (i) of this section.
    (b) Submission. (1) Applications shall be submitted by the 
designated State agency using the standard forms contained in Attachment 
M of Office of Management and Budget Circular No. A-102 (``OMB Circular 
A-102''). Each item submitted in response to a requirement of this 
section shall reference that requirement by subsection, paragraph, and 
subparagraph. Each application shall be consistent with the current 
State Rail Plan and analyzed in it.
    (2) A State may apply for planning assistance to cover prospective 
costs at any time during the planning process.
    (3) Exhibits previously filed with the Administrator need not be 
refiled unless the prior filing has been rendered obsolete by changed 
circumstances. Such prior filing shall be appropriately referenced by 
source, location of data and date of submittal.
    (c) Contents. Each application shall include:
    (1) Full name and principal business address of the applicant;
    (2) Name, title, address and phone number of the person to whom 
correspondence regarding the application should be addressed;
    (3) Budget estimates for the total amount of assistance required for 
projects or planning;
    (4) Applicant's proposed means of furnishing its share of the total 
costs of the projects, as well as copies of executed agreements between 
the agency and any third party which may be providing the non-Federal 
share or a portion thereof;
    (5) Assurance by the chief executive officer of the applicant that 
the Federal funds provided under the Act will be used solely for the 
purpose for which the assistance will be provided and in conformity with 
limitations on expenditures under the Act and applicable regulations;
    (6) Evidence that the applicant has established in accordance with 
Attachment G of OMB Circular A-102, adequate procedures for financial 
control, accounting and performance evaluation in order to assure proper 
use of the Federal funds;
    (7) Assurance by applicant's chief executive officer that the timing 
of all advances by the applicant will comply with the Department of 
Treasury advance financing regulations (31 CFR part 205);
    (8) Statement as to whether the applicant prefers to receive 
disbursement of Federal funds by advance payment or reimbursement;
    (9) Opinion of applicant's legal counsel showing that counsel is 
familiar with the corporate or other organizational powers of the 
applicant, that the applicant is authorized to make the application, 
that the applicant is eligible to participate in the Rail Service 
Assistance Program in accordance with the provisions of the Act and this 
part, and that the applicant has the requisite authority to carry out 
actions proposed in the application and to assume the responsibilities 
and obligations created thereby;
    (10) Assurances that the applicant will comply with and that the 
program will be conducted in accordance with the following Federal laws, 
policies, regulations and pertinent directives:
    (i) Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et 
seq., and 49 CFR part 21;
    (ii) Section 905 of the Railroad Revitalization and Regulatory 
Reform Act of 1976, 45 U.S.C. 803, and 49 CFR part 265;
    (iii) The Rehabilitation Act of 1973, 29 U.S.C. 794 and 49 CFR part 
27 (44 FR 31442, May 31, 1979) relating to non-discrimination on the 
basis of handicap; and
    (iv) The State and Local Fiscal Assistance Act of 1972, 31 U.S.C. 
1221 et seq. and 31 CFR part 51; and
    (11) When two or more States desire to combine their entitlements or 
any portion of them for the purpose of funding a project, certification 
of the Governor or the Governor's delegate of each State involved that 
it is a party to an interstate agreement as required under section 
5(h)(4) of the Act (49 U.S.C. 1654(h)(4)). Such certification shall 
include the amount of money to be used from each State's entitlement and 
which State is to enter into a grant for the project.

[[Page 736]]

    (d) Additional contents. In addition to meeting the requirements of 
paragraphs (b) and (c) of this section each application except when 
planning assistance is requested, shall include evidence that the agency 
submitting the application has the statutory authority and 
administrative jurisdiction to develop, promote, supervise and support 
safe, adequate, and efficient rail services; that it employs or will 
employ, directly or indirectly, sufficient trained and qualified 
personnel; that it maintains or will maintain adequate programs of 
investigation, research, promotion, and development with provision for 
public participation; and that it is designated and directed solely, or 
in cooperation with other State agencies, to take all practicable steps 
to improve transportation safety and to reduce transportation related 
energy utilization and pollution.
    (e) Planning assistance. In addition to meeting the requirements of 
paragraphs (b) and (c) of this section, each application for planning 
assistance shall include a Planning Work Program which, together with 
such other information the State may choose to submit, demonstrates to 
the satisfaction of the Administrator that the State's proposed use of 
planning assistance will produce a State Rail Plan, or an update, 
amendment or revision which meets the requirements of Sec. 266.15 of 
this part. The Planning Work Program shall include the following 
information:
    (1) An explanation of how the State Rail Plan will be related to the 
overall planning process for transportation within the State. This 
explanation shall concentrate on the expectations of the State for the 
future of local rail freight services and consider such factors as 
likelihood of profitability of existing rail lines, necessity of rail 
service continuation payments, State acquisition of rail lines, use of 
alternate modes of transportaion in lieu of rail freight service, and 
other long-term alternatives;
    (2) A description of the methods by which the State will involve 
local and regional governmental bodies and the public generally in its 
rail planning process, including its methods of providing for equitable 
distribution of resources;
    (3) An identification of the data to be obtained on the rail network 
and rail services in the State, the sources of this data, and the 
methodology to be employed in the collection of the data;
    (4) A description of the method by which the State will develop the 
State Rail Plan, including a brief description of discrete tasks or 
activities to be accomplished; and
    (5) A list of the individuals responsible for the planning, a work 
schedule and a budget.
    (f) Rail service continuation assistance. In addition to meeting the 
requirements of paragraphs (b), (c), and (d) of this section, each 
application for rail service continuation assistance shall include the 
following:
    (1) The amount of the estimated rail service continuation payment 
for each line; and
    (2) A description of the arrangements which the applicant has made 
for operation of the rail services to be subsidized including copies of 
the proposed operating agreements, leases, or other compensation 
agreements under which service is to be provided, and the results of the 
application's preaward audit of proposed operators and equipment leasing 
companies if the equipment to be used in providing the rail service is 
to be leased by the proposed operator.
    (g) Acquisition assistance. In addition to meeting the requirements 
of paragraphs (b), (c), and (d) of this section, each application for 
acquisition assistance shall include the following:
    (1) Copies of the results of a title search, and the basis for the 
proposed acquisition price including two independent valuation 
appraisals by qualified appraisers. Such appraisals shall be performed 
in accordance with the ``Uniform Appraisal Standards for Federal Land 
Acquisition'' proposed by the Interagency Land Acquisition Conference 
and shall be based on the results of a title search and comparable sales 
and shall take cognizance of all easements, encumbrances and 
restrictions that may affect the value of the property. Such appraisals 
shall be reviewed by a State Review appraiser to establish just 
compensation;

[[Page 737]]

    (2) Written assurance that the acquisition is being undertaken in 
accordance with 49 CFR 25.253, 25.255, 25.257, and 25.259 to the 
greatest extent practicable under State law and fully in compliance with 
49 CFR 25.261(a) and 25.263;
    (3) Written assurance that the owner of the property to be acquired 
has been advised of the requirements of 49 CFR 25.259 or will be advised 
of such requirements prior to the consummation of the acquisition;
    (4) A description of the necessary steps, and timing for completion 
of the acquisition;
    (5) When rail service is to be immediately provided over the line, a 
description of the arrangements which the applicant has made for 
operation of the rail service, including copies of the proposed 
operating agreements, leases, and other compensation agreements under 
which the service is to be provided, and a description of the means by 
which the State will continue rail service on the property to be 
acquired once assistance under the Act is terminated;
    (6) For applications regarding rail banking, evidence that the 
properties for which assistance is requested have potential for rail 
freight service such as plans for agricultural development or existence 
of fossil fuel reserves, the State's anticipated timetable for returning 
the line to service, and its proposed use of the property while it is 
out of service including its maintenance plans; and
    (7) Evidence that the anticipated benefits and costs of the proposed 
acquisition have been analyzed in accordance with the methodology 
established by the State under Sec. 266.15(c)(5) of this part.
    (h) Rehabilitation or improvement assistance and rail facility 
construction assistance. (1) In addition to meeting the requirements of 
paragraphs (b), (c), and (d) of this section, each application for 
rehabilitation or improvement assistance and rail facility construction 
assistance shall include the following:
    (i) A detailed estimate of the materials and labor required to 
complete the work, the total estimated costs of the work, the estimated 
numbers and kinds of ties and other material, the milepost termini 
involved, and a schedule for completion of the work;
    (ii) Evidence that the anticipated benefits and costs of the 
proposed acquisition have been analyzed in accordance with the 
methodology established by the State under Sec. 266.15(c)(5) of this 
part;
    (iii) When rehabilitation assistance is requested--
    (A) A copy of the document by which funds will be granted or loaned 
(at an interest rate determined by the State) to the owner of the rail 
properties or the operator of the rail service related to the project; 
and
    (B) An assurance by the chief executive officer of the applicant 
that:
    (1) Repaid loan funds and interest accumulated with respect to such 
funds will not be loaned or granted without the prior written approval 
of the Administrator;
    (2) The Federal share of repaid loan funds will be placed in an 
interest-bearing account or with the prior written approval of the 
Administrator will be deposited by the borrower, for the benefit and use 
of the State, in a bank which has been designated by the Secretary of 
Treasury in accordance with 12 U.S.C. 265; and
    (3) If the rehabilitated or improved facilities are not used for 
rail freight service during the useful life of the improvement the 
Federal share of the fair market value of the improvement or facility 
will be placed in an interest-bearing account or with the prior written 
approval of the Administrator will be deposited by the owner of the rail 
properties, for the benefit and use of the State, in a bank which has 
been designated by the Secretary of the Treasury in accordance with 12 
U.S.C. 265;
    (iv) An assurance by chief executive officer of the applicant that 
rehabilitated or improved facilities or newly constructed facilities 
will be maintained to prevent deterioration below the speed at which the 
line could be operated upon completion of the project during the period 
of time established as the payback period in the benefit-cost analysis 
of the project;
    (2) In addition to meeting the requirements of paragraphs (b), (c), 
and

[[Page 738]]

(d) and (h)(1) of this section, each application for a project eligible 
under Sec. 266.7(b)(2)(i) (if the Commission has made a finding granting 
the application for abandonment and discontinuance) (ii), (3) or (4) 
shall also include the following:
    (i) An indication of which of the following methods will be used to 
complete the work, including proposed contracts unless the work will be 
performed under method (A):
    (A) On an actual cost basis by the operator or the applicant;
    (B) By contracting for the work in accordance with Attachment O to 
OMB Circular A-102; or
    (C) Under an existing continuing contract between the operator and 
another firm provided that the applicant can demonstrate the the costs 
are comparable to those under paragraph (h)(2)(i) (A) or (B) of this 
section; and
    (ii) A description of the plans for inspection of the work including 
identification and qualifications of the staff to be responsible for the 
inspection and a proposed schedule of inspections; and
    (iii) A description of the arrangements made for the operation of 
rail service over the property including copies of the proposed 
operating agreements, leases or other compensation agreements under 
which service is to be provided, and the proposed method of financing 
the operation of such rail service;
    (3) In addition to meeting the requirements of paragraphs (b), (c), 
(d), and (h)(1) of this section, each application for a project eligible 
under Sec. 266.7 (b)(1) or (2)(i) (if the Commission has not made a 
finding granting the application for abandonment discontinuance) shall 
include an assurance by the common carrier which operates service on or 
owns the line related to the project that if an application for a 
certificate of abandonment or discontinuance has been filed with the 
Commission the application will be withdrawn within a reasonable period 
following execution of a grant agreement and before Federal funds are 
disbursed for the project; and
    (4) When rail facility construction assistance is requested an 
assurance by the chief executive officer of the applicant that if the 
facility is abandoned, sold, or converted to non-rail freight use during 
its useful life, FRA will be compensated an amount computed by applying 
FRA's participation in the cost of constructing the facility to the fair 
market value of the facility at the time it is abandoned, sold, or 
converted to non-rail use.
    (i) Substitute service assistance. In addition to meeting the 
requirements of paragraphs (b), (c), and (d) of this section, each 
application for substitute service assistance shall include:
    (1) A detailed description of the substitute service project, 
including evidence that the cost and scope of the project are limited to 
that necessary to replace the rail service being discontinued;
    (2) Evidence that the anticipated benefits and costs of the proposed 
acquistion have been analyzed in accordance with the methodology 
established by the State under Sec. 266.15(c)(5) of this part;
    (3) For construction or improvement of fixed facilities, a 
description of the proposed work, including:
    (i) The cost and timing of the work; and
    (ii) An assurance by the chief executive officer of the applicant 
that the Federal share of the project will be repaid in accordance with 
Attachment N of OMB Circular A-102, if the properties are not used for 
rail freight service during the useful life of the project properties;
    (4) For relocation costs, the following assurances by the chief 
executive officer of the applicant:
    (i) When the rail line related to the project is eligible under 
section 5(k)(4)(A) of the Act (49 U.S.C. 1654(k)(4)(A)), an assurance 
that the applicant is requesting only such assistance as is needed to 
relocate the shippers which were receiving rail service on the line at 
the time the Commission found that the public convenience and necessity 
would permit discontinuance or abandonment of the rail service;
    (ii) When the rail line related to the project is eligible under 
section 5(k)(4)(B) of the Act (49 U.S.C. 1654(k)(4)(B)), an assurance 
that assistance is being requested to relocate only the shippers who 
received rail service on the line as of April 1, 1976; and

[[Page 739]]

    (iii) An assurance, and the basis therefor, that the shippers will 
not be relocated to a line with respect to which an application for a 
certificate of abandonment or discontinuance has been filed with the 
Commission or that if an application has been filed it will be withdrawn 
within a reasonable period following execution of a grant agreement and 
before Federal funds are disbursed for the project;
    (5) An assurance by the chief executive officer of the applicant 
that after completion of the substitute service project, additional 
Federal assistance will not be requested for the continuation of the 
rail freight service that the substitute service is designed to replace, 
unless the Administrator determines that circumstances have changed so 
that continuation of rail freight service is more cost-effective than 
continued use of the substitute service project;
    (6) A description of the arrangements made for operation of service 
where rail service is to be provided in conjunction with a substitute 
service project, including copies of proposed operating agreements, 
leases, or other compensation agreements under which service is to be 
provided; and
    (7) An assurance by the chief executive officer of the applicant 
that assistance provided will not be used to pay the non-Federal share 
under any Federal program.
    (j) Execution and filing of applications. (1) Each original 
application shall bear the date of execution and be signed by the chief 
executive officer of the agency submitting the application;
    (2) Each application for planning assistance, and two (2) copies 
thereof, shall be filed with the Administrator through the appropriate 
Federal Highway Administration Division Office;
    (3) Each application (excluding requests for planning assistance), 
and two (2) copies thereof, shall be filed with the Administrator 
through the appropriate Regional Director of Federal Assistance. A 
current list of the appropriate mailing addresses of the above officials 
will be provided by FRA to each State.



Sec. 266.19  Environmental impact.

    (a) General. The Administrator has determined that providing 
assistance to cover the following costs is not a major action 
significantly affecting the quality of the human environment: 
Rehabilitation or improvement consisting of work normally performed on a 
periodic basis which does not change the existing character of the 
facility (including work to overcome normal periodic maintenance that 
had been deferred) rail service continuation, acquisition, and planning.
    (b) Substitute service assistance, rail facility construction 
assistance, and non-exempt rehabilitation or improvement assistance--(1) 
Environmental assessment. (i) When an applicant requests substitute 
service assistance, rail facility construction assistance, or 
rehabilitation or improvement assistance (except for rehabilitation or 
improvement assistance which is exempt under paragraph (a) of this 
section), the applicant shall:
    (A) Prepare an environmental assessment to determine whether the 
future use of the property will significantly affect the quality of the 
human environment; or
    (B) Provide sufficient documentation to enable the Administrator to 
determine that the project satisfies the following criteria:
    (1) The action is not likely to be environmentally controversial 
from the point of view of people living within the environment affected 
by the action or controversial with respect to the availability of 
adequate relocation housing;
    (2) The action is not inconsistent with any Federal, State, or local 
law, regulation, ordinance, or judicial or administrative determination 
relating to environmental protection;
    (3) The action will not have any significant adverse impact in any 
natural, cultural, recreational, or scenic environment(s) in which the 
action takes place, or on the air or water quality or ambient noise 
levels of such environment(s);
    (4) The action will not: use 4(f)-protected properties; adversely 
affect properties under section 106 of the National Historic 
Preservation Act; involve new construction location in a

[[Page 740]]

wetlands area; or affect a base floodplain;
    (5) The action will not cause a significant short- or long-term 
increase in traffic congestion, or other significant adverse 
environmental impact on any mode of transportation;
    (6) The action is not an integral part of a program of actions 
which, when considered separately, would not be classified as major FRA 
actions, but when considered together would be so classified; and
    (7) Environmental assessment or documentation is not required by any 
Federal law, regulation, guideline, order, or judicial or administrative 
determination other than this part.
    (ii) Prior to submitting an application, FRA recommends that the 
applicant seek the Administrator's advice as to form and substance of 
the assessment for the project under consideration. The environmental 
assessment shall utilize an interdisciplinary approach in identifying 
the type, degree of effect, and probability of occurrence of primary, 
secondary and cumulative potential environmental impacts (positive and 
negative) of the proposed action and of alternative courses of action. 
The depth of coverage shall be consistent with the magnitude of the 
project and its expected environmental effects. The environmental 
assessment and all documents used as a basis for the assessment shall be 
submitted together with the application for assistance.
    (2) Environmental impact statement. A draft environmental impact 
statement (EIS) shall be submitted with each application when the 
environmental assessment concludes that the future use significantly 
affects the quality of human environment. FRA recommends that prior to 
submitting the application, the applicant seek the Administrator's 
advice as to form and substance of the EIS for the project under 
consideration.
    (3) Finding of no significant impact. A draft finding of no 
significant impact declaration shall be submitted with each application 
when the applicant's environmental assessment concludes that the figure 
use does not significantly affect the quality of the human environment. 
The finding of no significant impact shall include a description of the 
project, and sufficient data and environmental findings to support the 
conclusions as to the impact upon the quality of the human environment. 
FRA recommends that prior to submitting the application, the applicant 
seek the Administrator's advice as to the form and substance of this 
finding for the project under consideration.
    (4) Section 4(f) determination. For projects involving the use of 
any land from a public park, recreation area, wildlife and waterfowl 
refuge, or historic site of national, State or local significance as 
determined by the Federal, State, or local officials having jurisdiction 
thereon, information to support a determination pursuant to section 4(f) 
of the Act shall be submitted together with the application. The section 
4(f) determination shall document that:
    (i) There is no feasible and prudent alternative to the use of such 
land; and
    (ii) The project includes all planning to minimize harm resulting 
from such use.
    (5) Historic preservation. For projects involving the use of 
historic, cultural or archeological resources listed or eligible for 
listing in the National Register of Historic Places, information which 
documents that the Advisory Council on Historic Preservation has been 
afforded an opportunity for review and comment on the proposed project 
in accordance with 16 U.S.C. 470 and 36 CFR part 800 shall be submitted 
with the application.
    (c) Highway or highway-related facilities. Substitute service 
projects involving highway or highway-related facilities are subject to 
the applicable substantive Federal Highway Administration regulations on 
environmental considerations (23 CFR part 771).



Sec. 266.21  Grant agreement and disbursement.

    (a) Grant agreement. (1) Upon the approval of an application meeting 
the requirements of Sec. 266.17 of this part, a grant agreement for the 
Federal share of the approved amount of estimated program costs will be 
executed by the Administrator and the grantee.
    (2) The grant agreement will identify the amount of the grantee's 
share of

[[Page 741]]

program costs to be furnished in cash and through approved in-kind 
benefits. The grantee shall expend a pro-rata share of its cash 
contribution at the same time payments of the Federal share are made 
available to the grantee.
    (b) Disbursement. (1) Federal funds are provided either in advance 
by a letter-of-credit or a Treasury check or by reimbursement in 
accordance with Attachment J of OMB Circular A-102.
    (2) Prior to receipt of advance payments, the grantee must have 
demonstrated to the satisfaction of the Administrator that it has 
established procedures to comply with OMB Circular A-102, Attachment J, 
including procedures that will minimize the time elapsing between the 
receipt of funds by the grantee and their disbursement. Evidence of such 
compliance shall be provided to the Administrator at least 30 days prior 
to the anticipated date of receipt of advance payments. An advance by 
letter-of-credit is used when the rail service assistance is expected to 
be provided for a minimum of one (1) year, and is expected to involve 
annual payments aggregating at least $120,000. Otherwise, advance 
payments are made by Treasury check.
    (3) If the grantee is not eligible for advance payments or does not 
desire them, the grantee will be reimbursed for eligible expenditures at 
the end of each fiscal quarter upon submission of a request for 
reimbursement.
    (4) Before disbursement of Federal funds can be made to a grantee 
for payment to third parties under this subsection, the grantee must 
have executed an agreement with the third party.
    (5) Acquisition assistance will be disbursed only after the 
following have been approved by the Administrator:
    (i) A title opinion of the chief legal officer of the grantee that 
describe the type of title being acquired, and if a general warranty 
deed is not being given, it must explain why it could not be given. The 
opinion shall also advise of any need for use of the State's eminent 
domain powers to assure adequate title. In addition, the opinion shall 
explain how the defects disclosed by the title search might affect the 
marketability of the property;
    (ii) A written determination that the property acquired is limited 
to the land and facilities that are needed for the rail freight services 
which would have been curtailed or abandoned but for the acquistion has 
been accepted by the Administrator; and
    (iii) A written determination that the purchase price is consistent 
with the value of the property interest being acquired, and the evidence 
upon which the determination is based.
    (c) Settlement. (1) Settlement under the grant agreement is made on 
the basis of a Federal audit which has determined the allowable costs 
over the entire term of the grant agreement. If the Federal audit 
determines that the allowable costs under the grant agreement are less 
than the amount of the grant, the difference shall be refunded to FRA at 
the end of the fiscal year in which the audit was made unless it has 
become the subject of another executed grant agreement. Upon termination 
of a State's participation in the Rail Service Assistance Program, the 
State shall repay FRA the Federal share of any unused rehabilitation and 
improvement assistance and any accumulated interest.



Sec. 266.23  Record, audit, and examination.

    (a) Retention and custodial requirements for financial records, 
supporting documents, statistical records, and all other records 
pertinent to a grant provided under this part shall be governed by 
Attachment C of OMB Circular A-102.
    (b) The Administrator and the Comptroller General of the United 
States or any of their duly authorized representatives shall, until the 
expiration of three years after submission to the Administrator of the 
grantee's final accounting of all program funds, and for any longer 
period necessary to resolve audit findings, have access for the purpose 
of audit and examination to any books, documents, papers, and records 
which in the opinion of the Administrator or the Comptroller General of 
the United States may be related or pertinent to the grants, contracts, 
or other arrangements arising out of, or in any way connected with, the 
rail service assistance program.

[[Page 742]]



Sec. 266.25  Waivers and modifications.

    The Administrator may, with respect to individual requests, upon 
good cause shown, waive or modify any requirement of this part not 
required by law or make any additional requirements the Administrator 
deems necessary. Procedures for submission and consideration of 
petitions for waiver or modification are governed by 49 CFR part 211.



PART 268--MAGNETIC LEVITATION TRANSPORTATION TECHNOLOGY DEPLOYMENT PROGRAM--Table of Contents




                           Subpart A--Overview

Sec.
268.1 Definitions.
268.3 Different phases of the Maglev Deployment Program.
268.5 Federal funding sources for the Maglev Deployment Program.
268.7 Federal/State share and restrictions on the uses of Federal Maglev 
          Funds.

             Subpart B--Procedures For Financial Assistance

268.9 Eligible participants.
268.11 Project eligibility standards.
268.13 Deadline for submission of applications for preconstruction 
          planning assistance.
268.15 Form and contents of applications for preconstruction planning 
          assistance.
268.17 Project selection criteria.
268.19 Evaluation of applications for preconstruction planning 
          assistance.
268.21 Down-selection of one or more Maglev projects for further study 
          and selection of one project for final design, engineering, 
          and construction funding.

    Authority: 49 U.S.C. 322; 23 U.S.C. 322; 49 CFR 1.49.

    Source: 65 FR 2344, Jan. 14, 2000, unless otherwise noted.



                           Subpart A--Overview



Sec. 268.1  Definitions.

    As used in this part--
    CMAQ means Congestion Mitigation and Air Quality Improvement Program 
(23 U.S.C. 149).
    Environmental assessment (``EA'') means the environmental assessment 
in support of the project description and containing the information 
listed in Sec. 268.11(b)(6)(i).
    Environmental impact statement (``EIS'') means the environmental 
impact statement which is required pursuant to Secs. 268.3.
    Eligible project costs means the costs of preconstruction planning 
activities and the capital cost of the fixed guideway infrastructure of 
a Maglev project, including land, piers, guideways, propulsion equipment 
and other components attached to guideways, power distribution 
facilities (including substations), control and communications 
facilities, access roads, and storage, repair, and maintenance 
facilities, but eligible project costs do not include the cost of 
stations, vehicles, and equipment.
    Federal Maglev funds means such funds as are provided under the 
authority of 23 U.S.C. 322 to pay for Eligible Project Costs.
    Full project costs means the total capital costs of a Maglev 
project, including Eligible Project Costs and the costs of stations, 
vehicles, and equipment.
    Phase means one of the five different phases of the Maglev 
Deployment Program; these phases are described in Sec. 268.3.
    Maglev means transportation systems employing magnetic levitation 
that would be capable of safe use by the public at a speed in excess of 
240 miles per hour.
    Maglev Deployment Program means the program authorized by 23 U.S.C. 
322.
    Partnership potential means the usage of the term in the commercial 
feasibility study of high-speed ground transportation (High Speed Ground 
Transportation for America) mandated under section 1036 of the 
Intermodal Surface Transportation Efficiency Act of 1991 (105 Stat. 
1978). Under that usage any corridor exhibiting Partnership Potential 
must at least meet the following two conditions:
    (1) Private enterprise must be able to run on the corridor--once 
built and paid for--as a completely self-sustaining entity; and
    (2) The total benefits of a Maglev corridor must equal or exceed its 
total costs.
    STP means the Surface Transportation Program (23 U.S.C. 133).

[[Page 743]]

    TEA 21 means the Transportation Equity Act for the 21st Century 
(Public Law No. 105-178, 112 Stat. 107).



Sec. 268.3  Different phases of the Maglev Deployment Program.

    (a) The Maglev Deployment Program includes five phases, as described 
in paragraphs (b) through (f) of this section. The current projected 
timing for implementing these phases is indicated to assist applicants 
in planning their projects. All dates beyond the first date (the 
deadline for the submission of preconstruction planning applications) 
are for planning purposes only and are subject to change--including 
possible acceleration of deadlines--based on the progress of the Maglev 
Deployment Program; grantees will be notified accordingly.
    (b) Phase I--Competition for Planning Grants (Early October 1998--
September 15, 1999). (1) Description. In Phase I, States will apply for 
funds for preconstruction planning activities. As required by 
Sec. 268.13, applications must be filed with FRA by February 15, 1999. 
FRA will select one or more projects to receive preconstruction planning 
financial assistance awarded under this part to perform Phase II of the 
Maglev Deployment Program.
    (2) Timing of Major Milestones.
    (i) February 15, 1999--Planning grant applications due.
    (ii) May 24, 1999--FRA announces grantees for planning grants.
    (iii) August 31, 1999--FRA awards planning grants for the conduct of 
activities listed in Phase II.
    (c) Phase II--Project Description Development (July 1, 1999--June 
30, 2000).
    (1) Description. In Phase II, each grant recipient will prepare and 
submit to FRA a project description, supporting preconstruction planning 
reports, and an EA. Supporting reports may include demand and revenue 
analyses, project specification, cost estimates, scheduling, financial 
studies, a system safety plan (including supporting analysis), and other 
information in support of the project description. FRA will use this 
information in reaching a decision on which projects to down-select for 
completion of site-specific environmental studies, investment grade 
revenue forecasts, and other studies and analyses necessary prior to 
initiation of construction. FRA will initiate documentation of 
environmental factors considered in the project selection process.
    (2) Timing of Major Milestones.
    (i) February 29, 2000--Deadline for submission of appropriate EA's 
needed by FRA for the down-selection of one or more projects under Phase 
III.
    (ii) June 30, 2000--Deadline for submission of project descriptions 
and any related supporting reports needed by FRA for down-selection of 
one or more projects.
    (d) Phase III--Project Selection Process (July 1, 2000--September 
30, 2000). (1) Description. FRA will evaluate the information provided 
by the grant recipients under Phase II and will down-select one or more 
projects for completion of additional environmental studies, investment 
grade revenue forecasts, and other studies and analyses necessary prior 
to initiation of construction.
    (2) Timing of Major Milestones. September 30, 2000--FRA down-selects 
one or more project(s).
    (e) Phase IV--Project Development and Completion of Site-specific 
EIS October 1, 2000--November 30, 2001).
    (1) Description. The financial assistance recipient(s) down-selected 
in Phase III will complete additional environmental studies, investment 
grade revenue forecasts, and other studies and analyses necessary prior 
to initiation of construction, and address issues raised by FRA's review 
of system safety plans (including supporting analysis). They will also 
initiate final design and engineering work for the down-selected 
project(s). If more than one project is down-selected in Phase III, FRA 
will select one of them for final design, engineering, and construction 
funding. Detailed agreements for the construction and operation of the 
selected project will be negotiated.
    (2) Timing of Major Milestones. (i) March 31, 2001--If more than one 
project is down-selected in Phase III, FRA will select one project.
    (ii) December 31, 2001--FRA will issue a Final Record of Decision on 
the site-specific EIS for the one selected project, confirming the 
project design.

[[Page 744]]

    (f) Phase V--Completion of Detailed Engineering and Construction 
January 1, 2002 and beyond). In Phase V, the sponsoring State or State-
designated authority will oversee the efforts of the public/private 
partnership formed to progress the selected project, to complete the 
detailed engineering designs, and finance, construct, equip, and operate 
the project in revenue service. Construction will be contingent upon the 
appropriation of Federal funds. In no event will construction be 
authorized until FRA is fully satisfied that the system will meet 
appropriate safety standards.



Sec. 268.5  Federal funding sources for the Maglev Deployment Program.

    (a) Federal Maglev Funds. Section 322 of Title 23 provides for the 
following funds for the Maglev Deployment Program:
    (1) Contract authority. Fifty-five million has been made available 
for the Maglev Deployment Program as contract authority from the Highway 
Trust Fund for Fiscal Years 1999 through 2001; this would be used to 
fund the competition in all its phases and could also be used for final 
design, engineering, and construction activities of the selected 
project. Of the $55 million, the Congress has made available up to $15 
million for Fiscal Year 1999, up to $15 million for Fiscal Year 2000, 
and $25 million for Fiscal Year 2001.
    (2) Authorization for appropriations. Nine hundred fifty million, 
also from the Highway Trust Fund, has been authorized to be appropriated 
for the Maglev Deployment Program for Fiscal Years 2000 through 2003. Of 
the $950 million, $200 million is authorized to be appropriated for each 
of Fiscal Years 2000 and 2001, $250 million for Fiscal Year 2002, and 
$300 million for Fiscal Year 2003. Any decision to proceed with possible 
Federal funding of the construction of a Maglev system will be 
contingent upon the receipt of appropriations, and upon completion of 
appropriate environmental documentation.
    (b) Other Federal funds. Section 322 of Title 23 provides that the 
portion of the Maglev project not covered by Federal Maglev Funds may be 
covered by any non-Federal funding sources--including private (debt and/
or equity), State, local, regional, and other public or public/private 
entities--as well as by Federally-provided STP and CMAQ funds, and by 
other forms of financial assistance made available under title 23 and 
TEA 21, such as loans and loan guarantees.
    (c) Costs Incurred in Advance of Cooperative Agreement. Certain 
costs incurred in advance of the execution of a cooperative agreement 
between FRA and the grantee for pre-construction planning but after 
enactment of TEA 21 (June 9, 1998) will be eligible for reimbursement, 
but such costs are allowable only to the extent that they are otherwise 
allowable under the terms of a fully executed cooperative agreement.



Sec. 268.7  Federal/State share and restrictions on the uses of Federal Maglev Funds.

    (a) Federal share. The Federal share of Full Projects Costs shall be 
not more than \2/3\, with the remaining \1/3\ paid by the grant 
recipient using non-Federal funds. Funds made available under STP and 
CMAQ are considered non-Federal funds for purposes of the matching 
requirement.
    (b) Restrictions on the uses of Federal Maglev Funds. (1) Federal 
Maglev Funds may be applied only to Eligible Project Costs;
    (2) Federal Maglev Funds provided under a preconstruction planning 
grant may be used only for Phase II activities, and for completion of 
site-specific draft EIS's; see Sec. 268.3;
    (3) Federal Maglev Funds may be used to pay for only \2/3\ of 
preconstruction planning costs; grant recipients are required to pay the 
remaining \1/3\ of the costs with non-Federal funds; and
    (4) The ``prevailing wages'' requirement of the Davis Bacon Act (40 
U.S.C. 276a-276a-5) applies to any construction contracts under the 
Maglev Deployment Program.

[[Page 745]]



             Subpart B--Procedures For Financial Assistance



Sec. 268.9  Eligible participants.

    Any State, or any authority designated by one or more State(s) to 
carry out the preconstruction planning activities under the Maglev 
Deployment Program is eligible to participate in the Maglev Deployment 
Program.



Sec. 268.11  Project eligibility standards.

    (a) Project eligibility standards for preconstruction planning 
financing. (1) As required by 23 U.S.C. 322(d)(4), in order to be 
eligible to receive financial assistance, a Maglev project shall:
    (i) Involve a segment or segments of a high-speed ground 
transportation corridor that exhibit Partnership Potential;
    (ii) Require an amount of Federal funds for project financing that 
will not exceed the sum of Federal Maglev Funds, and the amounts made 
available by States under STP and CMAQ;
    (iii) Result in an operating transportation facility that provides a 
revenue producing service;
    (iv) Be undertaken through a public and private partnership, with at 
least \1/3\ of Full Project Costs paid using non-Federal funds;
    (v) Satisfy applicable statewide and metropolitan planning 
requirements;
    (vi) Be approved by FRA based on an application submitted by a State 
or authority designated by one or more States;
    (vii) To the extent that non-United States Maglev technology is used 
within the United States, be carried out as a technology transfer 
project; and
    (viii) Be carried out using materials at least 70 percent of which 
are manufactured in the United States.
    (2) FRA recognizes that applicants for preconstruction planning 
grants will not have detailed information with respect to some of the 
requirements of paragraph (a)(1) of this section, and that the purpose 
of a preconstruction planning grant is to develop much of this 
information with respect to a particular Maglev project. As required by 
Sec. 268.15, an applicant will need to provide whatever information it 
has with respect to each of the requirements of paragraph (a)(1) of this 
section, together with a certification that the applicant fully intends 
to comply with the requirements of this paragraph (a) should its project 
be selected by FRA for final design, engineering and construction 
financing.
    (b) Project eligibility standards for final design, engineering, and 
construction financing. FRA will select the most promising Maglev 
project for final design, engineering, and construction financing. To be 
eligible to be considered, the project must meet each of the following 
requirements; these requirements restate the requirements in paragraph 
(a)(1) of this section, but with more detail and in a different order:
    (1) Purpose and significance of the project. (i) The project 
description shall point to a Maglev facility and daily operation the 
primary purpose of which is the conduct of a revenue-producing passenger 
transportation service between distinct points, rather than a service 
solely for the passengers' riding pleasure.
    (ii) The project description shall incorporate scheduled operation 
at a top speed of not less than 240 mph.
    (2) Benefits for the American economy. The project description shall 
include a certification as to paragraphs (b)(2) (i) and (ii) of this 
section and, as appropriate, a technology acquisition/transfer plan 
which describes the strategy for their accomplishment.
    (i) Processes will be established that will enable an American-owned 
and -sited firm (or firms) to gain, in the course of the project, the 
capability to participate in the design, manufacture, and installation 
of the facilities and vehicles needed for a Maglev operation, if the 
owner of the selected version of Maglev technology is not an American-
owned and -sited firm (thus meeting the technology transfer requirement 
of 23 U.S.C. 322).
    (ii) The 70 percent U.S. content requirement content of 23 U.S.C. 
322 will be carried out.
    (3) Partnership potential. The project shall exhibit Partnership 
potential by satisfying the following:
    (i) A private/public partnership must be in place that is ready, 
willing, and able to finance, construct, operate, and maintain the 
project;

[[Page 746]]

    (ii) The private/public partnership either owns the version of 
Maglev technology proposed to be implemented in the project, or has an 
agreement with the owner which affords full cooperation to the 
partnership in progressing the project, including implementation of the 
technology acquisition/transfer plan if applicable; and
    (iii) The recipient of a preconstruction planning grant or the FRA 
has developed and endorsed a projection of system capital costs, demand, 
revenues, operating expenses, and total costs and benefits, that:
    (A) Covers either the entire corridor in which the Maglev project is 
involved (``Corridor''), or the project considered independently;
    (B) Demonstrates that private enterprise would be able to run the 
Corridor or the project--once built and paid for--as a completely self-
sustaining entity, in which revenues will cover operating expenses and 
continuing investment needs; and
    (C) Shows total benefits equal to or exceeding total costs.
    (4) Funding Limits and Sources. The project description shall 
include a financing plan that demonstrates project completion with the 
$950 million in Federal Maglev Funds, funds remaining unobligated from 
the $55 million in contract authority, and the funds made available 
under STP and CMAQ. The project that is selected will be eligible for 
other forms of financial assistance provided under title 23 and TEA 21, 
including loans, loan guarantees, and lines of credit. However, at least 
\1/3\ of Full Project Costs must come from non-Federal Funds.
    (5) Project Management. The State, the technology owner, and all 
other relevant project partners must include in the project description, 
an agreed upon--
    (i) Management plan that defines the partnership, responsibilities, 
and procedures for accomplishing the project;
    (ii) Project schedule that shows how timely implementation of the 
project will be accomplished, including, to the extent possible, a 
construction plan and schedule; and
    (iii) Financial plan that shows how funds will flow, in accordance 
with the other requirements of this subsection.
    (6) Planning/environmental process.
    (i) Assessment of environmental consequences of the proposed 
project. Recipients of preconstruction planning grants shall conduct an 
EA in support of the project description; and will prepare additional 
environmental studies for the project. The EA shall include information 
to support the grantee's decision to pursue the proposed project. The 
grantee shall develop the information and discuss the environmental 
consequences of the proposed technology and route in sufficient detail 
for the preparation of appropriate documentation by FRA to support 
selection of one project. This shall include: the identification of 
potential positive and negative environmental effects resulting from the 
technology (e.g. energy consumption compared to other transportation 
options); generic noise emissions at various distances from the 
centerline of the guideway; changes in electromagnetic field levels at 
various distances from the centerline of the guideway; and environmental 
screening of the proposed route (e.g., identification of land use; 
identification of endangered species possibly present and location of 
their critical habitat; identification of navigable waterways, wetlands 
and other sensitive water resources; and identification of the location 
of parks, wildlife refuges, historic and archaeological sites of 
National, State or local significance and other sites protected by 
section 4(f) of the Department of Transportation Act). The latter 
information and analysis shall be submitted four months in advance of 
the remainder of the project description. The above list is illustrative 
only. Grantees will be expected to review proposed work statements with 
FRA at pre-application meetings or through some other means to develop 
the final scope of this environmental review.
    (ii) The project description must also include letters of 
endorsement of project implementation from all the State departments of 
transportation involved, and from all Metropolitan Planning 
Organizations for metropolitan areas that would be served by the 
project.

[[Page 747]]



Sec. 268.13  Deadline for submission of applications for preconstruction planning assistance.

    Completed application packages shall be returned to FRA by December 
31, 1998. Applications shall be submitted to: Honorable Jolene M. 
Molitoris, Administrator, Federal Railroad Administration, ATTN: Maglev 
Project, RDV-11, 400 Seventh Street, SW, Stop 20,Washington, DC 20590.



Sec. 268.15  Form and contents of applications for preconstruction planning assistance.

    States, groups of States, or designated authorities that have Maglev 
projects are invited to submit applications in Phase I of the Maglev 
Deployment Program, the competition for preconstruction planning grants. 
The applications shall contain:
    (a)(1) If submitted by a State: name, address, responsible party, 
telephone, fax number, and e-mail address of the State agency submitting 
the application; or
    (2) If submitted by a designated authority: name, address, 
responsible party, telephone, fax number, and e-mail address of the 
designated authority and of the State agency or agencies on whose behalf 
the designated authority is submitting the application, together with 
letters from the State(s) evidencing all such designations;
    (b) A description of the project concept, identifying its likely 
location, market area, length, and the transportation service that it 
would perform, and a preliminary estimate of the time that would be 
required--if funds are made available--to bring the project to the start 
of construction and then to the initiation of full revenue service. At 
its option, the applicant may include any reports already completed on 
the project as well as any additional descriptive material that would 
assist the FRA in evaluating the application;
    (c) Whatever information the applicant has to demonstrate that the 
project meets the project eligibility standards in Sec. 269.11(a), and 
the project selection criteria in Sec. 268.17. together with a 
certification that the applicant fully intends to comply with the 
requirements in Sec. 269.11 should its project be selected by FRA for 
final design, engineering and construction financing.
    (d) A statement of work for the preconstruction planning activities 
to be accomplished under the planning grant. The statement shall 
describe the work to be performed, including but not necessarily limited 
to:
    (1) Preconstruction planning work as is needed to develop a Maglev 
project, and project description that will satisfy the project 
eligibility standards in Sec. 268.11(b), and the project selection 
criteria in Sec. 268.17; and
    (2) Preparation of EAs, as described in Sec. 268.11(b)(6)(i);
    (e) Management plan, schedule, and financial plan for accomplishing 
the preconstruction planning work under the planning grant;
    (f) Letters supporting the application from the heads of all State 
departments of transportation involved, as well as from responsible 
officials of the Metropolitan Planning Organizations of all metropolitan 
areas to be served by the proposed project;
    (g) A certification from the State, or from the authority designated 
by one or more States, that the \1/3\ matching funds required for work 
under the planning grant are, or will be, available by the time the 
grants are announced. The source(s) of the matching must be shown in the 
financial plan under paragraph (e); and
    (h) If the applicant has made a definitive choice of the particular 
Maglev technology proposed to be included, a description of that 
technology and the degree to which it has been produced and tested 
should be submitted. Further, if the applicant has identified 
organizations that would form members of the team that would implement 
the project, the names of those organizations and the persons 
representing them should also be submitted.



Sec. 268.17  Project selection criteria.

    Except as qualified by Sec. 268.19, the following criteria will 
govern FRA's selection of projects to receive funding under the Maglev 
Deployment Program.
    (a) Purpose and significance of the project.
    (1) The degree to which the project description demonstrates

[[Page 748]]

attractiveness to travelers, as measured in passengers and passenger-
miles.
    (2) The extent to which implementation of the project will reduce 
congestion, and attendant delay costs, in other modes of transportation; 
will reduce emissions and/or energy consumption; or will reduce the rate 
of growth in needs for additional highway or airport construction. 
Measures for this criterion will include but not be limited to the 
present value of congestion reduction, pollution reduction, and/or 
facility cost-avoidance benefits.
    (3) The degree to which the project will demonstrate the variety of 
operating conditions which are to be expected in the United States.
    (4) The degree to which the project will augment a Maglev corridor 
or network that has been identified, by any State, group of States, or 
the FRA, as having Partnership Potential.
    (b) Timely implementation. The speed with which the project can 
realistically be brought into full revenue service, based on the project 
description and on the current and projected development status of the 
Maglev technology selected by the applicant for the project.
    (c) Benefits for the American economy. The extent to which the 
project is expected to create new jobs in traditional and emerging 
industries in the United States.
    (d) Partnership potential. The degree to which the project 
description demonstrates Partnership Potential for the corridor in which 
it is involved, and/or for the project independently.
    (e) Funding limits and sources. (1) The extent and proportion to 
which States, regions, and localities commit to financially contributing 
to the project, both in terms of their own locally-raised, entirely non-
Federal funds, and in terms of commitments of scarce Federal resources 
from non-Maglev funds; and
    (2) The extent and proportion to which the private sector 
contributes financially to the project.

    Note to Sec. 268.17: FRA recognizes that applicants for 
preconstruction planning assistance may not have detailed information 
with respect to each of these criteria, and that the purpose of the 
preconstruction planning assistance is to develop much of this 
information with respect to a particular Maglev project. The 
preconstruction planning application requirements of this part 268 are 
designed to elicit whatever information an applicant may have pertaining 
to these criteria.



Sec. 268.19  Evaluation of applications for preconstruction planning assistance.

    The FRA will evaluate the applications for their completeness and 
responsiveness to the requirements listed in Sec. 268.15. In addition, 
applicants are advised that the Maglev Deployment Program contains a 
number of project eligibility standards (minimum threshold standards) 
and project evaluation criteria that will guide the FRA's review of the 
project descriptions produced under the Planning Grants. The FRA's 
implementation of these standards and criteria appears in Sec. 268.11 
and Sec. 268.17, respectively. Although subject to revision, the 
information in Sec. 268.11 and Sec. 268.17 should assist the States in 
completing their applications in the competition for planning grants, 
since the project descriptions will need to respond to the standards and 
criteria. In evaluating the applications for planning grants, FRA will 
consider how consistent the applicant's project is to the standards and 
criteria, and the application's likelihood of leading to a project that 
meets all the standards and criteria.



Sec. 268.21  Down-selection of one or more Maglev projects for further study and selection of one project for final design, engineering, and construction 
          funding.

    (a) Upon completion of Phase III of the Maglev Deployment Program, 
FRA will down-select one or more projects to complete additional 
environmental studies, investment grade revenue forecasts, and other 
studies and analyses necessary prior to initiation of construction. 
Final design and engineering work will also be initiated for the down-
selected project(s). To be down-selected a project must appear to meet 
the project eligibility standards contained in Sec. 268.11 (b), rate 
highly in the project selection criteria specified in Sec. 268.17, be 
judged by FRA to have a good chance of being constructed with the 
Federal funds authorized for this program, and be successfully operated 
by a public/private partnership.

[[Page 749]]

    (b) Only one project will be selected in Phase IV of the Maglev 
Deployment Program and be eligible for any Federal construction funds 
that Congress chooses to make available. That one project must meet each 
and every project eligibility standard contained in Sec. 268.11 (b). If 
more than one project down-selected in Phase III and funded through 
Phase IV meets all of these standards, then FRA will evaluate and 
compare the eligible projects according to the set of project selection 
criteria contained in Sec. 268.17.
    (c) In reviewing competing projects under the project eligibility 
standards and project selection criteria, the FRA will exercise 
particular vigilance regarding the following elements of the 
preconstruction planning process, although not to the exclusion of 
others:
    (1) The credibility of the demand and revenue forecasts, cost 
estimates, and benefit/cost comparisons; and
    (2) The credibility of the financial plan.
    (d) FRA intends to make periodic reviews of the processes and 
products of grant recipients. Such reviews may include, at the FRA's 
option, reviews at key milestones in the preparation of project 
descriptions.

[[Page 751]]



        CHAPTER III--FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION,
                      DEPARTMENT OF TRANSPORTATION




  --------------------------------------------------------------------


  Editorial Note: For nomenclature changes to chapter III see 59 FR 
60323, Nov. 23, 1994, and 60 FR 38742, July 28, 1995.

                    SUBCHAPTER A--GENERAL REGULATIONS
Part                                                                Page
301

[Reserved]

325             Compliance with interstate motor carrier 
                    noise emission standards................         753
         SUBCHAPTER B--FEDERAL MOTOR CARRIER SAFETY REGULATIONS
350             Commercial motor carrier safety assistance 
                    program.................................         764
355             Compatibility of State laws and regulations 
                    affecting interstate motor carrier 
                    operations..............................         777
356             Motor carrier routing regulations...........         780
360             Fees for motor carrier registration and 
                    insurance...............................         782
365             Rules governing applications for operating 
                    authority...............................         785
366             Designation of process agent................         797
367             Standards for registration with States......         798
368             Application for a certificate of 
                    registration to operate in 
                    municipalities in the United States on 
                    the United States-Mexico international 
                    border or within the commercial zones of 
                    such municipalities.....................         802
370             Principles and practices for the 
                    investigation and voluntary disposition 
                    of loss and damage claims and processing 
                    salvage.................................         804
371             Brokers of property.........................         807
372             Exemptions, commercial zones, and terminal 
                    areas...................................         808
373             Receipts and bills..........................         821
374             Passenger carrier regulations...............         823
375             Transportation of household goods in 
                    interstate commerce; consumer protection 
                    regulations.............................         830

[[Page 752]]

376             Lease and interchange of vehicles...........         868
377             Payment of transportation charges...........         875
378             Procedures governing the processing, 
                    investigation, and disposition of 
                    overcharge, duplicate payment, or 
                    overcollection claims...................         879
379             Preservation of records.....................         881
381             Waivers, exemptions, and pilot programs.....         886
382             Controlled substances and alcohol use and 
                    testing.................................         893
383             Commercial driver's license standards; 
                    requirements and penalties..............         912
384             State compliance with commercial driver's 
                    license program.........................         943
385             Safety fitness procedures...................         953
386             Rules of practice for motor carrier, broker, 
                    freight forwarder, and hazardous 
                    materials proceedings...................         975
387             Minimum levels of financial responsibility 
                    for motor carriers......................         999
388             Cooperative agreements with States..........        1021
389             Rulemaking procedures--Federal motor carrier 
                    safety regulations......................        1022
390             Federal motor carrier safety regulations; 
                    general.................................        1025
391             Qualifications of drivers...................        1038
392             Driving of commercial motor vehicles........        1066
393             Parts and accessories necessary for safe 
                    operation...............................        1074
394

[Reserved]

395             Hours of service of drivers.................        1158
396             Inspection, repair, and maintenance.........        1172
397             Transportation of hazardous materials; 
                    driving and parking rules...............        1177
398             Transportation of migrant workers...........        1194
399             Employee safety and health standards........        1202
Appendix A to Subchapter B [Reserved]
Appendix B to Subchapter B--Special Agents..................        1205
Appendixes C-E to Subchapter B [Reserved]
Appendix F to Subchapter B--Commercial Zones................        1205
Appendix G to Subchapter B--Minimum Periodic Inspection 
  Standards.................................................        1223

[[Page 753]]



                    SUBCHAPTER A--GENERAL REGULATIONS



                           PART 301 [RESERVED]



PART 325--COMPLIANCE WITH INTERSTATE MOTOR CARRIER NOISE EMISSION STANDARDS--Table of Contents




                      Subpart A--General Provisions

Sec.
325.1 Scope of the rules in this part.
325.3 Effective date.
325.5 Definitions.
325.7 Allowable noise levels.
325.9 Measurement tolerances.

                  Subpart B--Administrative Provisions

325.11 Issuance, amendment, and revocation of the rules in this part.
325.13 Inspection and examination of motor vehicles.

                       Subpart C--Instrumentation

325.21 Scope of the rules in this subpart.
325.23 Type of measurement systems which may be used.
325.25 Calibration of measurement systems.
325.27 Use of a windscreen.

      Subpart D--Measurement of Noise Emissions; Highway Operations

325.31 Scope of the rules in this subpart.
325.33 Site characteristics; highway operations.
325.35 Ambient conditions; highway operations.
325.37 Location and operation of sound level measurement system; highway 
          operations.
325.39 Measurement procedure; highway operations.

       Subpart E--Measurement of Noise Emissions; Stationary Test

325.51 Scope of the rules in this subpart.
325.53 Site characteristics; stationary test.
325.55 Ambient conditions; stationary test.
325.57 Location and operation of sound level measurement systems; 
          stationary test.
325.59 Measurement procedure; stationary test.

                      Subpart F--Correction Factors

325.71 Scope of the rules in this subpart.
325.73 Microphone distance correction factors.
325.75 Ground surface correction factors.
325.77 Computation of open site requirements--nonstandard sites.
325.79 Application of correction factors.

                  Subpart G--Exhaust Systems and Tires

325.91 Exhaust systems.
325.93 Tires.

    Authority: 42 U.S.C. 4917; 49 U.S.C. 301; 49 CFR 1.73.

    Source: 40 FR 42437, Sept. 12, 1975, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 325 appear at 66 FR 
49869, Oct. 1, 2001.



                      Subpart A--General Provisions



Sec. 325.1  Scope of the rules in this part.

    (a) The rules in this part prescribe procedures for inspection, 
surveillance, and measurement of motor vehicles and motor vehicle 
equipment operated by motor carriers to determine whether those vehicles 
and that equipment conform to the Interstate Motor Carrier Noise 
Emission Standards of the Environmental Protection Agency, 40 CFR part 
202.
    (b) Except as provided in paragraph (c) of this section, the rules 
in this part apply to motor carriers engaged in interstate commerce. The 
rules apply at any time or under any condition of highway grade, load, 
acceleration or deceleration.
    (c) The rules in this part do not apply to--
    (1) A motor vehicle that has a Gross Vehicle Weight Rating (GVWR) of 
10,000 pounds (4,536 kg.) or less;
    (2) A combination of motor vehicles that has a Gross Combination 
Weight Rating (GCWR) of 10,000 pounds (4,536 kg.) or less;
    (3) The sound generated by a warning device, such as a horn or 
siren, installed in a motor vehicle, unless such device is intentionally 
sounded in order to preclude an otherwise valid noise emission 
measurement;
    (4) An emergency motor vehicle, such as a fire engine, an ambulance, 
a police van, or a rescue van, when it is responding to an emergency 
call;
    (5) A snow plow in operation; or
    (6) The sound generated by auxiliary equipment which is normally 
operated only when the motor vehicle on which

[[Page 754]]

it is installed is stopped or is operating at a speed of 5 miles per 
hour (8 kph) or less, unless such device is intentionally operated at 
speeds greater than 5 mph (8 kph) in order to preclude an otherwise 
valid noise measurement. Examples of that type of auxiliary equipment 
include, but are not limited to, cranes, asphalt, spreaders, ditch 
diggers, liquid or slurry pumps, auxiliary air compressors, welders, and 
trash compactors.



Sec. 325.3  Effective date.

    The rules in this part are effective on October 15, 1975.



Sec. 325.5  Definitions.

    (a) Statutory definitions. All terms defined in the Noise Control 
Act of 1972 (Pub. L. 92-574, 86 Stat. 1234) are used as they are defined 
in that Act.
    (b) Definitions in standards. All terms defined in Sec. 202.10 of 
the Interstate Motor Carrier Noise Emission Standards, 40 CFR 202.10, 
are used as they are defined in that section.
    (c) Additional definitions. (1) Hard test site means any test site 
having the ground surface covered with concrete, asphalt, packed dirt, 
gravel, or similar reflective material for more than \1/2\ the distance 
between the microphone target point and the microphone location point.
    (2) Soft test site means any test site having the ground surface 
covered with grass, other ground cover, or similar absorptive material 
for \1/2\ or more of the distance between the microphone target point 
and the microphone location point.
    (3) Ground cover means any of various low, dense-growing plants, 
such as ivy, myrtle, low weeds, or brush.
    (4) Traffic railing means any longitudinal highway traffic barrier 
system installed along the side or median of a highway. For the purpose 
of this part, a traffic railing must have at least 35 percent of its 
vertical height, from the ground surface to the top of the railing, open 
to free space in order to qualify as an acceptable object within a noise 
measurement test site. Further, for the purposes of this part, posts or 
other discrete supports shall be ignored when ascertaining open free 
space.
    (5) Relatively flat when used to describe a noise measurement site 
means a site which does not contain significant concave curvatures or 
slope reversals that may result in the focusing of sound waves toward 
the microphone location point.



Sec. 325.7  Allowable noise levels.

    Motor vehicle noise emissions, when measured according to the rules 
of this part, shall not exceed the values specified in Table 1.

                     Table 1--Maximum Permissible Sound Level Readings (Decibel (A)) \1, 2\
----------------------------------------------------------------------------------------------------------------
                                                        Highway operation test               Stationary tests
                                             -------------------------------------------------------------------
                                                    Soft site             Hard Site
                                             --------------------------------------------
                                               35 mi/h    Above 35   35 mi/h    Above 35   Soft site   Hard site
                                               or less      mi/h     or less      mi/h
----------------------------------------------------------------------------------------------------------------
If the distance between the microphone
 location point and the microphone target
 point is--
    31 ft ( 9.5m) or more but less than 35           87         91         89         93          89          91
     ft (10.7m).............................
    35 ft (10.7m) or more but less than 39           86         90         88         92          88          90
     ft (11.9m).............................
    39 ft (11.9m) or more but less than 43           85         89         87         91          87          89
     ft (13.1m).............................
    43 ft (13.1m) or more but less than 48           84         88         86         90          86          88
     ft (14.6m).............................
    48 ft (14.6m) or more but less than 58           83         87         85         89          85          87
     ft (17.1m).............................
    58 ft (17.1m) or more but less than 70           82         86         84         88          84          86
     ft (21.3m).............................
    70 ft (21.3m) or more but less than 83           81         85         83         87          83          85
     ft (25.3m).............................
----------------------------------------------------------------------------------------------------------------
\1\ The speeds shown refer to measurements taken at sites having speed limits as indicated. These speed limits
  do not necessarily have to be posted.
\2\ This table is based on motor carrier noise emission requirements specified in 40 CFR 202.20 and 40 CFR
  202.21.


[[Page 755]]


[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec. 325.9  Measurement tolerances.

    (a) Measurement tolerances will be allowed to take into account the 
effects of the following factors:
    (1) The consensus standard practice of reporting filed sound level 
measurements to the nearest whole decibel.
    (2) Variations resulting from commercial instrument tolerances.
    (3) Variations resulting from the topography of the noise 
measurement site.
    (4) Variations resulting from atmospheric conditions such as wind, 
ambient temperature, and atmospheric pressure.
    (5) Variations resulting from reflected sound from small objects 
allowed within the test site.
    (6) The interpretation of the effects of the above cited factors by 
enforcement personnel.
    (b) Measurement tolerances shall not exceed 2 decibels for a given 
measurement.



                  Subpart B--Administrative Provisions



Sec. 325.11  Issuance, amendment, and revocation of the rules in this part.

    The procedures specified in part 389 of this chapter for the 
issuance, amendment, or revocation of the Federal Motor Carrier Safety 
Regulations apply to rulemaking proceedings for the issuance, amendment, 
or revocation of the rules in this part.



Sec. 325.13  Inspection and examination of motor vehicles.

    (a) Any special agent of the Federal Motor Carrier Safety 
Administration (designated in appendix B to subchapter B of this 
chapter) is authorized to inspect, examine, and test a motor vehicle 
operated by a motor carrier in accordance with the procedures specified 
in this part for the purpose of ascertaining whether the motor vehicle 
and equipment installed on the motor vehicle conforms to the Interstate 
Motor Carrier Noise Emission Standards of the Environmental Protection 
Agency, 40 CFR part 202.
    (b) A motor carrier, its officers, drivers, agents, and employees 
must, at any time, submit a motor vehicle used in its operations for 
inspection, examination, and testing for the purpose of ascertaining 
whether the motor vehicle and equipment installed on it conforms to the 
Interstate Motor Carrier Noise Emission Standards of the Environmental 
Protection Agency, 40 CFR part 202.
    (c) Prescribed inspection report. Form MCS-141, Noise Level 
Compliance Check shall be used to record findings from motor vehicles 
selected for noise emission inspection by authorized employees.
    (d) Motor carrier's disposition of form MCS-141. (1) The driver of 
any motor vehicle receiving a Form MCS-141 shall deliver such MCS-141 to 
the motor carrier operating the vehicle upon his/her arrival at the next 
terminal or facility of the motor carrier, if such arrival occurs within 
twenty-four (24) hours. If the driver does not arrive at a terminal or 
facility of the motor carrier operating the vehicle within twenty-four 
(24) hours he/she shall immediately mail the Form MCS-141 to the motor 
carrier. For operating convenience, motor carriers may designate any 
shop, terminal, facility, or person to which it may instruct its drivers 
to deliver or forward Form MCS-141. It shall be the sole responsibility 
of the motor carrier that Form MCS-141 is returned to the Federal 
Highway Administration, in accordance with the terms prescribed thereon 
and in paragraphs (d) (2) and (3) of this section. A driver, if himself/
herself a motor carrier, shall return Form MCS-141 to the Federal Motor 
carrier Safety Administration , in accordance with the terms prescribed 
thereon and in paragraphs (d) (2) and (3) of this section.
    (2) Motor carriers shall carefully examine Forms MCS-141. 
Appropriate corrective action shall be taken on vehicles found to be not 
in compliance with the requirements of this part.
    (3) Motor carriers must complete the ``Motor Carrier Certification 
of Action Taken'' on Form MCS-141 in accordance with the terms 
prescribed thereon. Motor carriers must return Forms MCS-141 to the 
Division Office at the address indicated on Form MCS-141

[[Page 756]]

within fifteen (15) days following the date of the vehicle inspection.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976; 
54 FR 50385, Dec. 6, 1989; 60 FR 38743, July 28, 1995; 66 FR 49869, Oct. 
1, 2001]



                       Subpart C--Instrumentation



Sec. 325.21  Scope of the rules in this subpart.

    The rules in this subpart specify criteria for sound level 
measurement systems which are used to make the sound level measurements 
specified in subpart D and subpart E of this part.



Sec. 325.23  Type of measurement systems which may be used.

    The sound level measurement system must meet or exceed the 
requirements of American National Standard Specification for Sound Level 
Meters (ANSI S1.4-1971), approved April 27, 1971, issued by the American 
National Standards Institute, \1\ throughout the applicable frequency 
range for either:
---------------------------------------------------------------------------

    \1\ Copies of the specification may be secured from the American 
National Standards Institute, 1430 Broadway, New York, New York, 10018.
---------------------------------------------------------------------------

    (a) A Type 1 sound level meter;
    (b) A Type 2 sound level meter; or
    (c) A Type S sound level meter which has--
    (1) A weighing frequency response;
    (2) Fast dynamic characteristics of its indicating instrument; and
    (3) A relative response level tolerance consistent with those of 
either a Type 1 or Type 2 sound level meter, as specified in section 3.2 
of ANSI S1.4-1971.



Sec. 325.25  Calibration of measurement systems.

    (a)(1) The sound level measurement system must be calibrated and 
appropriately adjusted at one or more frequencies in the range from 250 
to 1,000 Hz at the beginning of each series of measurements and at 
intervals of 5-15 minutes thereafter, until it has been determined that 
the sound level measurement system has not significantly drifted from 
its calibrated level. Once this fact has been established, calibrations 
may be made at intervals once every hour. A significant drift shall be 
considered to have occurred if a 0.3 dB or more excursion is noted from 
the system's predetermined reference calibration level. In the case of 
systems using displays with whole decibel increments, the operator may 
visually judge when the 0.3 dB drift has been met or exceeded.
    (2) The sound level measurement system must be checked periodically 
by its manufacturer, a representative of its manufacturer, or a person 
of equivalent special competence to verify that its accuracy meets the 
manufacturer's design criteria.
    (b) An acoustical calibrator of the microphone coupler type designed 
for the sound level measurement system in use shall be used to calibrate 
the sound level measurement system in accordance with paragraph (a) of 
this section. The calibration must meet or exceed the accuracy 
requirements specified in section 5.4.1 of the American National 
Standard Institute Standard Methods for Measurements of Sound Pressure 
Levels (ANSI S1.13-1971) for field method measurements.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec. 325.27  Use of a windscreen.

    A properly installed windscreen, of the type recommended by the 
manufacturer of the Sound Level Measurement System, shall be used during 
the time that noise emission measurements are being taken.



      Subpart D--Measurement of Noise Emissions; Highway Operations



Sec. 325.31  Scope of the rules in this subpart.

    The rules in this subpart specify conditions and procedures for 
measurement of the sound level generated by a motor vehicle engaged in a 
highway operation for the purpose of ascertaining whether the motor 
vehicle conforms to the Standards for Highway Operations set forth in 40 
CFR 202.20.



Sec. 325.33  Site characteristics; highway operations.

    (a) Measurement shall be made at a test site which is adjacent to, 
and includes a portion of, a traveled lane of a

[[Page 757]]

public highway. A microphone target point shall be established on the 
centerline of the traveled lane of the highway, and a microphone 
location point shall be established on the ground surface not less than 
31 feet (9.5 m) or more than 83 feet (25.3 m) from the microphone target 
point and on a line that is perpendicular to the centerline of the 
traveled lane of the highway and that passes through the microphone 
target point. In the case of a standard test site, the microphone 
location point is 50 feet (15.2 m) from the microphone target point. 
Within the test site is a triangular measurement area. A plan view 
diagram of a standard test site, having an open site within a 50-foot 
(15.2 m) radius of both the microphone target point and the microphone 
location point, is shown in Figure 1. Measurements may be made at a test 
site having smaller or greater dimensions in accordance with the rules 
in subpart F of this part.
[GRAPHIC] [TIFF OMITTED] TC01AP91.010

    (b) The test site must be an open site, essentially free of large 
sound-reflecting objects. However, the following objects may be within 
the test site, including the triangular measurement area:
    (1) Small cylindrical objects such as fire hydrants or telephone or 
utility poles.
    (2) Rural mailboxes.
    (3) Traffic railings of any type of construction except solid 
concrete barriers (see Sec. 325.5(c)(4)).
    (4) One or more curbs having a vertical height of 1 foot (.3 m) or 
less.
    (c) The following objects may be within the test site if they are 
outside of the triangular measurement area of the site:
    (1) Any vertical surface (such as billboard), regardless of size, 
having a lower edge more than 15 feet (4.6 m) higher than the surface of 
the traveled lane of the highway.
    (2) Any uniformly smooth sloping surface slanting away from the 
highway (such as a rise in grade alongside the highway) with a slope 
that is less than 45 degrees above the horizontal.
    (3) Any surface slanting away from the highway that is 45 degrees or 
more and not more than 90 degrees above the horizontal, if all points on 
the surface are more than 15 feet (4.6 m) above the surface of the 
traveled lane of the highway.
    (d) The surface of the ground within the measurement area must be 
relatively flat (see Sec. 325.5(c)(5)). The site shall be a ``soft'' 
test site. However, if the site is determined to be ``hard,'' the 
correction factor specified in Sec. 325.75(a) of this part shall be 
applied to the measurement.
    (e) The traveled lane of the highway within the test site must be 
dry, paved with relatively smooth concrete or asphalt, and substantially 
free of--
    (1) Holes or other defects which would cause a motor vehicle to emit 
irregular tire, body, or chassis impact noise; and
    (2) Loose material, such as gravel or sand.
    (f) The traveled lane of the highway on which the microphone target 
point is situated must not pass through a tunnel or underpass located 
within 200 feet (61 m) of that point.

[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec. 325.35  Ambient conditions; highway operations.

    (a)(1) Sound. The ambient A-weighted sound level at the microphone 
location point shall be measured, in the absence of motor vehicle noise 
emanating from within the clear zone, with fast meter response using a 
sound level measurement system that conforms to the rules of 
Sec. 325.23.
    (2) The measured ambient level must be 10 dB(A) or more below that 
level

[[Page 758]]

specified in Sec. 325.7, Table 1, which corresponds to the maximum 
permissible sound level reading which is applicable at the test site at 
the time of testing.
    (b) Wind. The wind velocity at the test shall be measured at the 
beginning of each series of noise measurements and at intervals of 5-15 
minutes thereafter until it has been established that the wind velocity 
is essentially constant. Once this fact has been established, wind 
velocity measurements may be made at intervals of once every hour. Noise 
measurements may only be made if the measured wind velocity is 12 mph 
(19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 kph) 
are allowed.
    (c) Precipitation. Measurements are prohibited under any condition 
of precipitation, however, measurements may be made with snow on the 
ground. The ground surface within the measurement area must be free of 
standing water.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976; 
41 FR 28267, July 9, 1976]



Sec. 325.37  Location and operation of sound level measurement system; highway operations.

    (a) The microphone of a sound level measurement system that conforms 
to the rules in Sec. 325.23 of this part shall be located at a height of 
not less than 2 feet (.6 m) nor more than 6 feet (1.8 M) above the plane 
of the roadway surface and not less than 3\1/2\ feet (1.1 m) above the 
surface on which the microphone stands. The preferred microphone height 
on flat terrain is 4 feet (1.2 m).
    (b)(1) When the sound level measurement system is hand-held or is 
otherwise monitored by a person located near its microphone, the holder 
must orient himself/herself relative to the highway in a manner 
consistent with the recommendation of the manufacturer of the sound 
level measurement system.
    (2) In no case shall the holder or observer be closer than 2 feet 
(.6 m) from the system's microphone, nor shall he/she locate himself/
herself between the microphone and the vehicle being measured.
    (c) The microphone of the sound level measurement system shall be 
oriented toward the traveled lane of the highway at the microphone 
target point at an angle that is consistent with the recommendation of 
the system's manufacturer. If the manufacturer of the system does not 
recommend an angle of orientation for its microphone, the microphone 
shall be oriented toward the highway at an angle of not less than 70 
degrees and not more than perpendicular to the horizontal plane of the 
traveled lane of the highway at the microphone target point.
    (d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec. 325.39  Measurement procedure; highway operations.

    (a) In accordance with the rules in this subpart, a measurement 
shall be made of the sound level generated by a motor vehicle operating 
through the measurement area on the traveled lane of the highway within 
the test site, regardless of the highway grade, load, acceleration or 
deceleration.
    (b) The sound level generated by the motor vehicle is the highest 
reading observed on the sound level measurement system as the vehicle 
passes through the measurement area, corrected, when appropriate, in 
accordance with the rules in subpart F of this part. (Table 1 in 
Sec. 325.7 lists the range of maximum permissible sound level readings 
for various test conditions.) The sound level of the vehicle being 
measured must be observed to rise at least 6 dB(A) before the maximum 
sound level occurs and to fall at least 6 dB(A) after the maximum sound 
level occurs in order to be considered a valid sound level reading.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



       Subpart E--Measurement of Noise Emissions; Stationary Test



Sec. 325.51  Scope of the rules in this subpart.

    (a) The rules in this subpart specify conditions and procedures for 
measuring the sound level generated by a

[[Page 759]]

vehicle when the vehicle's engine is rapidly accelerated from idle to 
governed speed at wide open throttle with the vehicle stationary, its 
transmission in neutral, and its clutch engaged, for the purpose of 
ascertaining whether the motor vehicle conforms to the Standard for 
Operation Under Stationary Test, 40 CFR 202.21.
    (b) The rules in this subpart apply only to a motor vehicle that is 
equipped with an engine speed governor.
    (c) Tests conducted in accordance with the rules of this subpart may 
be made on either side of the vehicle.



Sec. 325.53  Site characteristics; stationary test.

    (a)(1) The motor vehicle to be tested shall be parked on the test 
site. A microphone target point shall be established on the ground 
surface of the site on the centerline of the lane in which the motor 
vehicle is parked at a point that is within 3 feet (.9 m) of the 
longitudinal position of the vehicle's exhaust system outlet(s). A 
microphone location point shall be established on the ground surface not 
less than 31 feet (9.5 m) and not more than 83 feet (25.3 m) from the 
microphone target point. Within the test site is a triangular 
measurement area. A plan view diagram of a standard test site, having an 
open site within a 50-foot (15.2 m) radius of both the microphone target 
point and the microphone location point, is shown in Figure 2.
[GRAPHIC] [TIFF OMITTED] TC01AP91.011

    (2) Measurements may be made at a test site having smaller or 
greater dimensions in accordance with the rules in subpart F of this 
part.
    (b) The test site must be an open site, essentially free of large 
sound-reflecting objects. However, the following objects may be within 
the test site, including the triangular measurement area:
    (1) Small cylindrical objects such as fire hydrants or telephone or 
utility poles.
    (2) Rural mailboxes.
    (3) Traffic railings of any type of construction except solid 
concrete barriers (see Sec. 325.5(c)(4)).
    (4) One or more curbs having a height of 1 foot (.3 m) or less.
    (c) The following objects may be within the test site if they are 
outside of the triangular measurement area of the site:
    (1) Any vertical surface, regardless of size (such as a billboard), 
having a lower edge more than 15 feet (4.6 m) above the ground.
    (2) Any uniformly smooth surface slanting away from the vehicle with 
a slope that is less than 45 degrees above the horizontal.
    (3) Any surface slanting away from the vehicle that is 45 degrees or 
more and not more than 90 degrees above the horizontal, if all points on 
the surface are more than 15 feet (4.6 m) above the surface of the 
ground in the test site.
    (d) The surface of the ground within the measurement area must be 
relatively flat. (See Sec. 325.5(c)(5)). The site shall be a ``hard'' 
site. However, if the site is determined to be ``soft,'' the correction 
factor specified in Sec. 325.75(b) of this part shall be applied to the 
measurement.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976; 
54 FR 50385, Dec. 6, 1989]



Sec. 325.55  Ambient conditions; stationary test.

    (a)(1) Sound. The ambient A-weighted sound level at the microphone 
location point shall be measured, in the absence of motor vehicle noise 
emanating from within the clear zone, with fast meter response using a 
sound level measurement system that conforms to the rules of 
Sec. 325.23.
    (2) The measured ambient level must be 10 dB(A) or more below that 
level specified in Sec. 325.7, Table 1, which corresponds to the maximum 
permissible

[[Page 760]]

sound level reading which is applicable at the test site at the time of 
testing.
    (b) Wind. The wind velocity at the test site shall be measured at 
the beginning of each series of noise measurements and at intervals of 
5-15 minutes thereafter until it has been established that the wind 
velocity is essentially constant. Once this fact has been established, 
wind velocity measurements may be made at intervals of once every hour. 
Noise measurements may only be made if the measured wind velocity is 12 
mph (19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 
kph) are allowed.
    (c) Precipitation. Measurements are prohibited under any conditions 
of precipitation, however, measurements may be made with snow on the 
ground. The ground within the measurement area must be free of standing 
water.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 28267, July 9, 1976]



Sec. 325.57  Location and operation of sound level measurement systems; stationary test.

    (a) The microphone of a sound level measurement system that conforms 
to the rules in Sec. 325.23 shall be located at a height of not less 
than 2 feet (.6 m) nor more than 6 feet (1.8 m) above the plane of the 
roadway surface and not less than 3\1/2\ feet (1.1 m) above the surface 
on which the microphone stands. The preferred microphone height on flat 
terrain is 4 feet (1.2 m).
    (b) When the sound level measurement system is hand-held or 
otherwise monitored by a person located near its microphone, the holder 
must orient himself/herself relative to the highway in a manner 
consistent with the recommendation of the manufacturer of the sound 
level measurement system. In no case shall the holder or observer be 
closer than 2 feet (.6 m) from the system's microphone, nor shall he/she 
locate himself/herself between the microphone and the vehicle being 
measured.
    (c) The microphone of the sound level measurement system shall be 
oriented toward the vehicle at an angle that is consistent with the 
recommendation of the system's manufacturer. If the manufacturer of the 
system does not recommend an angle of orientation for its microphone, 
the microphone shall be oriented at an angle of not less than 70 degrees 
and not more than perpendicular to the horizontal plane of the test site 
at the microphone target point.
    (d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec. 325.59  Measurement procedure; stationary test.

    In accordance with the rules in this subpart, a measurement shall be 
made of the sound level generated by a stationary motor vehicle as 
follows:
    (a) Park the motor vehicle on the test site as specified in 
Sec. 325.53 of this subpart. If the motor vehicle is a combination 
(articulated) vehicle, park the combination so that the longitudinal 
centerlines of the towing vehicle and the towed vehicle or vehicles are 
in substantial alinement.
    (b) Turn off all auxiliary equipment which is installed on the motor 
vehicle and which is designed to operate under normal conditions only 
when the vehicle is operating at a speed of 5 mph (8 kph) or less. 
Examples of such equipment include cranes, asphalt spreaders, liquid or 
slurry pumps, auxiliary air compressors, welders, and trash compactors.
    (c) If the motor vehicle's engine radiator fan drive is equipped 
with a clutch or similar device that automatically either reduces the 
rotational speed of the fan or completely disengages the fan from its 
power source in response to reduced engine cooling loads, park the 
vehicle before testing with its engine running at high idle or any other 
speed the operator may choose, for sufficient time but not more than 10 
minutes, to permit the engine radiator fan to automatically disengage 
when the vehicle's noise emissions are measured under stationary test.
    (d) With the motor vehicle's transmission in neutral and its clutch 
engaged, rapidly accelerate the vehicle's engine from idle to its 
maximum governed speed with wide open throttle. Return the engine's 
speed to idle.

[[Page 761]]

    (e) Observe the maximum reading on the sound level measurement 
system during the time the procedures specified in paragraph (d) of this 
section are followed. Record that reading, if the reading has not been 
influenced by extraneous noise sources such as motor vehicles operating 
on adjacent roadways.
    (f) Repeat the procedures specified in paragraphs (d) and (e) of 
this section until the first two maximum sound level readings that are 
within 2 dB(A) of each other are recorded. Numerically average those two 
maximum sound level readings. When appropriate, correct the average 
figure in accordance with the rules in subpart F of this part.
    (g) The average figure, corrected as appropriate, contained in 
accordance with paragraph (f) of this section, is the sound level 
generated by the motor vehicle for the purpose of determining whether it 
conforms to the Standard for Operation Under Stationary Test, 40 CFR 
202.21. (Table 1 in Sec. 325.7 lists the range of maximum permissible 
sound level readings for various test conditions.)

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976]



                      Subpart F--Correction Factors



Sec. 325.71  Scope of the rules in this subpart.

    (a) The rules in this subpart specify correction factors which are 
added to, or subtracted from, the reading of the sound level generated 
by a motor vehicle, as displayed on a sound level measurement system, 
during the measurement of the motor vehicle's sound level emissions at a 
test site which is not a standard site.
    (b) The purpose of adding or subtracting a correction factor is to 
equate the sound level reading actually generated by the motor vehicle 
to the sound level reading it would have generated if the measurement 
had been made at a standard test site.



Sec. 325.73  Microphone distance correction factors. \1\
---------------------------------------------------------------------------

    \1\ Table 1, in Sec. 325.7 is a tabulation of the maximum allowable 
sound level readings taking into account both the distance correction 
factors contained in Sec. 325.73 and the ground surface correction 
factors contained in Sec. 325.75.
---------------------------------------------------------------------------

    If the distance between the microphone location point and the 
microphone target point is other than 50 feet (15.2 m), the maximum 
observed sound level reading generated by the motor vehicle in 
accordance with Sec. 325.39 of this part or the numerical average of the 
recorded maximum observed sound level readings generated by the motor 
vehicle in accordance with Sec. 325.59 of this part shall be corrected 
as specified in the following table:

                  Table 2--Distance Correction Factors
------------------------------------------------------------------------
                                                               The value
                                                               dB(A) to
                                                              be applied
                                                                to the
  If the distance between the microphone location point and    observed
               the microphone target point is                    sound
                                                                 level
                                                              reading is-
                                                                   -
------------------------------------------------------------------------
31 feet (9.5 m) or more but less than 35 feet (10.7 m)......          -4
35 feet (10.7 m) or more but less than 39 feet (11.9 m).....          -3
39 feet (11.9 m) or more but less than 43 feet (13.1 m).....          -2
43 feet (13.1 m) or more but less than 48 feet (14.6 m).....          -1
48 feet (14.6 m) or more but less than 58 feet (17.7 m).....           0
58 feet (17.7 m) or more but less than 70 feet (21.3 m).....          +1
70 feet (21.3 m) or more but less than 83 feet (25.3 m).....          +2
------------------------------------------------------------------------


[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec. 325.75  Ground surface correction factors. \1\
---------------------------------------------------------------------------

    \1\ Table 1, in Sec. 325.7 is a tabulation of the maximum allowable 
sound level readings taking into account both the distance correction 
factors contained in Sec. 325.73 and the ground surface correction 
factors contained in Sec. 325.75.
---------------------------------------------------------------------------

    (a) Highway operations. When measurements are made in accordance 
with the rules in subpart D of this part upon

[[Page 762]]

a test site which is ``hard,'' a correction factor of 2 dB(A) shall be 
subtracted from the maximum observed sound level reading generated by 
the motor vehicle to determine whether the motor vehicle conforms to the 
Standards for Highway Operations, 40 CFR 202.20.
    (b) Stationary Test. When measurements are made in accordance with 
the rules in subpart E of this part upon a test site which is ``soft,'' 
a correction factor of 2 dB(A) shall be added to the numerical average 
of the recorded maximum observed sound level readings generated by the 
motor vehicle to determine whether the motor vehicle conforms to the 
Standard for Operation Under Stationary Test, 40 CFR 202.21.



Sec. 325.77  Computation of open site requirements--nonstandard sites.

    (a) If the distance between the microphone location point and the 
microphone target point is other than 50 feet (15.2 m), the test site 
must be an open site within a radius from both points which is equal to 
the distance between the microphone location point and the microphone 
target point.
    (b) Plan view diagrams of nonstandard test sites are shown in 
Figures 3 and 4. Figure 3 illustrates a test site which is larger than a 
standard test site and is based upon a 60-foot (18.3 m) distance between 
the microphone location point and the microphone target point. (See 
Sec. 325.79(b)(1) for an example of the application of the correction 
factor to a sound level reading obtained at such a site.) Figure 4 
illustrates a test site which is smaller than a standard test site and 
is based upon a 35-foot (10.7 m) distance between the microphone 
location point and the microphone target point. (See Sec. 325.79(b)(2) 
for an example of the application of the correction factor to a sound 
level reading obtained at such a site.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.012

[GRAPHIC] [TIFF OMITTED] TC01AP91.013



Sec. 325.79  Application of correction factors.

    (a) If two correction factors apply to a measurement they are 
applied cumulatively.
    (b) The following examples illustrate the application of correction 
factors to sound level measurement readings:
    (1) Example 1--Highway operations. Assume that a motor vehicle 
generates a maximum observed sound level reading of 86 dB(A) during a 
measurement in accordance with the rules in subpart D of this part. 
Assume also that the distance between the microphone location point and 
the microphone target point

[[Page 763]]

is 60 feet (18.3 m) and that the measurement area of the test site is 
acoustically ``hard.'' The corrected sound level generated by the motor 
vehicle would be 85 dB(A), calculated as follows:

 86 dB(A) Uncorrected reading
+1 dB(A) Distance correction factor
-2 dB(A) Ground surface correction factor
----------
 85 dB(A) Corrected reading

    (2) Example 2--Stationary test. Assume that a motor vehicle 
generates maximum sound level readings which average 88 dB(A) during a 
measurement in accordance with the rules in subpart E of this part. 
Assume also that the distance between the microphone location point and 
the microphone target point is 35 feet (10.7 m), and that the 
measurement area of the test site is acoustically ``soft.'' The 
corrected sound level generated by the motor vehicle would be 87 dB(A), 
calculated as follows:

 88 dB(A) Uncorrected average of readings
-3 dB(A) Distance correction factor
+2 dB(A) Ground surface correction factor
----------

 87 dB(A) Corrected reading



                  Subpart G--Exhaust Systems and Tires



Sec. 325.91  Exhaust systems.

    A motor vehicle does not conform to the visual exhaust system 
inspection requirements, 40 CFR 202.22, of the Interstate Motor Carrier 
Noise Emission Standards, if inspection of the exhaust system of the 
motor vehicle discloses that the system--
    (a) Has a defect which adversely affects sound reduction, such as 
exhaust gas leaks or alteration or deterioration of muffler elements, 
(small traces of soot on flexible exhaust pipe sections shall not 
constitute a violation of this subpart);
    (b) Is not equipped with either a muffler or other noise dissipative 
device, such as a turbocharger (supercharger driven by exhaust gases); 
or
    (c) Is equipped with a cut-out, by-pass, or similar device, unless 
such device is designed as an exhaust gas driven cargo unloading system.



Sec. 325.93  Tires.

    (a) Except as provided in paragraph (b) of this section, a motor 
vehicle does not conform to the visual tire inspection requirements, 40 
CFR 202.23, of the Interstate Motor Carrier Noise Emissions Standards, 
if inspection of any tire on which the vehicle is operating discloses 
that the tire has a tread pattern composed primarily of cavities in the 
tread (excluding sipes and local chunking) which are not vented by 
grooves to the tire shoulder or circumferentially to each other around 
the tire.
    (b) Paragraph (a) of this section does not apply to a motor vehicle 
operated on a tire having a tread pattern of the type specified in that 
paragraph, if the motor carrier who operates the motor vehicle 
demonstrates to the satisfaction of the Administrator or his/her 
designee that either--
    (1) The tire did not have that type of tread pattern when it was 
originally manufactured or newly remanufactured; or
    (2) The motor vehicle generates a maximum sound level reading of 90 
dB(A) or less when measured at a standard test site for highway 
operations at a distance of 15.3 meters (50 feet) and under the 
following conditions:
    (i) The measurement must be made at a time and place and under 
conditions specified by the Administrator or his/her designee.
    (ii) The motor vehicle must be operated on the same tires that were 
installed on it when the inspection specified in paragraph (a) of this 
section occurred.
    (iii) The motor vehicle must be operated on a highway having a 
posted speed limit of more than 56.3 kph (35 mph).
    (iv) The sound level measurement must be made while the motor 
vehicle is operating at the posted speed limit.

[40 FR 42437, Sept. 12, 1975, as amended at 60 FR 38743, July 28, 1995]

[[Page 764]]



         SUBCHAPTER B--FEDERAL MOTOR CARRIER SAFETY REGULATIONS


PART 350--COMMERCIAL MOTOR CARRIER SAFETY ASSISTANCE PROGRAM--Table of Contents




                           Subpart A--General

Sec.
350.101 What is the Motor Carrier Safety Assistance Program (MCSAP)?
350.103 What is the purpose of this part?
350.105 What definitions are used in this part?
350.107 What jurisdictions are eligible for MCSAP funding?
350.109 What are the national program elements?
350.111 What constitutes ``traffic enforcement'' for the purpose of the 
          MCSAP?

                Subpart B--Requirements for Participation

350.201 What conditions must a State meet to qualify for Basic Program 
          Funds?
350.203 [Reserved]
350.205 How and when does a State apply for MCSAP funding?
350.207 What response does a State receive to its CVSP submission?
350.209 How does a State demonstrate that it satisfies the conditions 
          for Basic Program funding?
350.211 What is the format of the certification required by 
          Sec. 350.209?
350.213 What must a State CVSP include?
350.215 What are the consequences for a State that fails to perform 
          according to an approved CVSP or otherwise fails to meet the 
          conditions of this part?
350.217 What are the consequences for a State with a CDL program not in 
          substantial compliance with 49 CFR part 384, subpart B?

                           Subpart C--Funding

350.301 What level of effort must a State maintain to qualify for MCSAP 
          funding?
350.303 What are the State and Federal shares of expenses incurred under 
          an approved CVSP?
350.305 Are U.S. Territories subject to the matching funds requirement?
350.307 How long are MCSAP funds available to a State?
350.309 What activities are eligible for reimbursement under the MCSAP?
350.311 What specific items are eligible for reimbursement under the 
          MCSAP?
350.313 How are MCSAP funds allocated?
350.315 How may Basic Program Funds be used?
350.317 What are Incentive Funds and how may they be used?
350.319 What are permissible uses of High Priority Activity Funds?
350.321 What are permissible uses of Border Activity Funds?
350.323 What criteria are used in the Basic Program Funds allocation?
350.325 [Reserved]
350.327 How may States qualify for Incentive Funds?
350.329 How may a State or a local agency qualify for High Priority or 
          Border Activity Funds?
350.331 How does a State ensure its laws and regulations are compatible 
          with the FMCSRs and HMRs?
350.333 What are the guidelines for the compatibility review?
350.335 What are the consequences if my State has laws or regulations 
          incompatible with the Federal regulations?
350.337 How may State laws and regulations governing motor carriers, CMV 
          drivers, and CMVs in interstate commerce differ from the 
          FMCSRs and still be considered compatible?
350.339 What are tolerance guidelines?
350.341 What specific variances from the FMCSRs are allowed for State 
          laws and regulations governing motor carriers, CMV drivers, 
          and CMVs engaged in intrastate commerce and not subject to 
          Federal jurisdiction?
350.343 How may a State obtain a new exemption for State laws and 
          regulations for a specific industry involved in intrastate 
          commerce?
350.345 How does a State apply for additional variances from the FMCSRs?

    Authority: 49 U.S.C. 13902, 31100-31104, 31108, 31136, 31140-31141, 
31161, 31310-31311, 31502; and 49 CFR 1.73.

    Source: 65 FR 15102, Mar. 21, 2000, unless otherwise noted.



                           Subpart A--General



Sec. 350.101  What is the Motor Carrier Safety Assistance Program (MCSAP)?

    The MCSAP is a Federal grant program that provides financial 
assistance to States to reduce the number and severity of accidents and 
hazardous materials incidents involving commercial motor vehicles (CMV). 
The goal of the MCSAP is to reduce CMV-involved accidents, fatalities, 
and injuries through

[[Page 765]]

consistent, uniform, and effective CMV safety programs. Investing grant 
monies in appropriate safety programs will increase the likelihood that 
safety defects, driver deficiencies, and unsafe motor carrier practices 
will be detected and corrected before they become contributing factors 
to accidents. The MCSAP also sets forth the conditions for participation 
by States and local jurisdictions and promotes the adoption and uniform 
enforcement of safety rules, regulations, and standards compatible with 
the Federal Motor Carrier Safety Regulations (FMCSRs) and Federal 
Hazardous Material Regulations (HMRs) for both interstate and intrastate 
motor carriers and drivers.



Sec. 350.103  What is the purpose of this part?

    The purpose of this part is to ensure the Federal Motor Carrier 
Safety Administration (FMCSA), States, and other political jurisdictions 
work in partnership to establish programs to improve motor carrier, CMV, 
and driver safety to support a safe and efficient transportation system.



Sec. 350.105  What definitions are used in this part?

    10-year average accident rate means for each State, the aggregate 
number of large truck-involved fatal crashes (as reported in the 
Fatality Analysis Reporting System (FARS)) for a 10-year period divided 
by the aggregate vehicle miles traveled (VMT) (as defined by the Federal 
Motor Carrier Safety Administration (FMCSA) ) for the same 10-year 
period.
    Accident rate means for each State, the total number of fatal 
crashes involving large trucks (as measured by the FARS for each State) 
divided by the total VMT as defined by the FMCSA for each State for all 
vehicles.
    Agency means Federal Motor Carrier Safety Administration.
    Administrative Takedown Funds means funds deducted by the FMCSA each 
fiscal year from the amount made available for the MCSAP for expenses 
incurred in the administration of the MCSAP, including expenses to train 
State and local government employees.
    Administrator means Federal Motor Carrier Safety Administrator.
    Basic Program Funds means the total MCSAP funds less the High 
Priority Activity, Border Activity, Administrative Takedown, and 
Incentive Funds.
    Border Activity Funds means funds provided to States, local 
governments, and other persons carrying out programs, activities, and 
projects relating to CMV safety and regulatory enforcement supporting 
the North American Free Trade Agreement (NAFTA) at the U.S. border. Up 
to 5 percent of total MCSAP funds are available for these activities.
    Commercial motor vehicle (CMV) means a motor vehicle that has any of 
the following characteristics:
    (1) A gross vehicle weight (GVW), gross vehicle weight rating 
(GVWR), gross combination weight (GCW), or gross combination weight 
rating (GCWR) of 4,537 kilograms (10,001 pounds) or more.
    (2) Regardless of weight, is designed or used to transport 16 or 
more passengers, including driver.
    (3) Regardless of weight, is used in the transportation of hazardous 
materials and is required to be placarded pursuant to 49 CFR part 172, 
subpart F.
    Commercial vehicle safety plan (CVSP) means the document outlining 
the State's CMV safety objectives, strategies, activities and 
performance measures.
    Compatible or Compatibility means State laws and regulations 
applicable to interstate commerce and to intrastate movement of 
hazardous materials are identical to the FMCSRs and the HMRs or have the 
same effect as the FMCSRs. State laws applicable to intrastate commerce 
are either identical to, or have the same effect as, the FMCSRs or fall 
within the established limited variances under Sec. 350.341.
    High Priority Activity Funds means funds provided to States, local 
governments, and other persons carrying out activities and projects that 
directly support the MCSAP, are national in scope in that the successful 
activity or project could potentially be applied in other States on a 
national scale, and improve CMV safety and compliance with CMV safety 
regulations. Up to 5 percent of total MCSAP funds are available for 
these activities.

[[Page 766]]

    Incentive Funds means funds awarded to States achieving reductions 
in CMV involved fatal accidents, CMV fatal accident rate, or meeting 
specified CMV safety program performance criteria.
    Large truck means a truck over 10,000 pounds gross vehicle weight 
rating including single unit trucks and truck tractors (FARS 
definition).
    Motor carrier means a for-hire motor carrier or private motor 
carrier. The term includes a motor carrier's agents, officers, or 
representatives responsible for hiring, supervising, training, 
assigning, or dispatching a driver or concerned with the installation, 
inspection, and maintenance of motor vehicle equipment or accessories or 
both.
    North American Standard Inspection means the methodology used by 
State CMV safety inspectors to conduct safety inspections of CMVs. This 
consists of various levels of inspection of the vehicle or driver or 
both. The inspection criteria are developed by the FMCSA in conjunction 
with the Commercial Vehicle Safety Alliance (CVSA), an association of 
States, Canadian Provinces, and Mexico whose members agree to adopt 
these standards for inspecting CMVs in their jurisdiction.



Sec. 350.107  What jurisdictions are eligible for MCSAP funding?

    All of the States, the District of Columbia, the Commonwealth of 
Puerto Rico, the Commonwealth of the Northern Mariana Islands, American 
Samoa, Guam, and the Virgin Islands are eligible to receive MCSAP grants 
directly from the FMCSA. For purposes of this subpart, all references to 
``State'' or ``States'' include these jurisdictions.



Sec. 350.109  What are the national program elements?

    The national program elements include the following five activities:
    (a) Driver/vehicle inspections.
    (b) Traffic enforcement.
    (c) Compliance reviews.
    (d) Public education and awareness.
    (e) Data collection.



Sec. 350.111  What constitutes ``traffic enforcement'' for the purpose of the MCSAP?

    Traffic enforcement means enforcement activities of State or local 
officials, including stopping CMVs operating on highways, streets, or 
roads for violations of State or local motor vehicle or traffic laws 
(e.g., speeding, following too closely, reckless driving, improper lane 
change). To be eligible for funding through the grant, traffic 
enforcement must include an appropriate North American Standard 
Inspection of the CMV or driver or both prior to releasing the driver or 
CMV for resumption of operations.



                Subpart B--Requirements for Participation



Sec. 350.201  What conditions must a State meet to qualify for Basic Program Funds?

    Each State must meet the following twenty-two conditions:
    (a) Assume responsibility for improving motor carrier safety and 
adopting and enforcing State safety laws and regulations that are 
compatible with the FMCSRs (49 CFR parts 390-397) and the HMRs (49 CFR 
parts 107 (subparts F and G only), 171-173, 177, 178 and 180), except as 
may be determined by the Administrator to be inapplicable to a State 
enforcement program.
    (b) Implement a performance-based program by the beginning of Fiscal 
Year 2000 and submit a CVSP which will serve as the basis for monitoring 
and evaluating the State's performance.
    (c) Designate, in its State Certification, the lead State agency 
responsible for implementing the CVSP.
    (d) Ensure that only agencies having the legal authority, resources, 
and qualified personnel necessary to enforce the FMCSRs and HMRs or 
compatible State laws or regulations are assigned to perform functions 
in accordance with the approved CVSP.
    (e) Allocate adequate funds for the administration of the CVSP 
including the enforcement of the FMCSRs, HMRs, or compatible State laws 
or regulations.

[[Page 767]]

    (f) Maintain the aggregate expenditure of funds by the State and its 
political subdivisions, exclusive of Federal funds, for motor carrier 
and highway hazardous materials safety enforcement, eligible for funding 
under this part, at a level at least equal to the average expenditure 
for Federal or State fiscal years 1997, 1998, and 1999.
    (g) Provide legal authority for a right of entry and inspection 
adequate to carry out the CVSP.
    (h) Prepare and submit to the FMCSA, upon request, all reports 
required in connection with the CVSP or other conditions of the grant.
    (i) Adopt and use the reporting standards and forms required by the 
FMCSA to record work activities performed under the CVSP.
    (j) Require registrants of CMVs to declare, at the time of 
registration, their knowledge of applicable FMCSRs, HMRs, or compatible 
State laws or regulations.
    (k) Grant maximum reciprocity for inspections conducted under the 
North American Standard Inspection through the use of a nationally 
accepted system that allows ready identification of previously inspected 
CMVs.
    (l) Conduct CMV size and weight enforcement activities funded under 
this program only to the extent those activities do not diminish the 
effectiveness of other CMV safety enforcement programs.
    (m) Coordinate the CVSP, data collection and information systems, 
with State highway safety programs under title 23 United States Code 
(U.S.C.).
    (n) Ensure participation in SAFETYNET and other information systems 
by all appropriate jurisdictions receiving funding under this section.
    (o) Ensure information is exchanged with other States in a timely 
manner.
    (p) Emphasize and improve enforcement of State and local traffic 
laws and regulations related to CMV safety.
    (q) Promote activities in support of the national program elements 
listed in Sec. 350.109, including the following three activities:
    (1) Activities aimed at removing impaired CMV drivers from the 
highways through adequate enforcement of restrictions on the use of 
alcohol and controlled substances and by ensuring ready roadside access 
to alcohol detection and measuring equipment.
    (2) Activities aimed at providing an appropriate level of training 
to MCSAP personnel to recognize drivers impaired by alcohol or 
controlled substances.
    (3) Interdiction activities affecting the transportation of 
controlled substances by CMV drivers and training on appropriate 
strategies for carrying out those interdiction activities.
    (r) Enforce requirements relating to the licensing of CMV drivers, 
including checking the status of commercial drivers' licenses (CDL).
    (s) Require the proper and timely correction of all CMV safety 
violations noted during inspections carried out with MCSAP funds.
    (t)(1) Enforce registration requirements under 49 U.S.C. 13902, and 
49 CFR part 365, and 49 CFR 392.9a by placing out-of-service the vehicle 
discovered to be operating without registration or beyond the scope of 
its registration.
    (2) Enforce financial responsibility requirements under 49 U.S.C. 
13906, 31138, 31139, and 49 CFR part 387.
    (u) Adopt and maintain consistent, effective, and reasonable 
sanctions for violations of CMV, driver, and hazardous materials 
regulations.
    (v) Ensure that MCSAP agencies have policies that stipulate roadside 
inspections will be conducted at locations that are adequate to protect 
the safety of drivers and enforcement personnel.

[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 55165, Aug. 28, 2002; 
67 FR 61820, Oct. 2, 2002]



Sec. 350.203  [Reserved]



Sec. 350.205  How and when does a State apply for MCSAP funding?

    (a) The lead agency, designated by the Governor, must submit the 
State's CVSP to the Motor Carrier State Director, FMCSA, on or before 
August 1 of each year.
    (b) This deadline may, for good cause, be extended by the State 
Director for a period not to exceed 30 calendar days.
    (c) For a State to receive funding, the CVSP must be complete and 
include all required documents.

[[Page 768]]



Sec. 350.207  What response does a State receive to its CVSP submission?

    (a) The FMCSA will notify the State, in writing, within 30 days of 
receipt of the CVSP whether:
    (1) The plan is approved.
    (2) Approval of the plan is withheld because the CVSP does not meet 
the requirements of this part, or is not adequate to ensure effective 
enforcement of the FMCSRs and HMRs or compatible State laws and 
regulations.
    (b) If approval is withheld, the State will have 30 days from the 
date of the notice to modify and resubmit the plan.
    (c) Disapproval of a resubmitted plan is final.
    (d) Any State aggrieved by an adverse decision under this section 
may seek judicial review under 5 U.S.C. chapter 7.



Sec. 350.209  How does a State demonstrate that it satisfies the conditions for Basic Program funding?

    (a) The Governor, the State's Attorney General, or other State 
official specifically designated by the Governor, must execute a State 
Certification as described in Sec. 350.211.
    (b) The State must submit the State Certification along with its 
CVSP, and supplement it with a copy of any State law, regulation, or 
form pertaining to CMV safety adopted since the State's last 
certification that bears on the items contained in Sec. 350.201 of this 
subpart.



Sec. 350.211  What is the format of the certification required by Sec. 350.209?

    The State's certification must be consistent with the following 
content:

    I (name), (title), on behalf of the State (or Commonwealth) of 
(State), as requested by the Administrator as a condition of approval of 
a grant under the authority of 49 U.S.C. 31102, as amended, do hereby 
certify as follows:
    1. The State has adopted commercial motor carrier and highway 
hazardous materials safety rules and regulations that are compatible 
with the FMCSRs and the HMRs.
    2. The State has designated (name of State CMV safety agency) as the 
lead agency to administer the CVSP for the grant sought and (names of 
agencies) to perform defined functions under the plan. These agencies 
have the legal authority, resources, and qualified personnel necessary 
to enforce the State's commercial motor carrier, driver, and highway 
hazardous materials safety laws or regulations.
    3. The State will obligate the funds or resources necessary to 
provide a matching share to the Federal assistance provided in the grant 
to administer the plan submitted and to enforce the State's commercial 
motor carrier safety, driver, and hazardous materials laws or 
regulations in a manner consistent with the approved plan.
    4. The laws of the State provide the State's enforcement officials 
right of entry and inspection sufficient to carry out the purposes of 
the CVSP, as approved, and provide that the State will grant maximum 
reciprocity for inspections conducted pursuant to the North American 
Standard Inspection procedure, through the use of a nationally accepted 
system allowing ready identification of previously inspected CMVs.
    5. The State requires that all reports relating to the program be 
submitted to the appropriate State agency or agencies, and the State 
will make these reports available, in a timely manner, to the FMCSA on 
request.
    6. The State has uniform reporting requirements and uses FMCSA 
designated forms for record keeping, inspection, and other enforcement 
activities.
    7. The State has in effect a requirement that registrants of CMVs 
declare their knowledge of the applicable Federal or State CMV safety 
laws or regulations.
    8. The State will maintain the level of its expenditures, exclusive 
of Federal assistance, at least at the level of the average of the 
aggregate expenditures of the State and its political subdivisions 
during State or Federal fiscal years 1997, 1998, and 1999. These 
expenditures must cover at least the following four program areas, if 
applicable:
    (a) Motor carrier safety programs in accordance with 49 CFR 350.301.
    (b) Size and weight enforcement programs.
    (c) Traffic safety.
    (d) Drug interdiction enforcement programs.
    9. The State will ensure that CMV size and weight enforcement 
activities funded with MCSAP funds will not diminish the effectiveness 
of other CMV safety enforcement programs.
    10. The State will ensure that violation fines imposed and collected 
by the State are consistent, effective, and equitable.
    11. The State will ensure it has a program for timely and 
appropriate correction of all violations discovered during inspections 
conducted using MCSAP funds.
    12. The State will ensure that the CVSP, data collection, and 
information systems are coordinated with the State highway safety 
program under title 23, U.S. Code. The name of the Governor's highway 
safety representative (or other authorized State official

[[Page 769]]

through whom coordination was accomplished) is ------------. (Name)
    13. The State participates in SAFETYNET and ensures information is 
exchanged with other States in a timely manner.
    14. The State has undertaken efforts to emphasize and improve 
enforcement of State and local traffic laws as they pertain to CMV 
safety.
    15. The State will ensure that MCSAP agencies have departmental 
policies stipulating that roadside inspections will be conducted at 
locations that are adequate to protect the safety of drivers and 
enforcement personnel.
    16. The State will ensure that requirements relating to the 
licensing of CMV drivers are enforced, including checking the status of 
CDLs.

    17. The State or a local recipient of MCSAP funds will certify that 
it meets the minimum Federal standards set forth in 49 CFR part 385, 
Subpart C, for training and experience of employees performing safety 
audits, compliance reviews, or driver/vehicle roadside inspections.
Date____________________________________________________________________
Signature_______________________________________________________________

[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 12779, Mar. 19, 2002; 
67 FR 61820, Oct. 2, 2002;]

Sec. 350.213  What must a State CVSP include?

    The State's CVSP must reflect a performance-based program, and 
contain the following eighteen items:
    (a) A general overview section that must include the following two 
items:
    (1) A statement of the State agency goal or mission.
    (2) A program summary of the effectiveness of the prior years' 
activities in reducing CMV accidents, injuries and fatalities, and 
improving driver and motor carrier safety performance. Data periods used 
must be consistent from year to year. This may be calendar year or 
fiscal year or any 12-month period of time for which the State's data is 
current. The summary must show trends supported by safety and program 
performance data collected over several years. It must identify safety 
or performance problems in the State and those problems must be 
addressed in the new or modified CVSP.
    (b) A brief narrative describing how the State program addresses the 
national program elements listed in Sec. 350.109. The plan must address 
these elements even if there are no planned activities in a program 
area. The rationale for the resource allocation decision must be 
explained. The narrative section must include a description of how the 
State supports the activities identified in Sec. 350.201(q) and (t).
    (1) Activities aimed at removing impaired CMV drivers from the 
highways through adequate enforcement of restrictions on the use of 
alcohol and controlled substances and by ensuring ready roadside access 
to alcohol detection and measuring equipment.
    (2) Activities aimed at providing an appropriate level of training 
to MCSAP personnel to recognize drivers impaired by alcohol or 
controlled substances.
    (3) Interdiction activities affecting the transportation of 
controlled substances by CMV drivers and training on appropriate 
strategies for carrying out those interdiction activities.
    (4) Activities to enforce registration requirements under 49 U.S.C. 
13902 and 49 CFR part 365 and financial responsibility requirements 
under 49 U.S.C. 13906, 31138 and 31139 and 49 CFR part 387.
    (c) A definitive problem statement for each objective, supported by 
data or other information. The CVSP must identify the source of the 
data, and who is responsible for its collection, maintenance, and 
analysis.
    (d) Performance objectives, stated in quantifiable terms, to be 
achieved through the State plan. Objectives must include a measurable 
reduction in highway accidents or hazardous materials incidents 
involving CMVs. The objective may also include documented improvements 
in other program areas (e.g., legislative or regulatory authority, 
enforcement results, or resource allocations).
    (e) Strategies to be employed to achieve performance objectives. 
Strategies may include education, enforcement, legislation, use of 
technology and improvements to safety infrastructure.
    (f) Specific activities intended to achieve the stated strategies 
and objectives. Planned activities must be eligible under this program 
as defined in Secs. 350.309 and 350.311.

[[Page 770]]

    (g) Specific quantifiable performance measures, as appropriate. 
These performance measures will be used to assist the State in 
monitoring the progress of its program and preparing an annual 
evaluation.
    (h) A description of the State's method for ongoing monitoring of 
the progress of its plan. This should include who will conduct the 
monitoring, the frequency with which it will be carried out, and how and 
to whom reports will be made.
    (i) An objective evaluation that discusses the progress towards 
individual objectives listed under the ``Performance Objectives'' 
section of the previous year's CVSP and identifies any safety or 
performance problems discovered. States will identify those problems as 
new objectives or make modifications to the existing objectives in the 
next CVSP.
    (j) A budget which supports the CVSP, describing the expenditures 
for allocable costs such as personnel and related costs, equipment 
purchases, printing, information systems costs, and other eligible costs 
consistent with Secs. 350.311 and 350.309.
    (k) A budget summary form including planned expenditures for that 
fiscal year and projected number of activities in each national program 
element, except data collection.
    (l) The results of the annual review to determine the compatibility 
of State laws and regulations with the FMCSRs and HMRs.
    (m) A copy of any new law or regulation affecting CMV safety 
enforcement that was enacted by the State since the last CVSP was 
submitted.
    (n) Executed State Certification as outlined in Sec. 350.211.
    (o) Executed MCSAP-1 form.
    (p) List of MCSAP contacts.
    (q) Annual Certification of Compatibility, Sec. 350.331.
    (r) State Training Plan.

[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 61820, Oct. 2, 2002; 67 
FR 63019, Oct. 9, 2002]

Sec. 350.215  What are the consequences for a State that fails to 
          perform according to an approved CVSP or otherwise fails to 
          meet the conditions of this part?

    (a) If a State is not performing according to an approved plan or 
not adequately meeting conditions set forth in Sec. 350.201, the 
Administrator may issue a written notice of proposed determination of 
nonconformity to the Governor of the State or the official designated in 
the plan. The notice will set forth the reasons for the proposed 
determination.
    (b) The State will have 30 days from the date of the notice to 
reply. The reply must address the deficiencies or incompatibility cited 
in the notice and provide documentation as necessary.
    (c) After considering the State's reply, the Administrator will make 
a final decision.
    (d) In the event the State fails timely to reply to a notice of 
proposed determination of nonconformity, the notice becomes the 
Administrator's final determination of nonconformity.
    (e) Any adverse decision will result in immediate cessation of 
Federal funding under this part.
    (f) Any State aggrieved by an adverse decision under this section 
may seek judicial review under 5 U.S.C. chapter 7.

Sec. 350.217  What are the consequences for a State with a CDL program 
          not in substantial compliance with 49 CFR part 384, subpart B?

    (a) A State with a CDL program not in substantial compliance with 49 
CFR part 384, subpart B, as required by 49 CFR part 384, subpart C, is 
subject to the loss of all Motor Carrier Safety Assistance Program 
(MCSAP) grant funds authorized under sec. 103(b)(1) of the Motor Carrier 
Safety Improvement Act of 1999 [Pub. L. 106-159, 113 Stat. 1748] and 
loss of certain Federal-aid highway funds, as specified in 49 CFR part 
384, subpart D.
    (b) Withheld MCSAP grant funds will be restored to the State if the 
State

[[Page 771]]

meets the conditions of Sec. 384.403(b) of this subchapter.

[67 FR 49755, July 31, 2002]

                           Subpart C--Funding

Sec. 350.301  What level of effort must a State maintain to qualify for 
          MCSAP funding?

    (a) The State must maintain the average aggregate expenditure 
(monies spent during the base period of Federal or State fiscal years 
1997, 1998, and 1999) of State funds for motor carrier and highway 
hazardous materials safety enforcement purposes, in the year in which 
the grant is sought.
    (b) Determination of a State's level of effort must not include the 
following three things:
    (1) Federal funds received for support of motor carrier and 
hazardous materials safety enforcement.
    (2) State matching funds.
    (3) State funds used for federally sponsored demonstration or pilot 
CMV safety programs.
    (c) The State must include costs associated with activities 
performed during the base period by State or local agencies currently 
receiving or projected to receive funds under this part. It must include 
only those activities which meet the current requirements for funding 
eligibility under the grant program.

Sec. 350.303  What are the State and Federal shares of expenses incurred 
          under an approved CVSP?

    (a) The FMCSA will reimburse up to 80 percent of the eligible costs 
incurred in the administration of an approved CVSP.
    (b) In-kind contributions are acceptable in meeting the State's 
matching share if they represent eligible costs as established by 49 CFR 
part 18 or agency policy.

Sec. 350.305  Are U.S. Territories subject to the matching funds 
          requirement?

    The Administrator waives the requirement for matching funds for the 
Virgin Islands, American Samoa, Guam, and the Commonwealth of the 
Northern Mariana Islands.

Sec. 350.307  How long are MCSAP funds available to a State?

    The funds obligated to a State will remain available for the rest of 
the fiscal year in which they were obligated and the next full fiscal 
year. The State must account for any prior year's unexpended funds in 
the annual CVSP. Funds must be expended in the order in which they are 
obligated.

Sec. 350.309  What activities are eligible for reimbursement under the 
          MCSAP?

    The primary activities eligible for reimbursement are:
    (a) The five national program elements listed in Sec. 350.109 of 
this part.
    (b) Sanitary food transportation inspections performed under 49 
U.S.C. 5708.
    (c) The following three activities, when accompanied by an 
appropriate North American Standard Inspection and inspection report:
    (1) Enforcement of size and weight regulations conducted at 
locations other than fixed weight facilities, at specific geographical 
locations where the weight of the vehicle can significantly affect the 
safe operation of the vehicle, or at seaports where intermodal shipping 
containers enter and exit the United States.
    (2) Detection of the unlawful presence of controlled substances in a 
CMV or on the driver or any occupant of a CMV.
    (3) Enforcement of State traffic laws and regulations designed to 
promote the safe operation of CMVs.

Sec. 350.311  What specific items are eligible for reimbursement under 
          the MCSAP?

    All reimbursable items must be necessary, reasonable, allocable to 
the approved CVSP, and allowable under this part and 49 CFR part 18. The 
eligibility of specific items is subject to review by the FMCSA. The 
following six types of expenses are eligible for reimbursement:
    (a) Personnel expenses, including recruitment and screening, 
training, salaries and fringe benefits, and supervision.
    (b) Equipment and travel expenses, including per diem, directly 
related to

[[Page 772]]

the enforcement of safety regulations, including vehicles, uniforms, 
communications equipment, special inspection equipment, vehicle 
maintenance, fuel, and oil.
    (c) Indirect expenses for facilities, except fixed scales, used to 
conduct inspections or house enforcement personnel, support staff, and 
equipment to the extent they are measurable and recurring (e.g., rent 
and overhead).
    (d) Expenses related to data acquisition, storage, and analysis that 
are specifically identifiable as program-related to develop a data base 
to coordinate resources and improve efficiency.
    (e) Clerical and administrative expenses, to the extent necessary 
and directly attributable to the MCSAP.
    (f) Expenses related to the improvement of real property (e.g., 
installation of lights for the inspection of vehicles at night). 
Acquisition of real property, land, or buildings are not eligible costs.

Sec. 350.313  How are MCSAP funds allocated?

    (a) After deducting administrative expenses authorized in 49 U.S.C. 
31104(e), the MCSAP funds are allocated as follows:
    (1) Up to 5 percent of the MCSAP funds appropriated for each fiscal 
year may be distributed for High Priority Activities and Projects at the 
discretion of the Administrator.
    (2) Up to 5 percent of the MCSAP funds appropriated for each fiscal 
year may be distributed for Border CMV Safety and Enforcement Programs 
at the discretion of the Administrator.
    (3) The remaining funds will be allocated among qualifying States in 
two ways:
    (i) As Basic Program Funds in accordance with Sec. 350.323 of this 
part,
    (ii) As Incentive Funds in accordance with Sec. 350.327 of this 
part.
    (b) The funding provided in paragraphs (a)(1) and (a)(2) of this 
section may be awarded through contract, cooperative agreement, or 
grant. The FMCSA will notify States if it intends to solicit State grant 
proposals for any portion of this funding.
    (c) The funding provided under paragraphs (a)(1) and (a)(2) of this 
section may be made available to State MCSAP lead agencies, local 
governments, and other persons that use and train qualified officers and 
employees in coordination with State motor vehicle safety agencies.

Sec. 350.315  How may Basic Program Funds be used?

    Basic Program Funds may be used for any eligible activity or item 
consistent with Secs. 350.309 and 350.311.

Sec. 350.317  What are Incentive Funds and how may they be used?

    Incentive Funds are monies, in addition to Basic Program Funds, 
provided to States that achieve reduction in CMV-involved fatal 
accidents, CMV fatal accident rate, or that meet specified CMV safety 
performance criteria. Incentive Funds may be used for any eligible 
activity or item consistent with Secs. 350.309 and 350.311.

Sec. 350.319  What are permissible uses of High Priority Activity Funds?

    (a) The FMCSA may generally use these funds to support, enrich, or 
evaluate State CMV safety programs and to accomplish the five objectives 
listed below:
    (1) Implement, promote, and maintain national programs to improve 
CMV safety.
    (2) Increase compliance with CMV safety regulations.
    (3) Increase public awareness about CMV safety.
    (4) Provide education on CMV safety and related issues.
    (5) Demonstrate new safety related technologies.
    (b) These funds will be allocated, at the discretion of the FMCSA, 
to States, local governments, and other organizations that use and train 
qualified officers and employees in coordination with State safety 
agencies.
    (c) The FMCSA will notify the States when such funds are available.
    (d) The Administrator may designate up to 5 percent of the annual 
MCSAP funding for these projects and activities.

Sec. 350.321  What are permissible uses of Border Activity Funds?

    (a) The FMCSA may generally use such funds to develop and implement 
a

[[Page 773]]

national program addressing CMV safety and enforcement activities along 
the United States' borders.
    (b) These funds will be allocated, at the discretion of the FMCSA, 
to States, local governments, and other organizations that use and train 
qualified officials and employees in coordination with State safety 
agencies. The FMCSA will notify the States when such funds are 
available. The Administrator may designate up to 5 percent of the annual 
MCSAP funding for these projects and activities.

Sec. 350.323  What criteria are used in the Basic Program Funds 
          allocation?

    (a) The funds are distributed proportionally to the States using the 
following four, equally weighted (25 percent), factors.
    (1) 1997 Road miles (all highways) as defined by the FMCSA.
    (2) All vehicle miles traveled (VMT) as defined by the FMCSA.
    (3) Population--annual census estimates as issued by the U.S. Census 
Bureau.
    (4) Special fuel consumption (net after reciprocity adjustment) as 
defined by the FMCSA.
    (b) Distribution of Basic Program Funds is subject to a maximum and 
minimum allocation as illustrated in the Table to this section, as 
follows:

  Table to Sec.  350.323(b)--Basic Program Fund Allocation Limitations
------------------------------------------------------------------------
          Recipient            Maximum allocation    Minimum allocation
------------------------------------------------------------------------
States and Puerto Rico......  4.944% of the Basic   $350,000 or 0.44% of
                               Program Funds.        Basic Program
                                                     Funds, whichever is
                                                     greater.
-----------------------------
U.S. Territories............            $350,000 (fixed amount)
------------------------------------------------------------------------

Sec. 350.325  [Reserved]

Sec. 350.327  How may States qualify for Incentive Funds?

    (a) A State may qualify for Incentive Funds if it can demonstrate 
that its CMV safety program has shown improvement in any or all of the 
following five categories:
    (1) Reduction of large truck-involved fatal accidents.
    (2) Reduction of large truck-involved fatal accident rate or 
maintenance of a large truck-involved fatal accident rate that is among 
the lowest 10 percent of such rates of MCSAP recipients.
    (3) Upload of CMV accident reports in accordance with current FMCSA 
policy guidelines.
    (4) Verification of CDLs during all roadside inspections.
    (5) Upload of CMV inspection data in accordance with current FMCSA 
policy guidelines.
    (b) Incentive Funds will be distributed based upon the five 
following safety and program performance factors:
    (1) Five shares will be awarded to States that reduce the number of 
large truck-involved fatal accidents for the most recent calendar year 
for which data are available when compared to the 10-year average number 
of large truck-involved fatal accidents ending with the preceding year. 
The 10-year average will be computed from the number of large truck-
involved fatal crashes, as reported by the FARS, administered by the 
National Highway Traffic Safety Administration (NHTSA).
    (2) Four shares will be awarded to States that reduce the fatal-
accident rate for the most recent calendar year for which data are 
available when compared to each State's average fatal accident rate for 
the preceding 10-year period. States with the lowest 10 percent of 
accident rates in the most recent calendar year for which data are 
available will be awarded three shares if the rate for the State is the 
same as its average accident rate for the preceding 10-year period.
    (3) Two shares will be awarded to States that upload CMV accident 
data within FMCSA policy guidelines.
    (4) Two shares will be awarded to States that certify their MCSAP 
inspection agencies have departmental policies that stipulate CDLs are

[[Page 774]]

verified, as part of the inspection process, through Commercial Driver's 
License Information System (CDLIS), National Law Enforcement Tracking 
System (NLETS), or the State licensing authority.
    (5) Two shares will be awarded to States that upload CMV inspection 
reports within current FMCSA policy guidelines.
    (c) The total of all States' shares awarded will be divided into the 
dollar amount of Incentive Funds available, thereby establishing the 
value of one share. Each State's incentive allocation will then be 
determined by multiplying the State's percentage participation in the 
formula allocation of Basic Program Funds, by the number of shares it 
received that year, multiplied by the dollar value of one share.
    (d) States may use Incentive Funds for any eligible CMV safety 
purpose.
    (e) Incentive Funds are subject to the same State matching 
requirements as Basic Program Funds.
    (f) A State must annually certify compliance with the applicable 
incentive criteria to receive Incentive Funds. A State must submit the 
required certification as part of its CVSP or as a separate document.

Sec. 350.329  How may a State or a local agency qualify for High 
          Priority or Border Activity Funds?

    (a) States must meet the requirements of Sec. 350.201, as 
applicable.
    (b) Local agencies must meet the following nine conditions:
    (1) Prepare a proposal in accordance with Sec. 350.213, as 
applicable.
    (2) Coordinate the proposal with the State lead MCSAP agency to 
ensure the proposal is consistent with State and national CMV safety 
program priorities.
    (3) Certify that your local jurisdiction has the legal authority, 
resources, and trained and qualified personnel necessary to perform the 
functions specified in the proposal.
    (4) Designate a person who will be responsible for implementation, 
reporting, and administering the approved proposal and will be the 
primary contact for the project.
    (5) Agree to fund up to 20 percent of the proposed request.
    (6) Agree to prepare and submit all reports required in connection 
with the proposal or other conditions of the grant.
    (7) Agree to use the forms and reporting criteria required by the 
State lead MCSAP agency and/or the FMCSA to record work activities to be 
performed under the proposal.
    (8) Certify that the local agency will impose sanctions for 
violations of CMV and driver laws and regulations that are consistent 
with those of the State.
    (9) Certify participation in national data bases appropriate to the 
project.

Sec. 350.331  How does a State ensure its laws and regulations are 
          compatible with the FMCSRs and HMRs?

    (a) A State must review any new law or regulation affecting CMV 
safety as soon as possible, but in any event immediately after enactment 
or issuance, for compatibility with the FMCSRs and HMRs.
    (b) If the review determines that the new law or regulation is 
incompatible with the FMCSRs and/or HMRs, the State must immediately 
notify the Motor Carrier State Director.
    (c) A State must conduct an annual review of its laws and 
regulations for compatibility and report the results of that review in 
the annual CVSP in accordance with Sec. 350.213(l) along with a 
certification of compliance, no later than August 1 of each year. The 
report must include the following two items:
    (1) A copy of the State law, regulation, or policy relating to CMV 
safety that was adopted since the State's last report.
    (2) A certification, executed by the State's Governor, Attorney 
General, or other State official specifically designated by the 
Governor, stating that the annual review was performed and that State 
CMV safety laws remain compatible with the FMCSRs and HMRs. If State CMV 
laws are no longer compatible, the certifying official shall explain.
    (d) As soon as practical after the effective date of any newly 
enacted regulation or amendment to the FMCSRs or HMRs, but no later than 
three years after that date, the State must amend its laws or 
regulations to make them

[[Page 775]]

compatible with the FMCSRs and/or HMRs, as amended.

Sec. 350.333  What are the guidelines for the compatibility review?

    (a) The State law or regulation must apply to all segments of the 
motor carrier industry (i.e., for-hire and private motor carriers of 
property and passengers).
    (b) Laws and regulations reviewed for the CDL compliance report are 
excluded from the compatibility review.
    (c) Definitions of words or terms must be consistent with those in 
the FMCSRs and HMRs.
    (d) A State must identify any law or regulation that is not the same 
as the corresponding Federal regulation and evaluate it in accordance 
with the table to this section as follows:

            Table to Sec.  350.333--Guidelines for the State Law and Regulation Compatibility Review
----------------------------------------------------------------------------------------------------------------
 Law or regulation has same effect    Applies to interstate  Less stringent or more
as corresponding Federal regulation  or intrastate commerce         stringent             Action authorized
----------------------------------------------------------------------------------------------------------------
(1) Yes............................  ......................  ......................  Compatible--Interstate and
                                                                                      intrastate commerce
                                                                                      enforcement authorized.
(2) No.............................  Intrastate............  ......................  Refer to Sec.  350.341
(3) No.............................  Interstate............  Less stringent........  Enforcement prohibited.
(4) No.............................  Interstate............  More stringent........  Enforcement authorized if
                                                                                      the State can demonstrate
                                                                                      the law or regulation has
                                                                                      a safety benefit or does
                                                                                      not create an undue burden
                                                                                      upon interstate commerce
                                                                                      (See 49 CFR Part 355).
----------------------------------------------------------------------------------------------------------------

Sec. 350.335  What are the consequences if my State has laws or 
          regulations incompatible with the Federal regulations?

    (a) A State that currently has compatible CMV safety laws and 
regulations pertaining to interstate commerce (i.e., rules identical to 
the FMCSRs and HMRs) and intrastate commerce (i.e., rules identical to 
or within the tolerance guidelines for the FMCSRs and identical to the 
HMRs) but enacts a law or regulation which results in an incompatible 
rule will not be eligible for Basic Program Funds nor Incentive Funds.
    (b) A State that fails to adopt any new regulation or amendment to 
the FMCSRs or HMRs within three years of its effective date will be 
deemed to have incompatible regulations and will not be eligible for 
Basic Program nor Incentive Funds.
    (c) Those States with incompatible laws or regulations pertaining to 
intrastate commerce and receiving 50 percent of their basic formula 
allocation on April 20, 2000 will continue at that level of funding 
until those incompatibilities are removed, provided no further 
incompatibilities are created.
    (d) Upon a finding by the FMCSA, based upon its own initiative or 
upon a petition of any person, including any State, that your State law, 
regulation or enforcement practice pertaining to CMV safety, in either 
interstate or intrastate commerce, is incompatible with the FMCSRs or 
HMRs, the FMCSA may initiate a proceeding under Sec. 350.215 for 
withdrawal of eligibility for all Basic Program and Incentive Funds.
    (e) Any decision regarding the compatibility of your State law or 
regulation with the HMRs that requires an interpretation will be 
referred to the Research and Special Programs Administration of the DOT 
for such interpretation before proceeding under Sec. 350.215.

Sec. 350.337  How may State laws and regulations governing motor 
          carriers, CMV drivers, and CMVs in interstate commerce differ 
          from the FMCSRs and still be considered compatible?

    States are not required to adopt 49 CFR parts 398 and 399, subparts 
A through E and H of part 107, and Secs. 171.15 and 171.16, as 
applicable to either interstate or intrastate commerce.

[[Page 776]]

Sec. 350.339  What are tolerance guidelines?

    Tolerance guidelines set forth the limited deviations from the 
FMCSRs allowed in your State's laws and regulations. These variances 
apply only to motor carriers, CMV drivers and CMVs engaged in intrastate 
commerce and not subject to Federal jurisdiction.

Sec. 350.341  What specific variances from the FMCSRs are allowed for 
          State laws and regulations governing motor carriers, CMV 
          drivers, and CMVs engaged in intrastate commerce and not 
          subject to Federal jurisdiction?

    (a) A State may exempt a CMV from all or part of its laws or 
regulations applicable to intrastate commerce, provided that neither the 
GVW, GVWR, GCW, nor GCWR of the vehicle equals or exceeds 11,801 kg 
(26,001 lbs.). However, a State may not exempt a CMV from such laws or 
regulations if the vehicle:
    (1) Transports hazardous materials requiring a placard.
    (2) Is designed or used to transport 16 or more people, including 
the driver.
    (b) State laws and regulations applicable to intrastate commerce may 
not grant exemptions based upon the type of transportation being 
performed (e.g., for-hire, private, etc.).
    (c) A State may retain those exemptions from its motor carrier 
safety laws and regulations that were in effect before April, 1988, are 
still in effect, and apply to specific industries operating in 
intrastate commerce.
    (d) State laws and regulations applicable to intrastate commerce 
must not include exemptions based upon the distance a motor carrier or 
driver operates from the work reporting location. This prohibition does 
not apply to those exemptions already contained in the FMCSRs nor to the 
extension of the mileage radius exemption contained in 49 CFR 395.1(e) 
from 100 to 150 miles.
    (e) Hours of service--State hours-of-service limitations applied to 
intrastate transportation may vary to the extent of allowing the 
following:
    (1) A 12-hour driving limit, provided driving a CMV after having 
been on duty more than 16 hours is prohibited.
    (2) Driving prohibitions for drivers who have been on duty 70 hours 
in 7 consecutive days or 80 hours in 8 consecutive days.
    (f) Age of CMV driver--All CMV drivers must be at least 18 years of 
age.
    (g) Grandfather clauses--States may provide grandfather clauses in 
their rules and regulations if such exemptions are uniform or in 
substantial harmony with the FMCSRs and provide an orderly transition to 
full regulatory adoption at a later date.
    (h) Driver qualifications:
    (1) Intrastate drivers who do not meet the physical qualification 
standards in 49 CFR 391.41 may continue to be qualified to operate a CMV 
in intrastate commerce if the following three conditions are met:
    (i) The driver was qualified under existing State law or regulation 
at the time the State adopted physical qualification standards 
compatible with the Federal standards in 49 CFR 391.41.
    (ii) The otherwise non-qualifying medical or physical condition has 
not substantially worsened.
    (iii) No other non-qualifying medical or physical condition has 
developed.
    (2) The State may adopt or continue programs granting variances to 
intrastate drivers with medical or physical conditions that would 
otherwise be non-qualifying under the State's equivalent of 49 CFR 
391.41 if the variances are based upon sound medical judgment combined 
with appropriate performance standards ensuring no adverse affect on 
safety.

Sec. 350.343  How may a State obtain a new exemption for State laws and 
          regulations for a specific industry involved in intrastate 
          commerce?

    The FMCSA strongly discourages exemptions for specific industries, 
but will consider such requests if the State submits documentation 
containing information supporting evaluation of the following 10 
factors:
    (a) Type and scope of the industry exemption requested, including 
percentage of industry affected, number of vehicles, mileage traveled, 
number of companies involved.
    (b) Type and scope of the requirement to which the exemption would 
apply.

[[Page 777]]

    (c) Safety performance of that specific industry (e.g., accident 
frequency, rates and comparative figures).
    (d) Inspection information (e.g., number of violations per 
inspection, driver and vehicle out-of-service information).
    (e) Other CMV safety regulations enforced by other State agencies 
not participating in the MCSAP.
    (f) Commodity transported (e.g., livestock, grain).
    (g) Similar variations granted and the circumstances under which 
they were granted.
    (h) Justification for the exemption.
    (i) Identifiable effects on safety.
    (j) State's economic environment and its ability to compete in 
foreign and domestic markets.

Sec. 350.345  How does a State apply for additional variances from the 
          FMCSRs?

    Any State may apply to the Administrator for a variance from the 
FMCSRs for intrastate commerce. The variance will be granted only if the 
State satisfactorily demonstrates that the State law, regulation or 
enforcement practice:
    (a) Achieves substantially the same purpose as the similar Federal 
regulation.
    (b) Does not apply to interstate commerce.
    (c) Is not likely to have an adverse impact on safety.



PART 355--COMPATIBILITY OF STATE LAWS AND REGULATIONS AFFECTING INTERSTATE MOTOR CARRIER OPERATIONS

            Subpart A--General Applicability and Definitions

Sec.
355.1 Purpose.
355.3 Applicability.
355.5 Definitions.

                         Subpart B--Requirements

355.21 Regulatory review.
355.23 Submission of results.
355.25 Adopting and enforcing compatible laws and regulations.

Appendix A to Part 355--Guidelines for the Regulatory Review

    Authority: 49 U.S.C. 504 and 31101 et seq.; 49 CFR 1.73.

    Source: 57 FR 40962, Sept. 8, 1992, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 355 appear at 66 FR 
49870, Oct. 1, 2001.



            Subpart A--General Applicability and Definitions



Sec. 355.1  Purpose.

    (a) To promote adoption and enforcement of State laws and 
regulations pertaining to commercial motor vehicle safety that are 
compatible with appropriate parts of the Federal Motor Carrier Safety 
Regulations.
    (b) To provide guidelines for a continuous regulatory review of 
State laws and regulations.
    (c) To establish deadlines for States to achieve compatibility with 
appropriate parts of the Federal Motor Carrier Safety Regulations with 
respect to interstate commerce.



Sec. 355.3  Applicability.

    These provisions apply to any State that adopts or enforces laws or 
regulations pertaining to commercial motor vehicle safety in interstate 
commerce.



Sec. 355.5  Definitions.

    Unless specifically defined in this section, terms used in this part 
are subject to the definitions in 49 CFR 390.5.
    Compatible or Compatibility means that State laws and regulations 
applicable to interstate commerce and to intrastate movement of 
hazardous materials are identical to the FMCSRs and the HMRs or have the 
same effect as the FMCSRs; and that State laws applicable to intrastate 
commerce are either identical to, or have the same effect as, the FMCSRs 
or fall within the established limited variances under Secs. 350.341, 
350.343, and 350.345 of this subchapter.
    Federal Hazardous Materials Regulations (FMHRs) means those safety 
regulations which are contained in parts 107, 171-173, 177, 178 and 180, 
except part 107 and Secs. 171.15 and 171.16.
    Federal Motor Carrier Safety Regulations (FMCSRs) means those safety 
regulations which are contained in parts

[[Page 778]]

390, 391, 392, 393, 395, 396, and 397 of this subchapter.
    State means a State of the United States, the District of Columbia, 
the Commonwealth of Puerto Rico, the Commonwealth of the Northern 
Mariana Islands, American Samoa, Guam and the Virgin Islands.

[57 FR 40962, Sept. 8, 1992, as amended at 65 FR 15109, Mar. 21, 2000]



                         Subpart B--Requirements



Sec. 355.21  Regulatory review.

    (a) General. Each State shall annually analyze its laws and 
regulations, including those of its political subdivisions, which 
pertain to commercial motor vehicle safety to determine whether its laws 
and regulations are compatible with the Federal Motor Carrier Safety 
Regulations. Guidelines for the regulatory review are provided in the 
appendix to this part.
    (b) Responsibility. The State agency designated as lead agency for 
the administration of grants made pursuant to part 350 of this 
subchapter is responsible for reviewing and analyzing State laws and 
regulations for compliance with this part. In the absence of an 
officially designated Motor Carrier Safety Assistance Program (MCSAP) 
lead agency or in its discretion, the State shall designate another 
agency responsible to review and determine compliance with these 
regulations.
    (c)  State review. (1) The State shall determine which of its laws 
and regulations pertaining to commercial motor vehicle safety are the 
same as the Federal Motor Carrier Safety or Federal Hazardous Materials 
Regulations. With respect to any State law or regulation which is not 
the same as the FMCSRs (FHMRs must be identical), the State shall 
identify such law or regulation and determine whether:
    (i) It has the same effect as a corresponding section of the Federal 
Motor Carrier Safety Regulations;
    (ii) It applies to interstate commerce;
    (iii) It is more stringent than the FMCSRs in that it is more 
restrictive or places a greater burden on any entity subject to its 
provisions.
    (2) If the inconsistent State law or regulation applies to 
interstate commerce and is more stringent than the FMCSRs, the State 
shall determine:
    (i) The safety benefits associated with such State law or 
regulation; and
    (ii) The effect of the enforcement of such State law or regulation 
on interstate commerce.
    (3) If the inconsistent State law or regulation does not apply to 
interstate commerce or is less stringent than the FMCSRs, the guidelines 
for participation in the Motor Carrier Safety Assistance Program in 
Secs. 350.341, 350.343, and 350.345 of this subchapter shall apply.

[57 FR 40962, Sept. 8, 1992, as amended at 65 FR 15109, Mar. 21, 2000]



Sec. 355.23  Submission of results.

    Each State shall submit the results of its regulatory review 
annually with its certification of compliance under Sec. 350.209 of this 
subchapter. It shall submit the results of the regulatory review with 
the certification no later than August 1 of each year with the 
Commercial Vehicle Safety Plan (CVSP). The State shall include copies of 
pertinent laws and regulations.

[65 FR 15109, Mar. 21, 2000]



Sec. 355.25  Adopting and enforcing compatible laws and regulations.

    (a) General. No State shall have in effect or enforce any State law 
or regulation pertaining to commercial motor vehicle safety in 
interstate commerce which the Administrator finds to be incompatible 
with the provisions of the Federal Motor Carrier Safety Regulations.
    (b) New state requirements. No State shall implement any changes to 
a law or regulation which makes that or any other law or regulation 
incompatible with a provision of the Federal Motor Carrier Safety 
Regulations.
    (c) Enforcement. To enforce compliance with this section, the 
Administrator will initiate a rulemaking proceeding under part 389 of 
this subchapter to declare the incompatible State law or regulation 
pertaining to commercial motor vehicle safety unenforceable in 
interstate commerce.
    (d) Waiver of determination. Any person (including any State) may 
petition for a waiver of a determination made

[[Page 779]]

under paragraph (c) of this section. Such petition will also be 
considered in a rulemaking proceeding under part 389. Waivers shall be 
granted only upon a satisfactory showing that continued enforcement of 
the incompatible State law or regulation is not contrary to the public 
interest and is consistent with the safe operation of commercial motor 
vehicles.
    (e) Consolidation of proceedings. The Administrator may consolidate 
any action to enforce this section with other proceedings required under 
this section if the Administrator determines that such consolidation 
will not adversely affect any party to any such proceeding.

      Appendix A to Part 355--Guidelines for the Regulatory Review

    Each State shall review its laws and regulations to achieve 
compatibility with the Federal Motor Carrier Safety Regulations 
(FMCSRs). Each State shall consider all related requirements on 
enforcement of the State's motor carrier safety regulations. The 
documentation shall be simple and brief.

                                  Scope

    The State review required by Sec. 355.21 may be limited to those 
laws and regulations previously determined to be incompatible in the 
report of the Commercial Motor Vehicle Safety Regulatory Review Panel 
issued in August 1990, or by subsequent determination by the 
Administrator under this part, and any State laws or regulations enacted 
or issued after August 1990.

                              Applicability

    The requirements must apply to all segments of the motor carrier 
industry common, contract, and private carriers of property and for-hire 
carriers of passengers.

                               Definitions

    Definitions of terms must be consistent with those in the FMCSRs.

                          Driver Qualifications

    Require a driver to be properly licensed to drive a commercial motor 
vehicle; require a driver to be in good physical health, at least 21 
years of age, able to operate a vehicle safely, and maintain a good 
driving record; prohibit drug and alcohol abuse; require a motor carrier 
to maintain a driver qualification file for each driver; and require a 
motor carrier to ensure that a driver is medically qualified.

    Note: The requirements for testing apply only to drivers of 
commercial motor vehicles as defined in 49 CFR part 383.

                        Driving of Motor Vehicles

    Prohibit possession, use, or driving under the influence of alcohol 
or other controlled substances (while on duty); and establish 0.04 
percent as the level of alcohol in the blood at which a driver is 
considered under the influence of alcohol.

           Parts and Accessories Necessary for Safe Operation

    Require operational lights and reflectors; require systematically 
arranged and installed wiring; and require brakes working at the 
required performance level, and other key components included in 49 CFR 
part 393.

                       Hours of Service of Drivers

    Prohibit a motor carrier from allowing or requiring any driver to 
drive: More than 10 hours following 8 consecutive hours off duty; after 
being on duty 15 hours, after being on duty more than 60 hours in any 7 
consecutive days; or after being on duty more than 70 hours in any 8 
consecutive days.
    Require a driver to prepare a record-of-duty status for each 24-hour 
period. The driver and motor carrier must retain the records.

                       Inspection and Maintenance

    Prohibit a commercial motor vehicle from being operated when it is 
likely to cause an accident or a breakdown; require the driver to 
conduct a walk-around inspection of the vehicle before driving it to 
ensure that it can be safely operated; require the driver to prepare a 
driver vehicle inspection report; and require commercial motor vehicles 
to be inspected at least annually.

                           Hazardous Materials

    Require a motor carrier or a person operating a commercial motor 
vehicle transporting hazardous materials to follow the safety and 
hazardous materials requirements.

                          State Determinations

    1. Each State must determine whether its requirements affecting 
interstate motor carriers are ``less stringent'' than the Federal 
requirements. ``Less stringent'' requirements represent either gaps in 
the State requirements in relation to the Federal requirements as 
summarized under item number one in this appendix or State requirements 
which are less restrictive than the Federal requirements.
    a. An example of a gap is when a State does not have the authority 
to regulate the safety of for-hire carriers of passengers or

[[Page 780]]

has the authority but chooses to exempt the carrier.
    b. An example of a less restrictive State requirement is when a 
State allows a person under 21 years of age to operate a commercial 
motor vehicle in interstate commerce.
    2. Each State must determine whether its requirements affecting 
interstate motor carriers are ``more stringent'' than the Federal 
requirements: ``More stringent'' requirements are more restrictive or 
inclusive in relation to the Federal requirements as summarized under 
item number one in this appendix. For example, a requirement that a 
driver must have 2 days off after working 5 consecutive days. The State 
would demonstrate that its more stringent requirements:
    a. Have a ``safety benefit;'' for example, result in fewer accidents 
or reduce the risk of accidents;
    b. do not create ``an undue burden on interstate commerce,'' e.g., 
do not delay, interfere with, or increase that cost or the 
administrative burden for a motor carrier transporting property or 
passengers in interstate commerce; and
    c. Are otherwise compatible with Federal safety requirements.
    3. A State must adopt and enforce in a consistent manner the 
requirements referenced in the above guidelines in order for the FMCSA 
to accept the State's determination that it has compatible safety 
requirements affecting interstate motor carrier operations. Generally, 
the States would have up to 3 years from the effective date of the new 
Federal requirement to adopt and enforce compatible requirements. The 
FMCSA would specify the deadline when promulgating future Federal safety 
requirements. The requirements are considered of equal importance.

[57 FR 40962, Sept. 8, 1992, as amended by 58 FR 33776, June 21, 1993; 
62 FR 37151, July 11, 1997; 65 FR 15110, Mar. 21, 2000]



PART 356--MOTOR CARRIER ROUTING REGULATIONS--Table of Contents




Sec.
356.1 Authority to serve a particular area--construction.
356.3 Regular route motor passenger service.
356.5 Traversal authority.
356.7 Tacking.
356.9 Elimination of routing restrictions--regular route carriers.
356.11 Elimination of gateways--regular and irregular route carriers.
356.13 Redesignated highways.

    Authority: 5 U.S.C. 553; 49 U.S.C. 13301 and 13902; and 49 CFR 1.73.

    Source: 62 FR 32041, June 12, 1997, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 356 appear at 66 FR 
49870, Oct. 1, 2001.



Sec. 356.1  Authority to serve a particular area--construction.

    (a) Service at municipality. A motor carrier of property, motor 
passenger carrier of express, and freight forwarder authorized to serve 
a municipality may serve all points within that municipality's 
commercial zone not beyond the territorial limits, if any, fixed in such 
authority.
    (b) Service at unincorporated community. A motor carrier of 
property, motor passenger carrier of express, and freight forwarder, 
authorized to serve an unincorporated community having a post office of 
the same name, may serve all points in the United States not beyond the 
territorial limits, if any, fixed in such authority, as follows:
    (1) All points within 3 miles of the post office in such 
unincorporated community if it has a population of less than 2,500; 
within 4 miles if it has a population of 2,500 but less than 25,000; and 
within 6 miles if it has a population of 25,000 or more;
    (2) At all points in any municipality any part of which is within 
the limits described in paragraph (b)(1) of this section; and
    (3) At all points in any municipality wholly surrounded, or so 
surrounded except for a water boundary, by any municipality included 
under the terms of paragraph (b)(2) of this section.



Sec. 356.3  Regular route motor passenger service.

    (a) A motor common carrier authorized to transport passengers over 
regular routes may serve:
    (1) All points on its authorized route;
    (2) All municipalities wholly within one airline mile of its 
authorized route;
    (3) All unincorporated areas within one airline mile of its 
authorized route; and
    (4) All military posts, airports, schools, and similar 
establishments that may be entered within one airline mile of its 
authorized route, but operations within any part of such establishment 
more than one airline mile

[[Page 781]]

from such authorized route may not be over a public road.
    (b) This section does not apply to those motor passenger common 
carriers authorized to operate within:
    (1) New York, NY;
    (2) Rockland, Westchester, Orange, or Nassau Counties, NY;
    (3) Fairfield County, CT; and
    (4) Passaic, Bergen, Essex, Hudson, Union, Morris, Somerset, 
Middlesex, or Monmouth Counties, NJ.



Sec. 356.5  Traversal authority.

    (a) Scope. An irregular route motor carrier may operate between 
authorized service points over any reasonably direct or logical route 
unless expressly prohibited.
    (b) Requirements. Before commencing operations, the carrier must, 
regarding each State traversed:
    (1) Notify the State regulatory body in writing, attaching a copy of 
its operating rights;
    (2) Designate a process agent; and
    (3) Comply with 49 CFR 387.315.



Sec. 356.7  Tacking.

    Unless expressly prohibited, a motor common carrier of property 
holding separate authorities which have common service points may join, 
or tack, those authorities at the common point, or gateway, for the 
purpose of performing through service as follows:
    (a) Regular route authorities may be tacked with one another;
    (b) Regular route authority may be tacked with irregular route 
authority;
    (c) Irregular route authorities may be tacked with one another if 
the authorities were granted pursuant to application filed on or before 
November 23, 1973, and the distance between the points at which service 
is provided, when measured through the gateway point, is 300 miles or 
less; and
    (d) Irregular route authorities may be tacked with one another if 
the authorities involved contain a specific provision granting the right 
to tack.



Sec. 356.9  Elimination of routing restrictions--regular route carriers.

    (a) Regular route authorities--construction. All certificates that, 
either singly or in combination, authorize the transportation by a motor 
common carrier of property over:
    (1) A single regular route or;
    (2) Over two or more regular routes that can lawfully be tacked at a 
common service point, shall be construed as authorizing transportation 
between authorized service points over any available route.
    (b) Service at authorized points. A common carrier departing from 
its authorized service routes under paragraph (a) of this section shall 
continue to serve points authorized to be served on or in connection 
with its authorized service routes.
    (c) Intermediate point service. A common carrier conducting 
operations under paragraph (a) of this section may serve points on, and 
within one airline mile of, an alternative route it elects to use if all 
the following conditions are met:
    (1) The carrier is authorized to serve all intermediate points 
(without regard to nominal restrictions) on the underlying service 
route;
    (2) The alternative route involves the use of a superhighway (i.e., 
a limited access highway with split-level crossings);
    (3) The alternative superhighway route, including highways 
connecting the superhighway portion of the route with the carrier's 
authorized service route,
    (i) Extends in the same general direction as the carrier's 
authorized service route and
    (ii) Is wholly within 25 airline miles of the carrier's authorized 
service route; and
    (4) Service is provided in the same manner as, and subject to any 
restrictions that apply to, service over the authorized service route.



Sec. 356.11  Elimination of gateways--regular and irregular route carriers.

    A motor common carrier of property holding separate grants of 
authority (including regular route authority), one or more of which 
authorizes transportation over irregular routes, where the authorities 
have a common service point at which they can lawfully be tacked to 
perform through service, may perform such through service over any 
available route.

[[Page 782]]



Sec. 356.13  Redesignated highways.

    Where a highway over which a regular route motor common carrier of 
property is authorized to operate is assigned a new designation, such as 
a new number, letter, or name, the carrier shall advise the FMCSA by 
letter, and shall provide information concerning the new and the old 
designation, the points between which the highway is redesignated, and 
each place where the highway is referred to in the carrier's authority. 
The new designation of the highway will be shown in the carrier's 
certificate when the FMCSA has occasion to reissue it.



PART 360--FEES FOR MOTOR CARRIER REGISTRATION AND INSURANCE--Table of Contents




Sec.
360.1 Fees for records search, review, copying, certification, and 
          related services.
360.3 Filing fees.
360.5 Updating user fees.

    Authority: 31 U.S.C. 9701; 49 U.S.C. 13908(c) and 14504(c)(2); and 
49 CFR 1.73.

    Source: 64 FR 7137, Feb. 12, 1999, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 360 appear at 66 FR 
49870, Oct. 1, 2001.



Sec. 360.1  Fees for records search, review, copying, certification, and related services.

    Certifications and copies of public records and documents on file 
with the Federal Motor Carrier Safety Administration will be furnished 
on the following basis, pursuant to the Freedom of Information Act 
regulations at 49 CFR Part 7:
    (a) Certificate of the Director, Office of Data Analysis and 
Information Systems, as to the authenticity of documents, $9.00;
    (b) Service involved in checking records to be certified to 
determine authenticity, including clerical work, etc., incidental 
thereto, at the rate of $16.00 per hour;
    (c) Copies of the public documents, at the rate of $.80 per letter 
size or legal size exposure. A minimum charge of $5.00 will be made for 
this service; and
    (d) Search and copying services requiring ADP processing, as 
follows:
    (1) A fee of $42.00 per hour for professional staff time will be 
charged when it is required to fulfill a request for ADP data.
    (2) The fee for computer searches will be set at the current rate 
for computer service. Information on those charges can be obtained from 
the Office of Data Analysis and Information Systems (MC-RIS).
    (3) Printing shall be charged at the rate of $.10 per page of 
computer generated output with a minimum charge of $.25. A charge of $30 
per reel of magnetic tape will be made if the tape is to be permanently 
retained by the requestor.



Sec. 360.3  Filing fees.

    (a) Manner of payment. (1) Except for the insurance fees described 
in the next sentence, all filing fees will be payable at the time and 
place the application, petition, or other document is tendered for 
filing. The service fee for insurance, surety or self-insurer accepted 
certificate of insurance, surety bond or other instrument submitted in 
lieu of a broker surety bond must be charged to an insurance service 
account established by the Federal Motor Carrier Safety Administration 
in accordance with paragraph (a)(2) of this section.
    (2) Billing account procedure. A written request must be submitted 
to the Office of Enforcement and Compliance, Insurance Compliance 
Division (MC-ECI) to establish an insurance service fee account.
    (i) Each account will have a specific billing date within each month 
and a billing cycle. The billing date is the date that the bill is 
prepared and printed. The billing cycle is the period between the 
billing date in one month and the billing date in the next month. A bill 
for each account which has activity or an unpaid balance during the 
billing cycle will be sent on the billing date each month. Payment will 
be due 20 days from the billing date. Payments received before the next 
billing date are applied to the account. Interest will accrue in 
accordance with 4 CFR 102.13.
    (ii) The Debt Collection Act of 1982, including disclosure to the 
consumer reporting agencies and the use of collection agencies, as set 
forth in 4 CFR

[[Page 783]]

102.5 and 102.6 will be utilized to encourage payment where appropriate.
    (iii) An account holder who files a petition in bankruptcy or who is 
the subject of a bankruptcy proceeding must provide the following 
information to the Office of Enforcement and Compliance, Insurance 
Division (MC-ECI):
    (A) The filing date of the bankruptcy petition;
    (B) The court in which the bankruptcy petition was filed;
    (C) The type of bankruptcy proceeding;
    (D) The name, address, and telephone number of its representative in 
the bankruptcy proceeding; and
    (E) The name, address, and telephone number of the bankruptcy 
trustee, if one has been appointed.
    (3) Fees will be payable to the Federal Motor Carrier Safety 
Administration by a check payable in United States currency drawn upon 
funds deposited in a United States or foreign bank or other financial 
institution, money order payable in United States' currency, or credit 
card (VISA or MASTERCARD).
    (b) Any filing that is not accompanied by the appropriate filing fee 
is deficient except for filings that satisfy the deferred payment 
procedures in paragraph (a) of this section.
    (c) Fees not refundable. Fees will be assessed for every filing in 
the type of proceeding listed in the schedule of fees contained in 
paragraph (f) of this section, subject to the exceptions contained in 
paragraphs (d) and (e) of this section. After the application, petition, 
or other document has been accepted for filing by the Federal Motor 
Carrier Safety Administration, the filing fee will not be refunded, 
regardless of whether the application, petition, or other document is 
granted or approved, denied, rejected before docketing, dismissed, or 
withdrawn.
    (d) Related or consolidated proceedings. (1) Separate fees need not 
be paid for related applications filed by the same applicant which would 
be the subject of one proceeding. (This does not mean requests for 
multiple types of operating authority filed on forms in the OP-1 series 
under the regulations at 49 CFR part 365. A separate filing fee is 
required for each type of authority sought in each transportation mode, 
e.g., common, contract, and broker authority for motor property 
carriers.)
    (2) Separate fees will be assessed for the filing of temporary 
operating authority applications as provided in paragraph (f)(6) of this 
section, regardless of whether such applications are related to an 
application for corresponding permanent operating authority.
    (3) The Federal Motor Carrier Safety Administration may reject 
concurrently filed applications, petitions, or other documents asserted 
to be related and refund the filing fee if, in its judgment, they 
embrace two or more severable matters which should be the subject of 
separate proceedings.
    (e) Waiver or reduction of filing fees. It is the general policy of 
the Federal Motor Carrier Safety Administration not to waive or reduce 
filing fees except as described as follows:
    (1) Filing fees are waived for an application or other proceeding 
which is filed by a Federal government agency, or a State or local 
government entity. For purposes of this section the phrases ``Federal 
government agency'' or ``government entity'' do not include a quasi-
governmental corporation or government subsidized transportation 
company.
    (2) In extraordinary situations the Federal Motor Carrier Safety 
Administration will accept requests for waivers or fee reductions in 
accordance with the following procedure:
    (i) When to request. At the time that a filing is submitted to the 
Federal Motor Carrier Safety Administration the applicant may request a 
waiver or reduction of the fee prescribed in this part. Such request 
should be addressed to the Director, Office of Data Analysis and 
Information Systems.
    (ii) Basis. The applicant must show the waiver or reduction of the 
fee is in the best interest of the public, or that payment of the fee 
would impose an undue hardship upon the requestor.
    (iii) Federal Motor Carrier Safety Administration action. The 
Director, Office of Data Analysis and Information Systems, will notify 
the applicant of the decision to grant or deny the request for waiver or 
reduction.
    (f) Schedule of filing fees.

[[Page 784]]



----------------------------------------------------------------------------------------------------------------
           Type of Proceeding                                                                     Fee
----------------------------------------------------------------------------------------------------------------
Part I: Licensing:
  (1)...................................  An application for motor carrier operating  $300
                                           authority, a certificate of registration
                                           for certain foreign carriers, property
                                           broker authority, or freight forwarder
                                           authority.
  (2)...................................  A petition to interpret or clarify an       3,000
                                           operating authority.
  (3)...................................  A request seeking the modification of       50
                                           operating authority only to the extent of
                                           making a ministerial correction, when the
                                           original error was caused by applicant, a
                                           change in the name of the shipper or
                                           owner of a plant site, or the change of a
                                           highway name or number.
  (4)...................................  A petition to renew authority to transport  250
                                           explosives.
  (5)...................................  An application for authority to deviate     150
                                           from authorized regular-route authority.
  (6)...................................  An application for motor carrier temporary  100
                                           authority issued in an emergency
                                           situation.
  (7)...................................  Request for name change of a motor          14
                                           carrier, property broker, or freight
                                           forwarder.
  (8)...................................  An application involving the merger,        300
                                           transfer, or lease of the operating
                                           rights of motor passenger and property
                                           carriers, property brokers, and household
                                           goods freight forwarders under 49 U.S.C.
                                           10321 and 10926.
  (9)--(49).............................  [Reserved]................................  ..........................
Part II: Insurance:
  (50)..................................  (i) An application for original             4,200
                                           qualification as self-insurer for bodily
                                           injury and property damage insurance
                                           (BI&PD).
                                          (ii) An application for original            420
                                           qualification as self-insurer for cargo
                                           insurance.
  (51)..................................  A service fee for insurer, surety, or self- $10 per accepted
                                           insurer accepted certificate of             certificate, surety bond
                                           insurance, surety bond, and other           or other instrument
                                           instrument submitted in lieu of a broker    submitted in lieu of a
                                           surety bond.                                broker surety bond.
  (52)..................................  A petition for reinstatement of revoked     80
                                           operating authority.
  (53)--(79)............................  [Reserved]................................
Part III: Services:
  (80)..................................  Request for service or pleading list for    13 per list
                                           proceedings.
  (81)..................................  Faxed copies of operating authority to      5
                                           applicants or their representatives who
                                           did not receive a served copy.
----------------------------------------------------------------------------------------------------------------

    (g) Returned check policy. (1) If a check submitted to the FMCSA for 
a filing or service fee is dishonored by a bank or financial institution 
on which it is drawn, the FMCSA will notify the person who submitted the 
check that:
    (i) All work will be suspended on the filing or proceeding, until 
the check is made good;
    (ii) A returned check charge of $6.00 and any bank charges incurred 
by the FMCSA as a result of the dishonored check must be submitted with 
the filing fee which is outstanding; and
    (iii) If payment is not made within the time specified by the FMCSA, 
the proceeding will be dismissed or the filing may be rejected.
    (2) If a person repeatedly submits dishonored checks to the FMCSA 
for filing fees, the FMCSA may notify the person that all future filing 
fees must be submitted in the form of a certified or cashier's check, 
money order, or credit card.

[64 FR 7137, Feb. 12, 1999, as amended at 67 FR 61820, Oct. 2, 2002]



Sec. 360.5  Updating user fees.

    (a) Update. Each fee established in this part may be updated in 
accordance with this section as deemed necessary by the FMCSA.
    (b) Publication and effective dates. Updated fees shall be published 
in the Federal Register and shall become effective 30 days after 
publication.
    (c) Payment of fees. Any person submitting a filing for which a fee 
is established shall pay the fee in effect at the time of the filing.
    (d) Method of updating fees. Each fee shall be updated by updating 
the cost components comprising the fee. Cost components shall be updated 
as follows:
    (1) Direct labor costs shall be updated by multiplying base level 
direct labor costs by percentage changes in average

[[Page 785]]

wages and salaries of FMCSA employees. Base level direct labor costs are 
direct labor costs determined by the cost study in Regulations Governing 
Fees For Service, 1 I.C.C. 2d 60 (1984), or subsequent cost studies. The 
base period for measuring changes shall be April 1984 or the year of the 
last cost study.
    (2) Operations overhead shall be developed each year on the basis of 
current relationships existing on a weighted basis, for indirect labor 
applicable to the first supervisory work centers directly associated 
with user fee activity. Actual updating of operations overhead will be 
accomplished by applying the current percentage factor to updated direct 
labor, including current governmental overhead costs.
    (3)(i) Office general and administrative costs shall be developed 
each year on the basis of current levels costs, i.e., dividing actual 
office general and administrative costs for the current fiscal year by 
total office costs for the office directly associated with user fee 
activity. Actual updating of office general and administrative costs 
will be accomplished by applying the current percentage factor to 
updated direct labor, including current governmental overhead and 
current operations overhead costs.
    (ii) FMCSA general and administrative costs shall be developed each 
year on the basis of current level costs; i.e., dividing actual FMCSA 
general and administrative costs for the current fiscal year by total 
agency expenses for the current fiscal year. Actual updating of FMCSA 
general and administrative costs will be accomplished by applying the 
current percentage factor to updated direct labor, including current 
governmental overhead, operations overhead and office general and 
administrative costs.
    (4) Publication costs shall be adjusted on the basis of known 
changes in the costs applicable to publication of material in the 
Federal Register or FMCSA Register.
    (This rounding procedures excludes copying, printing and search 
fees.)
    (e) Rounding of updated fees. Updated fees shall be rounded in the 
following manner:
    (1) Fees between $1 and $30 will be rounded to the nearest $1;
    (2) Fees between $30 and $100 will be rounded to the nearest $10;
    (3) Fees between $100 and $999 will be rounded to the nearest $50; 
and
    (4) Fees above $1,000 will be rounded to the nearest $100.



PART 365--RULES GOVERNING APPLICATIONS FOR OPERATING AUTHORITY--Table of Contents




             Subpart A--How To Apply for Operating Authority

Sec.
365.101 Applications governed by these rules.
365.103 Modified procedure.
365.105 Starting the application process: Form OP-1.
365.107 Types of applications.
365.109 FMCSA review of the application.
365.111 Appeals to rejections of the application.
365.113 Changing the request for authority or filing supplementary 
          evidence after the application is filed.
365.115 After publication in the FMCSA Register.
365.117 Obtaining a copy of the application.
365.119 Opposed applications.
365.121 Filing a reply statement.
365.123 Applicant withdrawal.

             Subpart B--How To Oppose Requests for Authority

365.201 Definitions.
365.203 Time for filing.
365.205 Contents of the protest.
365.207 Withdrawal.

       Subpart C--General Rules Governing the Application Process

365.301 Applicable rules.
365.303 Contacting another party.
365.305 Serving copies of pleadings.
365.307 Replies to motions.
365.309 FAX filings.

      Subpart D--Transfer of Operating Rights Under 49 U.S.C. 10926

365.401 Scope of rules.
365.403 Definitions.
365.405 Applications.
365.407 Notice.
365.409 FMCSA action and criteria for approval.
365.411 Responsive pleadings.
365.413 Procedures for changing the name or business form of a motor 
          carrier, freight forwarder, or property broker.

[[Page 786]]

     Subpart E--Special Rules for Certain Mexico-Domiciled Carriers

365.501 Scope of rules.
365.503 Application.
365.505 Re-registration and fee waiver for certain applicants.
365.507 FMCSA action on the application.
365.509 Requirement to notify FMCSA of change in applicant information.
365.511 Requirement for CVSA inspection of vehicles during first three 
          consecutive years of permanent operating authority.

Appendix A to Subpart E of Part 365--Explanation of Pre-Authorization 
          Safety Audit Evaluation Criteria for Mexico-Domiciled Motor 
          Carriers

    Authority: 5 U.S.C. 553 and 559; 16 U.S.C. 1456; 49 U.S.C. 13101, 
13301, 13901-13906, 14708, 31138, and 31144; 49 CFR 1.73.

    Source: 59 FR 63728, Dec. 9, 1994, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 365 appear at 66 FR 
49870, Oct. 1, 2001.



             Subpart A--How To Apply for Operating Authority



Sec. 365.101  Applications governed by these rules.

    These rules govern the handling of applications for operating 
authority of the following type:
    (a) Applications for certificates and permits to operate as a motor 
common or contract carrier of property or passengers.
    (b) Applications for permits to operate as a freight forwarder.
    (c) [Reserved]
    (d) Applications for licenses to operate as a broker of motor 
vehicle transportation.
    (e) Applications for certificates under 49 U.S.C. 13902(b)(3) to 
operate as a motor common carrier of passengers in intrastate commerce 
on a route over which applicant holds interstate authority as of 
November 19, 1982.
    (f) Applications for certificates under 49 U.S.C. 13902(b)(3) to 
operate as a motor common carrier of passengers in intrastate commerce 
on a route over which applicant has been granted or will be granted 
interstate authority after November 19, 1982.
    (g) Applications for temporary motor carrier authority.
    (h) Applications for Mexico-domiciled motor carriers to operate in 
foreign commerce as common, contract or private motor carriers of 
property (including exempt items) between Mexico and all points in the 
United States. Under NAFTA Annex I, page I-U-20, a Mexico-domiciled 
motor carrier may not provide point-to-point transportation services, 
including express delivery services, within the United States for goods 
other than international cargo.

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 
FR 49940, Sept. 24, 1997; 67 FR 12714, Mar. 19, 2002; 67 FR 61820, Oct. 
2, 2002]



Sec. 365.103  Modified procedure.

    The FMCSA will handle licensing application proceedings using the 
modified procedure, if possible. The applicant and protestants send 
statements made under oath (verified statements) to each other and to 
the FMCSA. There are no personal appearances or formal hearings.



Sec. 365.105  Starting the application process: Form OP-1.

    (a) All applicants must file the appropriate form in the OP-1 
series, effective January 1, 1995. Form OP-1 for motor property carriers 
and brokers of general freight and household goods; Form OP-1(P) for 
motor passenger carriers; Form OP-1(FF) for freight forwarders; and Form 
OP-1(MX) for Mexico-domiciled motor property carriers, including 
household goods and motor passenger carriers. A separate filing fee in 
the amount set forth at 49 CFR 360.3(f)(1) is required for each type of 
authority sought in each transportation mode.
    (b) Obtain forms at a FMCSA Division Office in each State or at one 
of the FMCSA Service Centers. Addresses and phone numbers for the 
Division Offices and Service Centers can be found at: http://
www.fmcsa.dot.gov/aboutus/fieldoffices. The forms and information about 
filing procedures can be downloaded at: http://www.fmcsa.dot.gov/
factsfigs/formspubs; and from the do-it-yourself website at: http://
www.diy.dot.gov.

[66 FR 49870, Oct. 1, 2001, as amended at 67 FR 12714, Mar. 19, 2002; 67 
FR 61820, Oct. 2, 2002]

[[Page 787]]



Sec. 365.107  Types of applications.

    (a) Fitness applications. Motor property applications and certain 
types of motor passenger applications require only the finding that the 
applicant is fit, willing and able to perform the involved operations 
and to comply with all applicable statutory and regulatory provisions. 
These applications can be opposed only on the grounds that applicant is 
not fit [e.g., is not in compliance with applicable financial 
responsibility and safety fitness requirements]. These applications are:
    (1) Motor common and contract carrier of property (except household 
goods) , Mexican motor property carriers that perform private carriage 
and transport exempt items, and motor contract carrier of passengers 
transportation.
    (2) Motor carrier brokerage of general commodities (except household 
goods).
    (3) Certain types of motor passenger applications as described in 
Form OP-1 (P).
    (b) Motor passenger ``public interest'' applications as described in 
Form OP-1 (P).
    (c) Intrastate motor passenger applications under 49 U.S.C. 
13902(b)(3) as described in Form OP-1, Schedule B.
    (d) Motor common carrier of household goods applications, including 
Mexican carrier applicants. These applications require a finding that:
    (1) The applicant is fit, willing, and able to provide the involved 
transportation and to comply with all applicable statutory and 
regulatory provisions; and
    (2) The service proposed will serve a useful public purpose, 
responsive to a public demand or need.
    (e) Motor contract carrier of household goods, household goods 
property broker, and freight forwarder applications. These applications 
require a finding that:
    (1) The applicant is fit, willing, and able to provide the involved 
transportation and to comply with all applicable statutory and 
regulatory provisions; and
    (2) The transportation to be provided will be consistent with the 
public interest and the national transportation policy of 49 U.S.C. 
13101.
    (f) Temporary authority (TA) for motor and water carriers. These 
applications require a finding that there is or soon will be an 
immediate transportation need that cannot be met by existing carrier 
service.
    (g) In view of the expedited time frames established in this part 
for processing requests for permanent authority, applications for TA 
will be entertained only in exceptional circumstances (i.e., natural 
disasters or national emergencies) when evidence of immediate service 
need can be specifically documented in a narrative supplement appended 
to Form OP-1 for motor property carriers, Form OP-1MX for Mexican 
property carriers and, Form OP-1(P) for motor passenger carriers.

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 
FR 49940, Sept. 24, 1997; 67 FR 61820, Oct. 2, 2002]



Sec. 365.109  FMCSA review of the application.

    (a) FMCSA staff will review the application for correctness, 
completeness, and adequacy of the evidence (the prima facie case).
    (1) Minor errors will be corrected without notification to the 
applicant.
    (2) Materially incomplete applications will be rejected. 
Applications that are in substantial compliance with these rules may be 
accepted.
    (3) All motor carrier applications will be reviewed for consistency 
with the FMCSA's operational safety fitness policy. Applicants with 
``Unsatisfactory'' safety fitness ratings from DOT will have their 
applications rejected.
    (4) FMCSA staff will review completed applications that conform with 
the FMCSA's safety fitness policy and that are accompanied by evidence 
of adequate financial responsibility.
    (5) Financial responsibility is indicated by filing within 20 days 
from the date an application notice is published in the FMCSA Register:
    (i) Form BMC-91 or 91X or BMC 82 surety bond--Bodily injury and 
property damage (motor property and passenger carriers; household goods 
freight forwarders that provide pickup or delivery service directly or 
by using a local delivery service under their control).

[[Page 788]]

    (ii) Form BMC-84--Surety bond or Form BMC-85--trust fund agreement 
(property brokers of general commodities and household goods).
    (iii) Form BMC-34 or BMC 83 surety bond--Cargo liability (motor 
property common carriers and household goods freight forwarders).
    (6) Applicants also must submit Form BOC-3--designation of legal 
process agents--within 20 days from the date an application notice is 
published in the FMCSA Register.
    (7) Applicants seeking to conduct operations for which tariffs are 
required may not commence such operations until tariffs are in effect.
    (8) All applications must be completed in English.
    (b) A summary of the application will be published as a preliminary 
grant of authority in the FMCSA Register to give notice to the public in 
case anyone wishes to oppose the application.

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 67 
FR 61820, Oct. 2, 2002]



Sec. 365.111  Appeals to rejections of the application.

    (a) An applicant has the right to appeal rejection of the 
application. The appeal must be filed at the FMCSA within 10 days of the 
date of the letter of rejection.
    (b) If the appeal is successful and the filing is found to be 
proper, the application shall be deemed to have been properly filed as 
of the decision date of the appeal.



Sec. 365.113  Changing the request for authority or filing supplementary evidence after the application is filed.

    (a) Once the application is filed, the applicant may supplement 
evidence only with approval of the FMCSA.
    (b) Amendments to the application generally are not permitted, but 
in appropriate instances may be entertained at the discretion of the 
FMCSA.



Sec. 365.115  After publication in the FMCSA Register.

    (a) Interested persons have 10 days from the date of FMCSA Register 
publication to file protests. See Subpart B of this part.
    (b) If no one opposes the application, the grant published in the 
FMCSA Register will become effective by issuance of a certificate, 
permit, or license.



Sec. 365.117  Obtaining a copy of the application.

    After publication, interested persons may request a copy of the 
application by contacting the FMCSA-designated contract agent (as 
identified in the FMCSA Register).



Sec. 365.119  Opposed applications.

    If the application is opposed, opposing parties are required to send 
a copy of their protest to the applicant.



Sec. 365.121  Filing a reply statement.

    (a) If the application is opposed, applicant may file a reply 
statement. This statement is due within 20 days after FMCSA Register 
publication.
    (b) The reply statement may not contain new evidence. It shall only 
rebut or further explain matters previously raised.
    (c) The reply statement need not be notarized or verified. Applicant 
understands that the oath in the application form applies to all 
evidence submitted in the application. Separate legal arguments by 
counsel need not be notarized or verified.



Sec. 365.123  Applicant withdrawal.

    If the applicant wishes to withdraw an application, it shall request 
dismissal in writing.



             Subpart B--How To Oppose Requests for Authority



Sec. 365.201  Definitions.

    A person wishing to oppose a request for permanent authority files a 
protest. A person filing a valid protest becomes a protestant.



Sec. 365.203  Time for filing.

    A protest shall be filed (received at the FMCSA) within 10 days 
after notice of the application appears in the FMCSA Register. A copy of 
the protest shall be sent to applicant's representative at the same 
time. Failure timely to file a protest waives further participation in 
the proceeding.

[[Page 789]]



Sec. 365.205  Contents of the protest.

    (a) All information upon which the protestant plans to rely is put 
into the protest.
    (b) A protest must be verified, as follows:

    I, --------------------, verify under penalty of perjury under laws 
of the United States of America, that the information above is true and 
correct. Further, I certify that I am qualified and authorized to file 
this protest. (See 18 U.S.C. 1001 and 18 U.S.C. 1621 for penalties.)

(Signature and Date)

    (c) A protest not in substantial compliance with applicable 
statutory standards or these rules may be rejected.
    (d) Protests must respond directly to the statutory standards for 
FMCSA review of the application. As these standards vary for particular 
types of applications, potential protestants should refer to the general 
criteria addressed at Sec. 365.107 and may consult the FMCSA at (202) 
366-9805 for further assistance in developing their evidence.

[59 FR 63728, Dec. 9, 1994. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 49940, Sept. 24, 1997]



Sec. 365.207  Withdrawal.

    A protestant wishing to withdraw from a proceeding shall inform the 
FMCSA and applicant in writing.



       Subpart C--General Rules Governing the Application Process



Sec. 365.301  Applicable rules.

    Generally, all application proceedings are governed by the FMCSA's 
Rules of Practice at part 386 of this chapter except as designated 
below.



Sec. 365.303  Contacting another party.

    When a person wishes to contact a party or serve a pleading or 
letter on that party, it shall do so through its representative. The 
phone and FAX numbers and address of applicant's representative shall be 
listed in the FMCSA Register.



Sec. 365.305  Serving copies of pleadings.

    (a) An applicant must serve all pleadings and letters on the FMCSA 
and all known participants in the proceeding, except that a reply to a 
motion need only be served on the moving party.
    (b) A protestant need serve only the FMCSA and applicant with 
pleadings or letters.



Sec. 365.307  Replies to motions.

    Replies to motions filed under this part are due within 5 days of 
the date the motion is filed at the FMCSA.



Sec. 365.309  FAX filings.

    FAX filings of applications and supporting evidence are not 
permitted. To assist parties in meeting the expedited time frames 
established for protesting an application, however, the FMCSA will 
accept FAX filings of protests and any reply or rebuttal evidence. FAX 
filings of these pleadings must be followed by the original document, 
plus one copy for FMCSA recordkeeping purposes.



      Subpart D--Transfer of Operating Rights Under 49 U.S.C. 10926

    Source: 53 FR 4852, Feb. 18, 1988, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec. 365.401  Scope of rules.

    These rules define the procedures that enable motor passenger and 
property carriers, property brokers, and household goods freight 
forwarders to obtain approval from the FMCSA to merge, transfer, or 
lease their operating rights in financial transactions not subject to 49 
U.S.C. 11343. Transactions covered by these rules are governed by 49 
U.S.C. 10321 and 10926. The filing fee is set forth at 49 CFR 
360.3(f)(8).

[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61820, Oct. 2, 2002]



Sec. 365.403  Definitions.

    For the purposes of this part, the following definitions apply:
    (a) Transfer. Transfers include all transactions (i.e., the sale or 
lease of

[[Page 790]]

interstate operating rights,\1\ or the merger of two or more carriers or 
a carrier into a noncarrier) subject to 49 U.S.C. 10926, as well as the 
sale of property brokers' licenses under 49 U.S.C. 10321.
---------------------------------------------------------------------------

    \1\ The execution of a chattel mortgage, deed of trust, or other 
similar document does not constitute a transfer or require the FMCSA's 
approval. However, a foreclosure for the purpose of transferring an 
operating right to satisfy a judgment or claim against the record holder 
may not be effected without approval of the FMCSA.
---------------------------------------------------------------------------

    (b) Operating rights. Operating rights include:
    (1) Certificates and permits issued to motor carriers;
    (2) Permits issued to freight forwarders;
    (3) Licenses issued to property brokers; and
    (4) Certificates of Registration issued to motor carriers. The term 
also includes authority held by virtue of the gateway elimination 
regulations published in the Federal Register as letter-notices.
    (c) Certificate of registration. The evidence of a motor carrier's 
right to engage in interstate or foreign commerce within a single State 
is established by a corresponding State certificate.
    (d) Person. An individual, partnership, corporation, company, 
association, or other form of business, or a trustee, receiver, 
assignee, or personal representative of any of these.
    (e) Record holder. The person shown on the records of the FMCSA as 
the legal owner of the operating rights.
    (f) Control. A relationship between persons that includes actual 
control, legal control, and the power to exercise control, through or by 
common directors, officers, stockholders, a voting trust, a holding or 
investment company, or any other means.
    (g) Category 1 transfers. Transactions in which the person to whom 
the operating rights would be transferred is not an FMCSA carrier and is 
not affiliated with any FMCSA carrier.
    (h) Category 2 transfers. Transactions in which the person to whom 
the operating rights would be transferred is an FMCSA carrier and/or is 
affiliated with an FMCSA carrier.

[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61821, Oct. 2, 2002]



Sec. 365.405  Applications.

    (a) Procedural requirements. (1) At least 10 days before 
consummation, an original and two copies of a properly completed Form 
OP-FC-1 and any attachments (see paragraph (b)(1)(viii) of this section) 
must be filed with the FMCSA, Licensing Team; (MC-RIS), 400 Seventh 
Street, SW., Room 8214, Washington, DC 20590.
    (2) At any time after the expiration of the 10-day waiting period, 
applicants may consummate the transaction, subject to the subsequent 
approval of the application by the FMCSA, as described below. The 
transferee may commence operations under the rights acquired from the 
transferor upon its compliance with the FMCSA's regulations governing 
insurance, and process agents. See 49 CFR parts 387, subpart C, and 366, 
respectively. In the alternative, applicants may wait until the FMCSA 
has issued a decision on their application before transferring the 
operating rights. If the transferee wants the transferor's operating 
authority to be reissued in its name, it should furnish the FMCSA with a 
statement executed by both transferor and transferee indicating that the 
transaction has been consummated. Authority will not be reissued until 
after the FMCSA has approved the transaction.
    (b) Information required. (1) In category 1 and category 2 
transfers, applicants must furnish the following information:
    (i) Full name, address, and signatures of the transferee and 
transferor.
    (ii) A copy of the transferor's operating authority involved in the 
transfer proceeding.
    (iii) A short summary of the essential terms of the transaction.
    (iv) If relevant, the status of proceedings for the transfer of 
State certificate(s) corresponding to the Certificates of Registration 
being transferred.
    (v) A statement as to whether the transfer will or will not 
significantly affect the quality of the human environment.

[[Page 791]]

    (vi) Certification by transferor and transferee of their current 
respective safety ratings by the United States Department of 
Transportation (i.e., satisfactory, conditional, unsatisfactory, or 
unrated).
    (vii) Certification by the transferee that it has sufficient 
insurance coverage under 49 U.S.C. 13906 for the service it intends to 
provide.
    (viii) Information to demonstrate that the proposed transaction is 
consistent with the national transportation policy and satisfies the 
criteria for approval set forth at Sec. 365.409 of this part. (Such 
information may be appended to the application form and, if provided, 
would be embraced by the oath and verification contained on that form.)
    (ix) If motor carrier operating rights are being transferred, 
certification by the transferee that it is not domiciled in Mexico nor 
owned or controlled by persons of that country.
    (2) Category 2 applicants must also submit the following additional 
information:
    (i) Name(s) of the carrier(s), if any, with which the transferee is 
affiliated.
    (ii) Aggregate revenues of the transferor, transferee, and their 
carrier affiliates from interstate transportation sources for a 1-year 
period ending not earlier than 6 months before the date of the agreement 
of the parties concerning the transaction. If revenues exceed $2 
million, the transfer may be subject to 49 U.S.C. 14303 rather than 
these rules.

[53 FR 4852, Feb. 18, 1988, as amended at 54 FR 35343, Aug. 25, 1989; 62 
FR 49940, Sept. 24, 1997; 67 FR 61821, Oct. 2, 2002; 68 FR 56198, Sept. 
30, 2003]



Sec. 365.407  Notice.

    The FMCSA will give notice of approved transfer applications through 
publication in the FMCSA Register.



Sec. 365.409  FMCSA action and criteria for approval.

    A transfer will be approved under this section if:
    (a) The transaction is not subject to 49 U.S.C. 14303; and
    (b) The transaction is consistent with the public interest; however,
    (c) If the transferor or transferee has an ``Unsatisfactory'' safety 
fitness rating from DOT, the transfer may be denied. If an application 
is denied, the FMCSA will set forth the basis for its action in a 
decision or letter notice. If parties with ``Unsatisfactory'' safety 
fitness ratings consummate a transaction pursuant to the 10-day rule at 
Sec. 365.405 of this part prior to the notification of FMCSA action, 
they do so at their own risk and subject to any conditions we may impose 
subsequently. Transactions that have been consummated but later are 
denied by the FMCSA are null and void and must be rescinded. Similarly, 
if applications contain false or misleading information, they are void 
ab initio.

[53 FR 4852, Feb. 18, 1988, as amended at 56 FR 46735, Sept. 16, 1991; 
62 FR 49940, Sept. 24, 1997]



Sec. 365.411  Responsive pleadings.

    (a) Protests must be filed within 20 days after the date of 
publication of an approved transfer application in the FMCSA Register. 
Protests received prior to the notice will be rejected. Applicants may 
respond within 20 days after the due date of protests. Petitions for 
reconsideration of decisions denying applications must be filed within 
20 days after the date of service of such decisions.
    (b) Protests and petitions for reconsideration must be filed with 
the FMCSA Licensing Team (MC-RIS), 400 Seventh Street, SW., Room 8214, 
Washington, DC 20590, and be served on appropriate parties.

[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61821, Oct. 2, 2002; 68 
FR 56198, Sept. 30, 2003]



Sec. 365.413  Procedures for changing the name or business form of a motor carrier, freight forwarder, or property broker.

    (a) Scope. These procedures apply in the following circumstances:
    (1) A change in the form of a business, such as the incorporation of 
a partnership or sole proprietorship;
    (2) A change in the legal name of a corporation or partnership or 
change in the trade name or assumed name of any entity;

[[Page 792]]

    (3) A transfer of operating rights from a deceased or incapacitated 
spouse to the other spouse;
    (4) A reincorporation and merger for the purpose of effecting a name 
change;
    (5) An amalgamation or consolidation of a carrier and a noncarrier 
into a new carrier having a different name from either of the 
predecessor entities; and
    (6) A change in the State of incorporation accomplished by 
dissolving the corporation in one State and reincorporating in another 
State.
    (b) Procedures. To accomplish these changes, a letter must be sent 
to the FMCSA, Licensing Team (MC-RIS), Washington, DC 20590. The 
envelope should be marked ``NAME CHANGE''. The applicant must provide:
    (1) The docket number(s) and name of the carrier requesting the 
change;
    (2) A copy of the articles of incorporation and the State 
certificate reflecting the incorporation;
    (3) The name(s) of the owner(s) of the stock and the distribution of 
the shares;
    (4) The names of the officers and directors of the corporation; and
    (5) A statement that there is no change in the ownership, 
management, or control of the business. When this procedure is being 
used to transfer operating rights from a deceased or incapacitated 
spouse to the other spouse, documentation that the other spouse has the 
legal right to effect such change must be included with the request. The 
fee for filing a name change request is in Sec. 360.3(f) of this 
chapter.

[53 FR 4852, Feb. 18, 1988, as amended at 54 FR 47364, Nov. 14, 1989; 62 
FR 49940, Sept. 24, 1997; 68 FR 56198, Sept. 30, 2003]



     Subpart E--Special Rules for Certain Mexico-domiciled Carriers

    Source: 67 FR 12714, Mar. 19, 2002, unless otherwise noted.



Sec. 365.501  Scope of rules.

    (a) The rules in this subpart govern the application by a Mexico-
domiciled motor carrier to provide transportation of property or 
passengers in interstate commerce between Mexico and points in the 
United States beyond the municipalities and commercial zones along the 
United States-Mexico international border.
    (b) A Mexico-domiciled carrier may not provide point-to-point 
transportation services, including express delivery services, within the 
United States for goods other than international cargo.



Sec. 365.503  Application.

    (a) Each applicant applying under this subpart must submit an 
application that consists of:
    (1) Form OP-1 (MX)--Application to Register Mexican Carriers for 
Motor Carrier Authority To Operate Beyond U.S. Municipalities and 
Commercial Zones on the U.S.-Mexico Border;
    (2) Form MCS-150--Motor Carrier Identification Report; and
    (3) A notification of the means used to designate process agents, 
either by submission in the application package of Form BOC-3--
Designation of Agents-Motor Carriers, Brokers and Freight Forwarders or 
a letter stating that the applicant will use a process agent service 
that will submit the Form BOC-3 electronically.
    (b) The Federal Motor Carrier Safety Administration (FMCSA) will 
only process your application if it meets the following conditions:
    (1) The application must be completed in English;
    (2) The information supplied must be accurate, complete, and include 
all required supporting documents and applicable certifications in 
accordance with the instructions to Form OP-1 (MX), Form MCS-150, and 
Form BOC-3;
    (3) The application must include the filing fee payable to the FMCSA 
in the amount set forth at 49 CFR 360.3(f)(1); and
    (4) The application must be signed by the applicant.
    (c) You must submit the application to the address provided in Form 
OP-1(MX).
    (d) You may obtain the application forms from any FMCSA Division 
Office or download it from the FMCSA website at: http://
www.fmcsa.dot.gov/factsfigs/formspubs.htm.

[[Page 793]]



Sec. 365.505  Re-registration and fee waiver for certain applicants.

    (a) If you filed an application using Form OP-1(MX) before May 3, 
2002, you are required to file a new Form OP-1(MX). You do not need to 
submit a new fee when you file a new application under this subpart.
    (b) If you hold a Certificate of Registration issued before April 
18, 2002, authorizing operations beyond the municipalities along the 
United States-Mexico border and beyond the commercial zones of such 
municipalities, you are required to file an OP-1(MX) if you want to 
continue those operations. You do not need to submit a fee when you file 
an application under this subpart.
    (1) You must file the application by November 4, 2003.
    (2) The FMCSA may suspend or revoke the Certificate of Registration 
of any applicable holder that fails to comply with the procedures set 
forth in this section.
    (3) Certificates of Registration issued before April 18, 2002, will 
remain valid until the FMCSA acts on the OP-1(MX) application.

[67 FR 12714, Mar. 19, 2002, as amended at 68 FR 56198, Sept. 30, 2003]



Sec. 365.507  FMCSA action on the application.

    (a) The FMCSA will review and act on each application submitted 
under this subpart in accordance with the procedures set out in this 
part.
    (b) The FMCSA will validate the accuracy of information and 
certifications provided in the application by checking data maintained 
in databases of the governments of Mexico and the United States.
    (c) Pre-authorization safety audit. Every Mexico-domiciled carrier 
that applies under this part must satisfactorily complete an FMCSA-
administered safety audit before FMCSA will grant provisional operating 
authority to operate in the United States. The safety audit is a review 
by the FMCSA of the carrier's written procedures and records to validate 
the accuracy of information and certifications provided in the 
application and determine whether the carrier has established or 
exercises the basic safety management controls necessary to ensure safe 
operations. The FMCSA will evaluate the results of the safety audit 
using the criteria in Appendix A to this subpart.
    (d) If a carrier successfully completes the pre-authorization safety 
audit and the FMCSA approves its application submitted under this 
subpart, FMCSA will publish a summary of the application as a 
preliminary grant of authority in the FMCSA Register to give notice to 
the public in case anyone wishes to oppose the application, as required 
in Sec. 365.109(b) of this part.
    (e) If the FMCSA grants provisional operating authority to the 
applicant, it will assign a distinctive USDOT Number that identifies the 
motor carrier as authorized to operate beyond the municipalities in the 
United States on the U.S.-Mexico international border and beyond the 
commercial zones of such municipalities. In order to operate in the 
United States, a Mexico-domiciled motor carrier with provisional 
operating authority must:
    (1) Have its surety or insurance provider file proof of financial 
responsibility in the form of certificates of insurance, surety bonds, 
and endorsements, as required by Sec. 387.301 of this subchapter;
    (2) File a hard copy of, or have its process agent(s) electronically 
submit, Form BOC-3--Designation of Agents-Motor Carriers, Brokers and 
Freight Forwarders, as required by part 366 of this subchapter; and
    (3) Comply with all provisions of the safety monitoring system in 
subpart B of part 385 of this subchapter, including successfully passing 
CVSA Level I inspections at least every 90 days and having decals 
affixed to each commercial motor vehicle operated in the United States 
as required by Sec. 385.103(c) of this subchapter.
    (f) The FMCSA may grant permanent operating authority to a Mexico-
domiciled carrier no earlier than 18 months after the date that 
provisional operating authority is granted and only after successful 
completion to the satisfaction of the FMCSA of the safety monitoring 
system for Mexico-domiciled carriers set out in subpart B of part 385 of 
this subchapter. Successful completion includes obtaining a satisfactory 
safety rating as the result of a compliance review.

[[Page 794]]



Sec. 365.509  Requirement to notify FMCSA of change in applicant information.

    (a) A motor carrier subject to this subpart must notify the FMCSA of 
any changes or corrections to the information in parts I, IA or II 
submitted on the Form OP-1(MX) or the Form BOC-3--Designation of Agents-
-Motor Carriers, Brokers and Freight Forwarders during the application 
process or after having been granted provisional operating authority. 
The carrier must notify the FMCSA in writing within 45 days of the 
change or correction.
    (b) If a carrier fails to comply with paragraph (a) of this section, 
the FMCSA may suspend or revoke its operating authority until it meets 
those requirements.



Sec. 365.511  Requirement for CVSA inspection of vehicles during first three consecutive years of permanent operating authority.

    A Mexico-domiciled motor carrier granted permanent operating 
authority must have its vehicles inspected by Commercial Vehicle Safety 
Alliance (CVSA)-certified inspectors every three months and display a 
current inspection decal attesting to the successful completion of such 
an inspection for at least three consecutive years after receiving 
permanent operating authority from the FMCSA.

 Appendix A to Subpart E of Part 365--Explanation of Pre-Authorization 
  Safety Audit Evaluation Criteria for Mexico-Domiciled Motor Carriers

                               I. General

    (a) Section 350 of the Fiscal Year 2002 DOT Appropriations Act (Pub. 
L. 107-87) directed the FMCSA to perform a safety audit of each Mexico-
domiciled motor carrier before the FMCSA grants the carrier provisional 
operating authority to operate beyond United States municipalities and 
commercial zones on the United States-Mexico international border.
    (b) The FMCSA will decide whether it will conduct the safety audit 
at the Mexico-domiciled motor carrier's principal place of business in 
Mexico or at a location specified by the FMCSA in the United States, in 
accordance with the statutory requirements that 50 percent of all safety 
audits must be conducted onsite and on-site inspections cover at least 
50 percent of estimated truck traffic in any year. All records and 
documents must be made available for examination within 48 hours after a 
request is made. Saturdays, Sundays, and Federal holidays are excluded 
from the computation of the 48-hour period.
    (c) The safety audit will include:
    (1) Verification of available performance data and safety management 
programs;
    (2) Verification of a controlled substances and alcohol testing 
program consistent with part 40 of this title;
    (3) Verification of the carrier's system of compliance with hours-
of-service rules in part 395 of this subchapter, including recordkeeping 
and retention;
    (4) Verification of proof of financial responsibility;
    (5) Review of available data concerning the carrier's safety 
history, and other information necessary to determine the carrier's 
preparedness to comply with the Federal Motor Carrier Safety 
Regulations, parts 382 through 399 of this subchapter, and the Federal 
Hazardous Material Regulations, parts 171 through 180 of this title;
    (6) Inspection of available commercial motor vehicles to be used 
under provisional operating authority, if any of these vehicles have not 
received a decal required by Sec. 385.103(d) of this subchapter;
    (7) Evaluation of the carrier's safety inspection, maintenance, and 
repair facilities or management systems, including verification of 
records of periodic vehicle inspections;
    (8) Verification of drivers' qualifications, including confirmation 
of the validity of the Licencia de Federal de Conductor of each driver 
the carrier intends to assign to operate under its provisional operating 
authority; and
    (9) An interview of carrier officials to review safety management 
controls and evaluate any written safety oversight policies and 
practices.
    (d) To successfully complete the safety audit, a Mexico-domiciled 
motor carrier must demonstrate to the FMCSA that it has the required 
elements in paragraphs (c)(2), (3), (4), (7), and (8) above and other 
basic safety management controls in place which function adequately to 
ensure minimum acceptable compliance with the applicable safety 
requirements. The FMCSA developed a ``safety audit evaluation 
criteria,'' which uses data from the safety audit and roadside 
inspections to determine that each applicant for provisional operating 
authority has basic safety management controls in place.
    (e) The safety audit evaluation process developed by the FMCSA is 
used to:
    (1) Evaluate basic safety management controls and determine if each 
Mexico-domiciled carrier and each driver is able to operate

[[Page 795]]

safely in the United States beyond municipalities and commercial zones 
on the United States-Mexico international border; and
    (2) Identify motor carriers and drivers who are having safety 
problems and need improvement in their compliance with the FMCSRs and 
the HMRs, before FMCSA grants the carriers provisional operating 
authority to operate beyond United States municipalities and commercial 
zones on the United States-Mexico international border.

     II. Source of the Data for the Safety Audit Evaluation Criteria

    (a) The FMCSA's evaluation criteria are built upon the operational 
tool known as the safety audit. The FMCSA developed this tool to assist 
auditors and investigators in assessing the adequacy of a Mexico-
domiciled carrier's basic safety management controls.
    (b) The safety audit is a review of a Mexico-domiciled motor 
carrier's operation and is used to:
    (1) Determine if a carrier has the basic safety management controls 
required by 49 U.S.C. 31144;
    (2) Meet the requirements of Section 350 of the DOT Appropriations 
Act; and
    (3) In the event that a carrier is found not to be in compliance 
with applicable FMCSRs and HMRs, the safety audit can be used to educate 
the carrier on how to comply with U.S. safety rules.
    (c) Documents such as those contained in driver qualification files, 
records of duty status, vehicle maintenance records, and other records 
are reviewed for compliance with the FMCSRs and HMRs. Violations are 
cited on the safety audit. Performance-based information, when 
available, is utilized to evaluate the carrier's compliance with the 
vehicle regulations. Recordable accident information is also collected.

  III. Overall Determination of the Carrier's Basic Safety Management 
                                Controls

    (a) The carrier will not be granted provisional operating authority 
if the FMCSA fails to:
    (1) Verify a controlled substances and alcohol testing program 
consistent with part 40 of this title;
    (2) Verify a system of compliance with hours-of-service rules of 
this subchapter, including recordkeeping and retention;
    (3) Verify proof of financial responsibility;
    (4) Verify records of periodic vehicle inspections; and
    (5) Verify drivers' qualifications of each driver the carrier 
intends to assign to operate under such authority, as required by parts 
383 and 391 of this subchapter, including confirming the validity of 
each driver's Licencia de Federal de Conductor.
    (b) If the FMCSA confirms each item under II (a)(1) through (5) 
above, the carrier will be granted provisional operating authority, 
except if FMCSA finds the carrier has inadequate basic safety management 
controls in at least three separate factors described in part III below. 
If FMCSA makes such a determination, the carrier's application for 
provisional operating authority will be denied.

                 IV. Evaluation of Regulatory Compliance

    (a) During the safety audit, the FMCSA gathers information by 
reviewing a motor carrier's compliance with ``acute'' and ``critical'' 
regulations of the FMCSRs and HMRs.
    (b) Acute regulations are those where noncompliance is so severe as 
to require immediate corrective actions by a motor carrier regardless of 
the overall basic safety management controls of the motor carrier.
    (c) Critical regulations are those where noncompliance relates to 
management and/or operational controls. These are indicative of 
breakdowns in a carrier's management controls.
    (d) The list of the acute and critical regulations, which are used 
in determining if a carrier has basic safety management controls in 
place, is included in Appendix B, VII. List of Acute and Critical 
Regulations to part 385 of this subchapter.
    (e) Noncompliance with acute and critical regulations are indicators 
of inadequate safety management controls and usually higher than average 
accident rates.
    (f) Parts of the FMCSRs and the HMRs having similar characteristics 
are combined together into six regulatory areas called ``factors.'' The 
regulatory factors, evaluated on the adequacy of the carrier's safety 
management controls, are:
    (1) Factor 1--General: Parts 387 and 390;
    (2) Factor 2--Driver: Parts 382, 383 and 391;
    (3) Factor 3--Operational: Parts 392 and 395;
    (4) Factor 4--Vehicle: Part 393, 396 and inspection data for the 
last 12 months;
    (5) Factor 5--Hazardous Materials: Parts 171, 177, 180 and 397; and
    (6) Factor 6--Accident: Recordable Accident Rate per Million Miles.
    (g) For each instance of noncompliance with an acute regulation, 1.5 
points will be assessed.
    (h) For each instance of noncompliance with a critical regulation, 1 
point will be assessed.
    (i) Vehicle Factor. (1) When at least three vehicle inspections are 
recorded in the Motor Carrier Management Information System (MCMIS) 
during the twelve months before the safety audit or performed at the 
time of the review, the Vehicle Factor (part 396) will be evaluated on 
the basis of the Out-of-Service (OOS) rates and noncompliance with acute 
and critical regulations. The results of

[[Page 796]]

the review of the OOS rate will affect the Vehicle Factor as follows:
    (i) If the motor carrier has had at least three roadside inspections 
in the twelve months before the safety audit, and the vehicle OOS rate 
is 34 percent or higher, one point will be assessed against the carrier. 
That point will be added to any other points assessed for discovered 
noncompliance with acute and critical regulations of part 396 to 
determine the carrier's level of safety management control for that 
factor.
    (ii) If the motor carrier's vehicle OOS rate is less than 34 
percent, or if there are less than three inspections, the determination 
of the carrier's level of safety management controls will only be based 
on discovered noncompliance with the acute and critical regulations of 
part 396.
    (2) Over two million inspections occur on the roadside each year in 
the United States. This vehicle inspection information is retained in 
the MCMIS and is integral to evaluating motor carriers' ability to 
successfully maintain their vehicles, thus preventing them from being 
placed OOS during roadside inspections. Each safety audit will continue 
to have the requirements of part 396, Inspection, Repair, and 
Maintenance, reviewed as indicated by the above explanation.
    (j) Accident Factor. (1) In addition to the five regulatory factors, 
a sixth factor is included in the process to address the accident 
history of the motor carrier. This factor is the recordable accident 
rate, which the carrier has experienced during the past 12 months. 
Recordable accident, as defined in 49 CFR 390.5, means an accident 
involving a commercial motor vehicle operating on a public road in 
interstate or intrastate commerce which results in a fatality; a bodily 
injury to a person who, as a result of the injury, immediately receives 
medical treatment away from the scene of the accident; or one or more 
motor vehicles incurring disabling damage as a result of the accident 
requiring the motor vehicle to be transported away from the scene by a 
tow truck or other motor vehicle.
    (2) Experience has shown that urban carriers, those motor carriers 
operating entirely within a radius of less than 100 air miles (normally 
urban areas), have a higher exposure to accident situations because of 
their environment and normally have higher accident rates.
    (3) The recordable accident rate will be used in determining the 
carrier's basic safety management controls in Factor 6, Accident. It 
will be used only when a carrier incurs two or more recordable accidents 
within the 12 months before the safety audit. An urban carrier (a 
carrier operating entirely within a radius of 100 air miles) with a 
recordable rate per million miles greater than 1.7 will be deemed to 
have inadequate basic safety management controls for the accident 
factor. All other carriers with a recordable accident rate per million 
miles greater than 1.5 will be deemed to have inadequate basic safety 
management controls for the accident factor. The rates are the result of 
roughly doubling the United States national average accident rate in 
Fiscal Years 1994, 1995, and 1996.
    (4) The FMCSA will continue to consider preventability when a new 
entrant contests the evaluation of the accident factor by presenting 
compelling evidence that the recordable rate is not a fair means of 
evaluating its accident factor. Preventability will be determined 
according to the following standard: ``If a driver, who exercises normal 
judgment and foresight, could have foreseen the possibility of the 
accident that in fact occurred, and avoided it by taking steps within 
his/her control which would not have risked causing another kind of 
mishap, the accident was preventable.''
    (k) Factor Ratings
    (1) The following table shows the five regulatory factors, parts of 
the FMCSRs and HMRs associated with each factor, and the accident 
factor. Each carrier's level of basic safety management controls with 
each factor is determined as follows:
    (i) Factor 1--General: Parts 390 and 387;
    (ii) Factor 2--Driver: Parts 382, 383, and 391;
    (iii) Factor 3--Operational: Parts 392 and 395;
    (iv) Factor 4--Vehicle: Parts 393, 396 and the Out of Service Rate;
    (v) Factor 5--Hazardous Materials: Part 171, 177, 180 and 397; and
    (vi) Factor 6--Accident: Recordable Accident Rate per Million Miles;
    (2) For paragraphs III (k)(1)(i) through (v) (Factors 1 through 5), 
if the combined violations of acute and or critical regulations for each 
factor is equal to three or more points, the carrier is determined not 
to have basic safety management controls for that individual factor.
    (3) For paragraphs III (k)(1)(vi), if the recordable accident rate 
is greater than 1.7 recordable accidents per million miles for an urban 
carrier (1.5 for all other carriers), the carrier is determined to have 
inadequate basic safety management controls.
    (l) Notwithstanding FMCSA verification of the items listed in part 
II (a)(1) through (5) above, if the safety audit determines the carrier 
has inadequate basic safety management controls in at least three 
separate factors described in part III, the carrier's application for 
provisional operating authority will be denied. For example, FMCSA 
evaluates a carrier finding:
    (1) One instance of noncompliance with a critical regulation in part 
387 scoring one point for Factor 1;
    (2) Two instances of noncompliance with acute regulations in part 
382 scoring three points for Factor 2;

[[Page 797]]

    (3) Three instances of noncompliance with critical regulations in 
part 396 scoring three points for Factor 4; and
    (4) Three instances of noncompliance with acute regulations in parts 
171 and 397 scoring four and one-half (4.5) points for Factor 5.
    Under this example, the carrier will not receive provisional 
operating authority because it scored three or more points for Factors 
2, 4, and 5 and FMCSA determined the carrier had inadequate basic safety 
management controls in at least three separate factors.



PART 366--DESIGNATION OF PROCESS AGENT--Table of Contents




Sec.
366.1 Applicability.
366.2 Form of designation.
366.3 Eligible persons.
366.4 Required States.
366.5 Blanket designations.
366.6 Cancellation or change.

    Authority: 49 U.S.C. 13303, 13304, and 14704; and 49 CFR 1.73.

    Source: 55 FR 11197, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 366 appear at 66 FR 
49870, Oct. 1, 2001.



Sec. 366.1  Applicability.

    These rules, relating to the filing of designations of persons upon 
whom court process may be served, govern motor carriers and brokers and, 
as of the moment of succession, their fiduciaries (as defined at 49 CFR 
387.319(a)).

[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49940, Sept. 24, 1997]



Sec. 366.2  Form of designation.

    Designations shall be made on Form BOC-3, Designation of Agent for 
Service of Process. Only one completed current form may be on file. It 
must include all States for which agent designations are required. One 
copy must be retained by the carrier or broker at its principal place of 
business.



Sec. 366.3  Eligible persons.

    All persons (as defined at 49 U.S.C. 13102(16)) designated must 
reside or maintain an office in the State for which they are designated. 
If a State official is designated, evidence of his willingness to accept 
service of process must be furnished.

[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49940, Sept. 24, 1997]



Sec. 366.4  Required States.

    (a) Motor carriers. Every motor carrier (of property or passengers) 
shall make a designation for each State in which it is authorized to 
operate and for each State traversed during such operations. Every motor 
carrier (including private carriers) operating in the United States in 
the course of transportation between points in a foreign country shall 
file a designation for each State traversed.
    (b) Brokers. Every broker shall make a designation for each State in 
which its offices are located or in which contracts will be written.

[55 FR 11197, Mar. 27, 1990, as amended at 55 FR 47338, Nov. 13, 1990]



Sec. 366.5  Blanket designations.

    Where an association or corporation has filed with the FMCSA a list 
of process agents for each State, motor carriers may make the required 
designations by using the following statement:

    Those persons named in the list of process agents on file with the 
Federal Motor Carrier Safety Administration by ------------------------
------

________________________________________________________________________

(Name of association or corporation) and any subsequently filed 
revisions thereof, for the States in which this carrier is or may be 
authorized to operate, including States traversed during such 
operations, except those States for which individual designations are 
named.



Sec. 366.6  Cancellation or change.

    A designation may be canceled or changed only by a new designation 
except that, where a carrier or broker ceases to be subject to 
Sec. 366.4 in whole or in part for 1 year, designation is no longer 
required and may be canceled without making another designation.

[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49940, Sept. 24, 1997]

[[Page 798]]



PART 367--STANDARDS FOR REGISTRATION WITH STATES--Table of Contents




Sec.
367.1 Definitions.
367.2 Participation by States.
367.3 Selection of registration State.
367.4 Requirements for registration.
367.5 Registration receipts.
367.6 Registration State accounting.
367.7 Violations unlawful; criminal penalties and civil sanctions.

Appendix A to Part 367--Uniform Application for Single State 
          Registration for Motor Carriers Registered with the Secretary 
          of Transportation

    Authority: 49 U.S.C. 13301 and 14504; and 49 CFR 1.73.

    Source: 58 FR 28933, May 18, 1993, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 367 appear at 66 FR 
49870, Oct. 1, 2001.



Sec. 367.1  Definitions.

    (a) The Secretary. The Secretary of Transportation.
    (b) Motor carrier and carrier. A person authorized to engage in the 
transportation of passengers or property, as a common or contract 
carrier, in interstate or foreign commerce, under the provisions of 49 
U.S.C. 13902.
    (c) Motor vehicle. A self-propelled or motor driven vehicle operated 
by a motor carrier in interstate or foreign commerce under authority 
issued by the Secretary.
    (d) Principal place of business. A single location that serves as a 
motor carrier's headquarters and where it maintains or can make 
available its operational records.
    (e) State. A State of the United States or the District of Columbia.

[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



Sec. 367.2  Participation by States.

    (a) A State is eligible to participate as a registration State and 
to receive fee revenue only if, as of January 1, 1991, it charged or 
collected a fee for a vehicle identification stamp or a number pursuant 
to the provisions of the predecessor to this part.
    (b) An eligible State that intends either to commence or to cease 
participating in the registration program must publish notice of its 
intention by the 1st day of July of the year preceding the registration 
year in which it will commence or cease participating.



Sec. 367.3  Selection of registration State.

    (a) Each motor carrier required to register and pay filing fees must 
select a single participating State as its registration State. The 
carrier must select the State in which it maintains its principal place 
of business, if such State is a participating State. A carrier that 
maintains its principal place of business outside of a participating 
State must select the State in which it will operate the largest number 
of motor vehicles during the next registration year. In the event a 
carrier will operate the same largest number of vehicles in more than 
one State, it must select one of those States.
    (b) A carrier may not change its registration State unless it 
changes its principal place of business or its registration State ceases 
participating in the program, in which case the carrier must select a 
registration State for the next registration year under the standards of 
paragraph (a) of this section.
    (c) A carrier must give notice of its selection to the State 
commission of its selected registration State, and, the State commission 
of its prior registration State, within 30 days after it has made its 
selection. If a carrier changes its principal place of business during 
the annual registration period specified in Sec. 367.4(b)(2), the 
carrier may continue to use its prior registration State, if any, for 
the next registration year.
    (d) A carrier must give notice of its selection to its insurer or 
insurers as soon as practicable after it has made its selection.

[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



Sec. 367.4  Requirements for registration.

    (a) Except as provided in paragraph (c)(1) of this section with 
regard to a carrier operating under temporary authority, only a motor 
carrier holding a certificate or permit issued by the Secretary under 49 
U.S.C. 13902 shall be required to register under these standards.

[[Page 799]]

    (b) A motor carrier operating in interstate or foreign commerce in 
one or more participating States under a certificate or permit issued by 
the Secretary shall be required to register annually with a single 
registration State, and such registration shall be deemed to satisfy the 
registration requirements of all participating States.
    (1) The registration year will be the calendar year.
    (2) A carrier must file its annual registration application between 
the 1st day of August and the 30th day of November of the year preceding 
the registration year. A carrier that intends to commence operating 
during the current registration year may register at any time, but it 
must do so before it commences operating.
    (3) The registration application must be in the form appended to 
this part and must contain the information and be accompanied by the 
fees specified in paragraph (c) of this section. There will be no 
prorating of fees to account for partial year operations.
    (4) A carrier that has changed its registration State since its last 
filing must identify the registration State with which it previously 
filed.
    (c) A motor carrier must file, or cause to be filed, the following 
with its registration State:
    (1) Copies of its certificates and/or permits. A carrier must 
supplement its filing by submitting copies of any new operating 
authorities as they are issued. Once a carrier has submitted copies of 
its authorities, it may thereafter satisfy the filing requirement by 
certifying that the copies are on file. A carrier may, with the 
permission of its registration State, submit a summary of its operating 
authorities in lieu of copies. A carrier granted emergency temporary 
authority or temporary authority having a duration of 120 days or less 
is not required to file evidence of such authority, but it must 
otherwise comply with the requirements of this section;
    (2) A copy of its proof of public liability security submitted to 
and accepted by the Secretary under 49 CFR part 387, subpart C or a copy 
of an order of the Secretary approving a public liability self-insurance 
application or other public liability security or agreement under the 
provisions of that part. A carrier must supplement its filings as 
necessary to ensure that current information is on file. Once a carrier 
has submitted, or caused to be submitted, a copy of its proof or order 
of the Secretary, it may thereafter satisfy the filing requirement by 
certifying that it has done so and that its security, self-insurance, or 
agreement remains in effect;
    (3) A copy of its designation of an agent or agents for service of 
process submitted to and accepted by the Secretary under 49 CFR part 
366. A carrier must supplement its filings as necessary to ensure that 
current information is on file. Once a carrier has submitted a copy of 
its designation, it may thereafter satisfy the filing requirement by 
certifying that its designation is on file; and
    (4) A fee for the filing of proof of insurance. In support of such 
fee, the carrier must submit the following information:
    (i) The number of motor vehicles it intends to operate in each 
participating State during the next registration year;
    (ii) The per vehicle fee each pertinent participating State charges, 
which fee must equal the fee, not to exceed $10, that such State 
collected or charged as of November 15, 1991;
    (iii) The total fee due each participating State; and
    (iv) The total of all fees specified in paragraph (c)(4)(iii) of 
this section.
    (d) Consistent with its obligations under paragraph (c)(2) of this 
section, a carrier must cause to be timely filed with its registration 
State copies of any notices of cancellation or of any replacement 
certificates of insurance, surety bonds, or other security filed with 
the Secretary under 49 CFR part 387, subpart C.
    (e) A carrier must make such supplemental filings at any time during 
the registration year as may be necessary to specify additional vehicles 
and/or States of operation and to pay additional fees.
    (f) A motor carrier must submit to its insurer or insurers a copy of 
the supporting information, including any supplemental information, 
filed with

[[Page 800]]

its registration State under paragraphs (c)(4) and (e) of this section.
    (g) The charging or collection of any fee that is not in accordance 
with the fee system established above is deemed a burden on interstate 
commerce. This includes fees for the registration or filing of evidence 
of insurance whether assessed directly upon the carrier or indirectly 
upon the insurance provider or other party who seeks reimbursement from 
the carrier.
    (h) To the extent any State registration requirement imposes 
obligations in excess of those specified in this part, the requirement 
is an unreasonable burden on transportation within the Secretary's 
jurisdiction under 49 U.S.C. 13501.

[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



Sec. 367.5  Registration receipts.

    (a) On compliance by a motor carrier with the annual or supplemental 
registration requirements of Sec. 367.4, the registration State must 
issue the carrier a receipt reflecting that the carrier has filed the 
required proof of insurance and paid fees in accordance with the 
requirements of that section. The registration State also must issue a 
number of official copies of the receipt equal to the number of motor 
vehicles for which fees have been paid.
    (1) The receipt and official copies must contain only information 
identifying the carrier and specifying the States for which fees were 
paid. Supplemental receipts and official copies need contain only 
information relating to their underlying supplemental registrations.
    (b) Receipts and official copies issued pursuant to a filing made 
during the annual registration period specified in Sec. 367.4(b)(2) must 
be issued within 30 days of filing of a fully acceptable registration 
application. All other receipts and official copies must be issued by 
the 30th day following the date of filing of a fully acceptable 
supplemental registration application. All receipts and official copies 
shall expire at midnight on the 31st day of December of the registration 
year for which they were issued.
    (c) A carrier is permitted to operate its motor vehicles only in 
those participating States with respect to which it has paid appropriate 
fees, as indicated on the receipts and official copies. It may not 
operate more motor vehicles in a participating State than the number for 
which it has paid fees.
    (d) A motor carrier may not copy or alter a receipt or an official 
copy of a receipt.
    (e) A motor carrier must maintain in each of its motor vehicles an 
official copy of its receipt indicating that it has filed the required 
proof of insurance and paid appropriate fees for each State in which it 
operates.
    (f) A motor carrier may transfer its official copies of its receipts 
from vehicles taken out of service to their replacement vehicles.
    (g) The driver of a motor vehicle must present an official copy of a 
receipt for inspection by any authorized government personnel on 
reasonable demand.
    (h) No registration State shall require decals, stamps, cab cards, 
or any other means of registering or identifying specific vehicles 
operated by a motor carrier.

[60 FR 30012, June 7, 1995. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



Sec. 367.6  Registration State accounting.

    (a) A participating State must, on or before the last day of each 
month, allocate and remit to each other participating State the 
appropriate portion of the fee revenue registrants submitted during the 
preceding month. Each remittance must be accompanied by a supporting 
statement identifying registrants and specifying the number of motor 
vehicles for which each registrant submitted fees. A participating State 
must submit a report of ``no activity'' to any other participating State 
for which it collected no fees during any month.
    (b) A participating State must maintain records of fee revenue 
received from and remitted to each other participating State. Such 
records must specify the fees received from and remitted to each 
participating State

[[Page 801]]

with respect to each motor carrier registrant. A participating State 
must retain such records for a minimum of 3 years.
    (c) A participating State must keep records pertaining to each of 
the motor carriers for which it acts as a registration State. The 
records must, at a minimum, include copies of annual and supplemental 
registration applications containing the information required by 
Sec. 367.4(c). A registration State must retain all such records for a 
minimum of 3 years.

[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



Sec. 367.7  Violations unlawful; criminal penalties and civil sanctions.

    Any violation of the provisions of these standards is unlawful. 
Nothing in these standards shall be construed to prevent a State from 
imposing criminal penalties or civil sanctions upon any person or 
organization violating any provision of them.

      Appendix A to Part 367--Uniform Application for Single State 
    Registration for Motor Carriers Registered with the Secretary of 
                             Transportation

Motor Carrier Identification Numbers:

FMCSA MC No.(s.)________________________________________________________

US DOT No.______________________________________________________________
Applicant (Identical to name on FMCSA order):

Name:___________________________________________________________________

D/B/A___________________________________________________________________
Principal Place of Business Address: \1\
---------------------------------------------------------------------------

    \1\ A principal place of business is a single location that serves 
as a motor carrier's headquarters and where it maintains or can make 
available its operational records.
---------------------------------------------------------------------------

Street__________________________________________________________________

City____________________________________________________________________

State___________________________________________________________________

Zip_____________________________________________________________________
Mailing Address if Different From Business Address Above:

Street__________________________________________________________________

City____________________________________________________________________

State___________________________________________________________________

Zip_____________________________________________________________________
Type of Registration:
[ ] New Carrier Registration-- The motor carrier has not previously 
          registered.
[ ] Annual Registration-- The motor carrier is renewing its annual 
          registration.
[ ] Supplemental Registration-- The motor carrier is adding additional 
          vehicles or States of travel after its annual registration.
[ ] New Registration State Selection-- The motor carrier has changed its 
          principal place of business or its prior registration State 
          has left the registration program. The prior registration 
          State was --------------------.

[ ] Additional States not registered in prior years. List

________________________________________________________________________

________________________________________________________________________

Type of Motor Carrier: (Check one)
[ ] Individual [ ] Partnership [ ] Corporation
    If corporation, give State in which incorporated:------------------
--

List names of partners or officers:

Name:___________________________________________________________________

Title:__________________________________________________________________

Name:___________________________________________________________________

Title:__________________________________________________________________

Name:___________________________________________________________________

Title:__________________________________________________________________

Type of FMCSA Registered Authority:
Permanent Certificate or Permit [ ] Temporary Authority (TA) [ ] 
          Emergency Temporary Authority (ETA) [ ]

FMCSA Certificate(s) or Permit(s):
[ ] FMCSA Authority Order(s) attached for initial registration.
[ ] FMCSA Authority Order(s) attached for additional grants received.
[ ] No change from prior year registration.
Proof of Public Liability Security:
[ ] The applicant is filing, or causing to be filed, a copy of its proof 
          of public liability security submitted to and accepted by the 
          FMCSA under 49 CFR part 387, subpart C.
[ ] The applicant has filed, or caused to be filed, a copy of its proof 
          of public liability security submitted to and accepted by the 
          FMCSA under 49 CFR part 387, subpart C, and the security 
          remains in effect.

FMCSA Approved Self-Insurance or Other Securities:
[ ] FMCSA Insurance order attached for new carrier registration. (Check 
          one when completing for annual registration.)
[ ] The FMCSA Order approving the self-insurance plan or other security 
          is still in full force and effect, and the carrier is in full 
          compliance with all conditions imposed by the FMCSA Order.
[ ] The motor carrier is no longer approved under a self-insurance plan 
          or other security, and the motor carrier will file, or

[[Page 802]]

          cause to be filed, a copy of proof of public liability 
          security with this application in the registration State.

Hazardous Materials: (Check one)
[ ] The applicant will not haul hazardous materials in any quantity.
[ ] The applicant will haul hazardous materials that require the 
          following limits in accordance with Title 49 CFR 387.303:

(Check one)
[ ] Public Liability and Property Damage Insurance of $1 million.
[ ] Public Liability and Property Damage Insurance of $5 million.

Process Agents:
[ ] FMCSA Form No. BOC-3 or blanket designation attached for new 
          registration.
[ ] FMCSA Form No. BOC-3 or blanket designation attached reflecting 
          changes of designation of process agents.
[ ] No change from prior year registration.

Certification:

    I, the undersigned, under penalty for false statement, certify that 
the above information is true and correct and that I am authorized to 
execute and file this document on behalf of the applicant. (Penalty 
provisions subject to the laws of the registration State.)

Name (Printed)__________________________________________________________

Signature_______________________________________________________________

Title___________________________________________________________________

Telephone Number________________________________________________________

Date____________________________________________________________________

[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



PART 368--APPLICATION FOR A CERTIFICATE OF REGISTRATION TO OPERATE IN 
MUNICIPALITIES IN THE UNITED STATES ON THE UNITED STATES-MEXICO 
INTERNATIONAL BORDER OR WITHIN THE COMMERCIAL ZONES OF SUCH 
MUNICIPALITIES.--Table of Contents




Sec.
368.1 Certificate of registration.
368.2 Definitions.
368.3 Applying for a certificate of registration.
368.4 Requirement to notify FMCSA of change in applicant information.
368.5 Re-registration of certain carriers holding certificates of 
          registration.
368.6 FMCSA action on an application.
368.7 Requirement to carry certificate of registration in the vehicle.
368.8 Appeals.

    Authority: 49 U.S.C. 13301 and 13902; Pub. L. 106-159, 113 Stat. 
1748; and 49 CFR 1.73.

    Source:  67 FR 12660, Mar. 19, 2002, unless otherwise noted.



Sec. 368.1  Certificate of registration.

    (a) A Mexico-domiciled motor carrier must apply to the FMCSA and 
receive a Certificate of Registration to provide interstate 
transportation in municipalities in the United States on the United 
States-Mexico international border or within the commercial zones of 
such municipalities as defined in 49 U.S.C. 13902(c)(4)(A).
    (b) A certificate of registration permits only interstate 
transportation of property in municipalities in the United States on the 
United States-Mexico international border or within the commercial zones 
of such municipalities. A holder of a Certificate of Registration who 
operates a vehicle beyond this area is subject to applicable penalties 
and out-of-service orders.



Sec. 368.2  Definitions.

    Interstate transportation means transportation described at 49 
U.S.C. 13501, and transportation in the United States otherwise exempt 
from the Secretary's jurisdiction under 49 U.S.C. 13506(b)(1).
    Mexico-domiciled motor carrier means a motor carrier of property 
whose principal place of business is located in Mexico.



Sec. 368.3  Applying for a certificate of registration.

    (a) If you wish to obtain a certificate of registration under this 
part, you must submit an application that includes the following:
    (1) Form OP-2--Application for Mexican Certificate of Registration 
for Foreign Motor Carriers and Foreign Motor Private Carriers Under 49 
U.S.C. 13902;
    (2) Form MCS-150--Motor Carrier Identification Report; and
    (3) A notification of the means used to designate process agents, 
either by submission in the application package of Form BOC-3--
Designation of Agents--Motor Carriers, Brokers and Freight Forwarders or 
a letter stating that the applicant will use a process agent service 
that will submit the Form BOC-3 electronically.

[[Page 803]]

    (b) The FMCSA will only process your application for a Certificate 
of Registration if it meets the following conditions:
    (1) The application must be completed in English;
    (2) The information supplied must be accurate and complete in 
accordance with the instructions to the Form OP-2, Form MCS-150 and Form 
BOC-3;
    (3) The application must include all the required supporting 
documents and applicable certifications set forth in the instructions to 
the Form OP-2, Form MCS-150 and Form BOC-3;
    (4) The application must include the filing fee payable to the FMCSA 
in the amount set forth in 49 CFR 360.3(f)(1); and
    (5) The application must be signed by the applicant.
    (c) If you fail to furnish the complete application as described 
under paragraph (b) of this section your application may be rejected.
    (d) If you submit false information under this section, you will be 
subject to applicable Federal penalties.
    (e) You must submit the application to the address provided in the 
instructions to the Form OP-2.
    (f) You may obtain the application described in paragraph (a) of 
this section from any FMCSA Division Office or download it from the 
FMCSA web site at: http://www.fmcsa.dot.gov/factsfigs/formspubs.htm.



Sec. 368.4  Requirement to notify FMCSA of change in applicant information.

    (a) You must notify the FMCSA of any changes or corrections to the 
information in Parts I, IA or II submitted on the Form OP-2 or the Form 
BOC-3--Designation of Agents--Motor Carriers, Brokers and Freight 
Forwarders during the application process or while you have a 
Certificate of Registration. You must notify the FMCSA in writing within 
45 days of the change or correction.
    (b) If you fail to comply with paragraph (a) of this section, the 
FMCSA may suspend or revoke the Certificate of Registration until you 
meet those requirements.



Sec. 368.5  Re-registration of certain carriers holding certificates of registration.

    (a) Each holder of a certificate of registration that permits 
operations only in municipalities in the United States along the United 
States-Mexico international border or in commercial zones of such 
municipalities issued before April 18, 2002, who wishes to continue 
solely in those operations must submit an application according to 
procedures established under Sec. 368.3 of this part, except the filing 
fee in paragraph (b)(4) of that section is waived. You must file your 
application by October 20, 2003.
    (b) The FMCSA may suspend or revoke the certificate of registration 
of any registrant that fails to comply with the procedures set forth in 
this section.
    (c) Certificates of registration issued before April 18, 2002, 
remain valid until the FMCSA acts on the OP-2 application filed 
according to paragraph (a) of this section.



Sec. 368.6  FMCSA action on the application.

    (a) The Federal Motor Carrier Safety Administration will review the 
application for correctness, completeness, and adequacy of information. 
Non-material errors will be corrected without notice to the applicant. 
Incomplete applications may be rejected.
    (b) If the applicant does not require or is not eligible for a 
Certificate of Registration, the FMCSA will deny the application and 
notify the applicant.
    (c) The FMCSA will validate the accuracy of information and 
certifications provided in the application against data maintained in 
databases of the governments of Mexico and the United States.
    (d) If the FMCSA determines that the application and certifications 
demonstrate that the application is consistent with the FMCSA's safety 
fitness policy, it will issue a provisional Certificate of Registration, 
including a distinctive USDOT Number that identifies the motor carrier 
as permitted to provide interstate transportation of property solely in 
municipalities in the United States on the U.S.-Mexico international 
border or within the

[[Page 804]]

commercial zones of such municipalities.
    (e) The FMCSA may issue a permanent Certificate of Registration to 
the holder of a provisional Certificate of Registration no earlier than 
18 months after the date of issuance of the Certificate and only after 
completion to the satisfaction of the FMCSA of the safety monitoring 
system for Mexico-domiciled carriers set out in subpart B of part 385 of 
this subchapter.
    (f) Notice of the authority sought will not be published in either 
the Federal Register or the FMCSA Register. Protests or comments will 
not be allowed. There will be no oral hearings.



Sec. 368.7  Requirement to carry certificate of registration in the vehicle.

    A holder of a Certificate of Registration must maintain a copy of 
the Certificate of Registration in any vehicle providing transportation 
service within the scope of the Certificate, and make it available upon 
request to any State or Federal authorized inspector or enforcement 
officer.



Sec. 368.8  Appeals.

    An applicant has the right to appeal denial of the application. The 
appeal must be in writing and specify in detail why the agency's 
decision to deny the application was wrong. The appeal must be filed 
with the Director, Office of Data Analysis and Information Systems 
within 20 days of the date of the letter denying the application. The 
decision of the Director will be the final agency order.



PART 370--PRINCIPLES AND PRACTICES FOR THE INVESTIGATION AND VOLUNTARY 
DISPOSITION OF LOSS AND DAMAGE CLAIMS AND PROCESSING SALVAGE--Table of 
Contents




Sec.
370.1 Applicability of regulations.
370.3 Filing of claims.
370.5 Acknowledgment of claims.
370.7 Investigation of claims.
370.9 Disposition of claims.
370.11 Processing of salvage.

    Authority: 49 U.S.C. 13301 and 14706; and 49 CFR 1.73.

    Source: 62 FR 32042, June 12, 1997, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 370 appear at 66 FR 
49870, Oct. 1, 2001.



Sec. 370.1  Applicability of regulations.

    The regulations set forth in this part shall govern the processing 
of claims for loss, damage, injury, or delay to property transported or 
accepted for transportation, in interstate or foreign commerce, by each 
motor carrier, water carrier, and freight forwarder (hereinafter called 
carrier), subject to 49 U.S.C. subtitle IV, part B.



Sec. 370.3  Filing of claims.

    (a) Compliance with regulations. A claim for loss or damage to 
baggage or for loss, damage, injury, or delay to cargo, shall not be 
voluntarily paid by a carrier unless filed, as provided in paragraph (b) 
of this section, with the receiving or delivering carrier, or carrier 
issuing the bill of lading, receipt, ticket, or baggage check, or 
carrier on whose line the alleged loss, damage, injury, or delay 
occurred, within the specified time limits applicable thereto and as 
otherwise may be required by law, the terms of the bill of lading or 
other contract of carriage, and all tariff provisions applicable 
thereto.
    (b) Minimum filing requirements. A written or electronic 
communication (when agreed to by the carrier and shipper or receiver 
involved) from a claimant, filed with a proper carrier within the time 
limits specified in the bill of lading or contract of carriage or 
transportation and:
    (1) Containing facts sufficient to identify the baggage or shipment 
(or shipments) of property,
    (2) Asserting liability for alleged loss, damage, injury, or delay, 
and
    (3) Making claim for the payment of a specified or determinable 
amount of money, shall be considered as sufficient compliance with the 
provisions for filing claims embraced in the bill of lading or other 
contract of carriage; Provided, however, That where claims are 
electronically handled, procedures are established to ensure reasonable 
carrier access to supporting documents.
    (c) Documents not constituting claims. Bad order reports, appraisal 
reports of damage, notations of shortage or damage, or both, on freight 
bills, delivery

[[Page 805]]

receipts, or other documents, or inspection reports issued by carriers 
or their inspection agencies, whether the extent of loss or damage is 
indicated in dollars and cents or otherwise, shall, standing alone, not 
be considered by carriers as sufficient to comply with the minimum claim 
filing requirements specified in paragraph (b) of this section.
    (d) Claims filed for uncertain amounts. Whenever a claim is 
presented against a proper carrier for an uncertain amount, such as 
``$100 more or less,'' the carrier against whom such claim is filed 
shall determine the condition of the baggage or shipment involved at the 
time of delivery by it, if it was delivered, and shall ascertain as 
nearly as possible the extent, if any, of the loss or damage for which 
it may be responsible. It shall not, however, voluntarily pay a claim 
under such circumstances unless and until a formal claim in writing for 
a specified or determinable amount of money shall have been filed in 
accordance with the provisions of paragraph (b) of this section.
    (e) Other claims. If investigation of a claim develops that one or 
more other carriers has been presented with a similar claim on the same 
shipment, the carrier investigating such claim shall communicate with 
each such other carrier and, prior to any agreement entered into between 
or among them as to the proper disposition of such claim or claims, 
shall notify all claimants of the receipt of conflicting or overlapping 
claims and shall require further substantiation, on the part of each 
claimant of his/her title to the property involved or his/her right with 
respect to such claim.



Sec. 370.5  Acknowledgment of claims.

    (a) Each carrier shall, upon receipt in writing or by electronic 
transmission of a proper claim in the manner and form described in the 
regulations in the past, acknowledge the receipt of such claim in 
writing or electronically to the claimant within 30 days after the date 
of its receipt by the carrier unless the carrier shall have paid or 
declined such claim in writing or electronically within 30 days of the 
receipt thereof. The carrier shall indicate in its acknowledgment to the 
claimant what, if any, additional documentary evidence or other 
pertinent information may be required by it further to process the claim 
as its preliminary examination of the claim, as filed, may have 
revealed.
    (b) The carrier shall at the time each claim is received create a 
separate file and assign thereto a successive claim file number and note 
that number on all documents filed in support of the claim and all 
records and correspondence with respect to the claim, including the 
acknowledgment of receipt. At the time such claim is received the 
carrier shall cause the date of receipt to be recorded on the face of 
the claim document, and the date of receipt shall also appear in the 
carrier's acknowledgment of receipt to the claimant. The carrier shall 
also cause the claim file number to be noted on the shipping order, if 
in its possession, and the delivery receipt, if any, covering such 
shipment, unless the carrier has established an orderly and consistent 
internal procedure for assuring:
    (1) That all information contained in shipping orders, delivery 
receipts, tally sheets, and all other pertinent records made with 
respect to the transportation of the shipment on which claim is made, is 
available for examination upon receipt of a claim;
    (2) That all such records and documents (or true and complete 
reproductions thereof) are in fact examined in the course of the 
investigation of the claim (and an appropriate record is made that such 
examination has in fact taken place); and
    (3) That such procedures prevent the duplicate or otherwise unlawful 
payment of claims.



Sec. 370.7  Investigation of claims.

    (a) Prompt investigation required. Each claim filed against a 
carrier in the manner prescribed in this part shall be promptly and 
thoroughly investigated if investigation has not already been made prior 
to receipt of the claim.
    (b) Supporting documents. When a necessary part of an investigation, 
each claim shall be supported by the original bill of lading, evidence 
of the freight charges, if any, and either the original invoice, a 
photographic copy of the original invoice, or an exact

[[Page 806]]

copy thereof or any extract made therefrom, certified by the claimant to 
be true and correct with respect to the property and value involved in 
the claim; or certification of prices or values, with trade or other 
discounts, allowance, or deductions, of any nature whatsoever and the 
terms thereof, or depreciation reflected thereon; Provided, however, 
That where property involved in a claim has not been invoiced to the 
consignee shown on the bill of lading or where an invoice does not show 
price or value, or where the property involved has been sold, or where 
the property has been transferred at bookkeeping values only, the 
carrier shall, before voluntarily paying a claim, require the claimant 
to establish the destination value in the quantity, shipped, 
transported, or involved; Provided, further, That when supporting 
documents are determined to be a necessary part of an investigation, the 
supporting documents are retained by the carriers for possible FMCSA 
inspection.
    (c) Verification of loss. When an asserted claim for loss of an 
entire package or an entire shipment cannot be otherwise authenticated 
upon investigation, the carrier shall obtain from the consignee of the 
shipment involved a certified statement in writing that the property for 
which the claim is filed has not been received from any other source.



Sec. 370.9  Disposition of claims.

    (a) Each carrier subject to 49 U.S.C. subtitle IV, part B which 
receives a written or electronically transmitted claim for loss or 
damage to baggage or for loss, damage, injury, or delay to property 
transported shall pay, decline, or make a firm compromise settlement 
offer in writing or electronically to the claimant within 120 days after 
receipt of the claim by the carrier; Provided, however, That, if the 
claim cannot be processed and disposed of within 120 days after the 
receipt thereof, the carrier shall at that time and at the expiration of 
each succeeding 60-day period while the claim remains pending, advise 
the claimant in writing or electronically of the status of the claim and 
the reason for the delay in making final disposition thereof and it 
shall retain a copy of such advice to the claimant in its claim file 
thereon.
    (b) When settling a claim for loss or damage, a common carrier by 
motor vehicle of household goods as defined in Sec. 375.1(b)(1) of this 
chapter shall use the replacement costs of the lost or damaged item as a 
base to apply a depreciation factor to arrive at the current actual 
value of the lost or damaged item: Provided, That where an item cannot 
be replaced or no suitable replacement is obtainable, the proper measure 
of damages shall be the original costs, augmented by a factor derived 
from a consumer price index, and adjusted downward by a factor 
depreciation over average useful life.



Sec. 370.11  Processing of salvage.

    (a) Whenever baggage or material, goods, or other property 
transported by a carrier subject to the provisions in this part is 
damaged or alleged to be damaged and is, as a consequence thereof, not 
delivered or is rejected or refused upon tender thereof to the owner, 
consignee, or person entitled to receive such property, the carrier, 
after giving due notice, whenever practicable to do so, to the owner and 
other parties that may have an interest therein, and unless advised to 
the contrary after giving such notice, shall undertake to sell or 
dispose of such property directly or by the employment of a competent 
salvage agent. The carrier shall only dispose of the property in a 
manner that will fairly and equally protect the best interests of all 
persons having an interest therein. The carrier shall make an itemized 
record sufficient to identify the property involved so as to be able to 
correlate it to the shipment or transportation involved, and claim, if 
any, filed thereon. The carrier also shall assign to each lot of such 
property a successive lot number and note that lot number on its record 
of shipment and claim, if any claim is filed thereon.
    (b) Whenever disposition of salvage material or goods shall be made 
directly to an agent or employee of a carrier or through a salvage agent 
or company in which the carrier or one or more of its directors, 
officers, or managers has any interest, financial or otherwise, that 
carrier's salvage

[[Page 807]]

records shall fully reflect the particulars of each such transaction or 
relationship, or both, as the case may be.
    (c) Upon receipt of a claim on a shipment on which salvage has been 
processed in the manner prescribed in this section, the carrier shall 
record in its claim file thereon the lot number assigned, the amount of 
money recovered, if any, from the disposition of such property, and the 
date of transmittal of such money to the person or persons lawfully 
entitled to receive the same.



PART 371--BROKERS OF PROPERTY--Table of Contents




Sec.
371.1 Applicability.
371.2 Definitions.
371.3 Records to be kept by brokers.
371.7 Misrepresentation.
371.9 Rebating and compensation.
371.10 Duties and obligations of brokers.
371.13 Accounting.

    Authority: 49 U.S.C. 13301, 13501, and 14122; and 49 CFR 1.73.

    Source: 45 FR 68942, Oct. 17, 1980, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec. 371.1  Applicability.

    This part applies, to the extent provided therein, to all brokers of 
transportation by motor vehicle as defined in Sec. 371.2.

[32 FR 20034, Dec. 20, 1967, as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 371.2  Definitions.

    (a) Broker means a person who, for compensation, arranges, or offers 
to arrange, the transportation of property by an authorized motor 
carrier. Motor carriers, or persons who are employees or bona fide 
agents of carriers, are not brokers within the meaning of this section 
when they arrange or offer to arrange the transportation of shipments 
which they are authorized to transport and which they have accepted and 
legally bound themselves to transport.
    (b) Bona fide agents are persons who are part of the normal 
organization of a motor carrier and perform duties under the carrier's 
directions pursuant to a preexisting agreement which provides for a 
continuing relationship, precluding the exercise of discretion on the 
part of the agent in allocating traffic between the carrier and others.
    (c) Brokerage or brokerage service is the arranging of 
transportation or the physical movement of a motor vehicle or of 
property. It can be performed on behalf of a motor carrier, consignor, 
or consignee.
    (d) Non-brokerage service is all other service performed by a broker 
on behalf of a motor carrier, consignor, or consignee.



Sec. 371.3  Records to be kept by brokers.

    (a) A broker shall keep a record of each transaction. For purposes 
of this section, brokers may keep master lists of consignors and the 
address and registration number of the carrier, rather than repeating 
this information for each transaction. The record shall show:
    (1) The name and address of the consignor;
    (2) The name, address, and registration number of the originating 
motor carrier;
    (3) The bill of lading or freight bill number;
    (4) The amount of compensation received by the broker for the 
brokerage service performed and the name of the payer;
    (5) A description of any non-brokerage service performed in 
connection with each shipment or other activity, the amount of 
compensation received for the service, and the name of the payer; and
    (6) The amount of any freight charges collected by the broker and 
the date of payment to the carrier.
    (b) Brokers shall keep the records required by this section for a 
period of three years.
    (c) Each party to a brokered transaction has the right to review the 
record of the transaction required to be kept by these rules.

[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 371.7  Misrepresentation.

    (a) A broker shall not perform or offer to perform any brokerage 
service (including advertising), in any name other than that in which 
its registration is issued.

[[Page 808]]

    (b) A broker shall not, directly or indirectly, represent its 
operations to be that of a carrier. Any advertising shall show the 
broker status of the operation.

[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 371.9  Rebating and compensation.

    (a) A broker shall not charge or receive compensation from a motor 
carrier for brokerage service where:
    (1) The broker owns or has a material beneficial interest in the 
shipment or
    (2) The broker is able to exercise control over the shipment because 
the broker owns the shipper, the shipper owns the broker, or there is 
common ownership of the two.
    (b) A broker shall not give or offer to give anything of value to 
any shipper, consignor or consignee (or their officers or employees) 
except inexpensive advertising items given for promotional purposes.



Sec. 371.10  Duties and obligations of brokers.

    Where the broker acts on behalf of a person bound by law or the 
FMCSA regulation as to the transmittal of bills or payments, the broker 
must also abide by the law or regulations which apply to that person.

[45 FR 68943, Oct. 17, 1980, as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 371.13  Accounting.

    Each broker who engages in any other business shall maintain 
accounts so that the revenues and expenses relating to the brokerage 
portion of its business are segregated from its other activities. 
Expenses that are common shall be allocated on an equitable basis; 
however, the broker must be prepared to explain the basis for the 
allocation.

[45 FR 68943, Oct. 17, 1980]



PART 372--EXEMPTIONS, COMMERCIAL ZONES, AND TERMINAL AREAS--Table of Contents




                          Subpart A--Exemptions

Sec.
372.101 Casual, occasional, or reciprocal transportation of passengers 
          for compensation when such transportation is sold or arranged 
          by anyone for compensation.
372.103 Motor vehicles employed solely in transporting school children 
          and teachers to or from school.
372.107 Definitions.
372.109 Computation of tonnage allowable in nonfarm-non-member 
          transportation.
372.111 Nonmember transportation limitation and record keeping.
372.113 [Reserved]
372.115 Commodities that are not exempt under 49 U.S.C. 13506(a)(6).
372.117 Motor transportation of passengers incidental to transportation 
          by aircraft.

                       Subpart B--Commercial Zones

372.201 Albany, NY.
372.203 Beaumont, TX.
372.205 Charleston, SC.
372.207 Charleston, WV.
372.209 Lake Charles, LA.
372.211 Pittsburgh, PA.
372.213 Pueblo, CO.
372.215 Ravenswood, WV.
372.217 Seattle, WA.
372.219 Washington, DC.
372.221 Twin Cities.
372.223 Consolidated governments.
372.225 Lexington-Fayette Urban County, KY.
372.227 Syracuse, NY.
372.229 Spokane, WA.
372.231 Tacoma, WA.
372.233 Chicago, IL.
372.235 New York, NY.
372.237 Cameron, Hidalgo, Starr, and Willacy Counties, TX.
372.239 Definitions.
372.241 Commercial zones determined generally, with exceptions.
372.243 Controlling distances and population data.

                        Subpart C--Terminal Areas

372.300 Distances and population data.
372.301 Terminal areas of motor carriers and freight forwarders at 
          municipalities served.
372.303 Terminal areas of motor carriers and freight forwarders at 
          unincorporated communities served.

    Authority: 49 U.S.C. 13504 and 13506; and 49 CFR 1.73.

[[Page 809]]


    Editorial Note: Nomenclature changes to part 372 appear at 66 FR 
49870, Oct. 1, 2001.



                          Subpart A--Exemptions

    Source: 32 FR 20036, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec. 372.101  Casual, occasional, or reciprocal transportation of passengers for compensation when such transportation is sold or arranged by anyone for 
          compensation.

    The partial exemption from regulation under the provisions of 49 
U.S.C. subtitle IV, part B of the casual, occasional, and reciprocal 
transportation of passengers by motor vehicle in interstate or foreign 
commerce for compensation as provided in 49 U.S.C. 13506(b) be, and it 
is hereby, removed to the extent necessary to make applicable all 
provisions of 49 U.S.C. subtitle IV, part B to such transportation when 
sold or offered for sale, or provided or procured or furnished or 
arranged for, by any person who sells, offers for sale, provides, 
furnishes, contracts, or arranges for such transportation for 
compensation or as a regular occupation or business.

[32 FR 20036, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 372.103  Motor vehicles employed solely in transporting school children and teachers to or from school.

    The exemption set forth in 49 U.S.C. 13506(a)(1) shall not be 
construed as being inapplicable to motor vehicles being used at the time 
of operation in the transportation of schoolchildren and teachers to or 
from school, even though such motor vehicles are employed at other times 
in transportation beyond the scope of the exemption.

[36 FR 9022, May 18, 1971, as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 372.107  Definitions.

    As used in the regulations in this part, the following terms shall 
have the meaning shown:
    (a) Cooperative association. The term ``cooperative association'' 
means an association which conforms to the following definition in the 
Agricultural Marketing Act, approved June 15, 1929, as amended (12 
U.S.C. 1141j):

    As used in this Act, the term cooperative association means any 
association in which farmers act together in processing, preparing for 
market, handling, and/or marketing the farm products of persons so 
engaged, and also means any association in which farmers act together in 
purchasing, testing, grading, processing, distributing, and/or 
furnishing farm supplies and/or farm business services. Provided, 
however, That such associations are operated for the mutual benefit of 
the members thereof as such producers or purchasers and conform to one 
or both of the following requirements:
    First. That no member of the association is allowed more than one 
vote because of the amount of stock or membership capital he may own 
therein; and
    Second. That the association does not pay dividends on stock or 
membership capital in excess of 8 per centum per annum.
    And in any case to the following:
    Third. That the association shall not deal in farm products, farm 
supplies and farm business services with or for nonmembers in an amount 
greater in value than the total amount of such business transacted by it 
with or for members. All business transacted by any cooperative 
association for or on behalf of the United States or any agency or 
instrumentality thereof shall be disregarded in determining the volume 
of member and nonmember business transacted by such association.


Associations which do not conform to such definition are not eligible to 
operate under the partial exemption of 49 U.S.C. 13506(a)(5).
    (b) Federation of cooperative associations. The term ``federation of 
cooperative associations'' means a federation composed of either two or 
more cooperative associations, or one or more farmers, which federation 
possesses no greater powers or purposes than a cooperative association 
as defined in paragraph (a) of this section. Federations of cooperative 
associations which do not conform to such definition are not eligible to 
operate under the partial exemption of 49 U.S.C. 13506(a)(5).
    (c) Member. The term ``member'' means any farmer or cooperative 
association which has consented to be, has been accepted as, and is a 
member in good standing in accordance with the constitution, bylaws, or 
rules of the cooperative association or federation of cooperative 
associations.

[[Page 810]]

    (d) Farmer. The term ``farmer'' means any individual, partnership, 
corporation, or other business entity to the extent engaged in farming 
operations either as a producer of agricultural commodities or as a farm 
owner.
    (e) Interstate transportation. The term ``interstate 
transportation'' means transportation by motor vehicle in interstate or 
foreign commerce subject to the FMCSA's jurisdiction as set forth in 49 
U.S.C. 13501.
    (f) Member transportation. The term ``member transportation'' means 
transportation performed by a cooperative association or federation of 
cooperative associations for itself or for its members, but does not 
include transportation performed in furtherance of the nonfarm business 
of such members.
    (g) Nonmember transportation. The term ``nonmember transportation'' 
means transportation performed by a cooperative association or 
federation of cooperative associations other than member transportation 
as defined in paragraph (f) of this section.
    (h) Fiscal year. The term ``fiscal year'' means the annual 
accounting period adopted by the cooperative association or federation 
of cooperative associations for Federal income tax reporting purposes.

[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 47 
FR 13353, Mar. 30, 1982; 47 FR 15142, Apr. 8, 1982]



Sec. 372.109  Computation of tonnage allowable in nonfarm-non-member transportation.

    Interstate transportation performed by a cooperative association or 
federation of cooperative associations for nonmembers who are not 
farmers, cooperative associations, or federations of associations or the 
United States Government for compensation, (except transportation 
otherwise exempt under subtitle IV, part B, chapter 135 of title 49 of 
the United States Code) shall be limited to that which is incidental to 
its primary transportation operation and necessary for its effective 
performance. It shall in no event exceed 25 percent of its total 
interstate transportation services in any fiscal year, measured in terms 
of tonnage. A cooperative association or federation of cooperative 
associations may transport its own property, its members' property, 
property of other farmers and the property of other cooperatives or 
federations in accordance with existing law, except where the provisions 
of Sec. 372.111 may be applicable to the limit on member/nonmember 
transportation.
    (a) The phrase ``incidental to its primary transportation operation 
and necessary for its effective performance'' means that the interstate 
transportation of the cooperative association or federation of 
cooperation association for nonmembers as described above is performed 
with the same trucks or tractors employed in a prior or subsequent trip 
in the primary transportation operation of the cooperative association 
or federation, that it is not economically feasible to operate the 
trucks or tractors empty on return trips (outbound trips in cases where 
the primary transportation operation is inbound to the association or 
federation), and that the additional income obtained from such 
transportation is necessary to make the primary transportation operation 
financially practicable. Transportation for nonmembers as described 
above performed by a cooperative or federation through the use of trucks 
or tractors trip-leased for one-way movements with the cooperative 
association or federation acting as leasee, is not incidental and 
necessary;
    (b) The base tonnage to which the 25-percent limitation is applied 
is all tonnage of all kinds transported by the cooperative association 
or federation of cooperative associations in interstate or foreign 
commerce, whether for itself, its members or nonmembers, for or on 
behalf of the United States or any agency or instrumentality thereof, 
and that performed within the exemption provided by 49 U.S.C. 
13506(a)(5).

[43 FR 2397, Jan. 17, 1978, as amended at 43 FR 21894, May 22, 1978; 45 
FR 45524, July 3, 1980; 62 FR 49940, Sept. 24, 1997]



Sec. 372.111  Nonmember transportation limitation and record keeping.

    (a) Overall limitation of nonmember transportation. No cooperative 
association or federation of cooperative associations may engage in 
nonmember interstate transportation for compensation in any fiscal year 
which, measured in terms of tonnage, exceeds

[[Page 811]]

its total interstate member transportation in such fiscal year.
    (b) Records of interstate transportation when nonmember 
transportation is performed. Any cooperative association or federation 
of cooperative associations performing interstate transportation for 
nonmembers shall prepare and retain for a period of at least two years 
written records of all interstate transportation performed for members 
and nonmembers. These records shall contain:
    (1) The date of the shipment,
    (2) The names and addresses of the consignor and consignee,
    (3) The origin and destination of the shipment,
    (4) A description of the articles in the shipment,
    (5) The weight or volume of the shipment,
    (6) A description of the equipment used either by unit number or 
license number and, in the event this equipment is nonowned, the name 
and address of its owners and drivers,
    (7) The total charges collected,
    (8) A copy of all leases executed by the cooperative association or 
federation of cooperative associations to obtain equipment to perform 
transportation under 49 U.S.C. 13506(a)(5),
    (9) Whether the transportation performed is:
    (i) Member transportation,
    (ii) Nonmember transportation for nonmembers who are farmers, 
cooperative associations, or federations thereof,
    (iii) Other nonmember transportation, and if of class (iii), how the 
transportation was incidental and necessary as defined in 
Sec. 372.109(a).

[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 62 
FR 38036, July 16, 1997; 62 FR 49940, Sept. 24, 1997]



Sec. 372.113  [Reserved]



Sec. 372.115  Commodities that are not exempt under 49 U.S.C. 13506(a)(6).

    49 U.S.C. 13506(a)(6) provides an exemption from regulation for 
motor vehicles used in carrying ordinary livestock, fish, and 
unmanufactured agricultural commodities. Certain specific commodities 
have been statutorily determined to be non-exempt. Administrative Ruling 
No. 133, which is reproduced below, is a list of those commodities that 
are non-exempt by statute.

                      Administrative Ruling No. 133

   List of Commodities That Are Not Exempt by Statute Under 49 U.S.C. 
                               13506(a)(6)

Animal fats
Butter
Canned fruits and vegetables
Carnauba wax as imported in slabs or chunks
Cattle, slaughtered
Charcoal
Cheese
Coal
Cocoa beans
Coffee, beans, roasted, or instant
Copra meal
Cotton yarn
Cottonseed cake or meal
Diatomaceous earth
Dinners, frozen

Feeds:

    Alfalfa meal
    Alfalfa pellets
    Beet pulp
    Bran shorts
    Copra meal
    Corn gluten
    Distilled corn grain residues, with or without solubles added
    Fish meal
    Hominy feed
    Middlings
    Pelletized ground refuse screenings
    Wheat bran
    Wheat shorts

Fertilizer, commercial

Fish:

    Canned or salted as a treatment for preserving
    Cooked or partially cooked fish or shrimp, frozen or unfrozen
    Hermetically sealed in containers as a treatment for preserving
    Oil from fishes
    Preserved, or treated for preserving, such as smoked, salted, 
pickled, spiced, corned or kippered

Flagstone
Flaxseed meal
Flour

Forest products:

    Resin products, such as turpentine

Fruits and Berries:

    Bananas, fresh, dried, dehydrated, or frozen
    Canned
    Frozen
    Hulls of oranges after juice extractions
    Juice, fruit, plain or concentrated
    Pies, frozen

[[Page 812]]

    Preserved, such as jam
    Purees, strawberry and other, frozen

Grains:

    Oils extracted from grain
    Popcorn, popped
    Rice, precooked
    Wheat germ

Gravel
Hair, hog or other animal, product of slaughter of animal
Hay, sweetened with 3 percent molasses by weight
Hemp fiber
Hides, green and salted
Insecticides
Limestone, agricultural

Livestock:

    Monkeys
    Race horses
    Show horses
    Zoo animals

Lumber, rough sawed or planed
Maple syrup

Meal:

    Alfalfa
    Copra
    Cottonseed
    Fish
    Flaxseed
    Linseed
    Peanut
    Soybean

Meat and meat products, fresh, frozen or canned

Milk and Cream:

    Chocolate
    Condensed
    Sterilized in hermetically sealed cans

Molasses

Nuts (including peanuts):

    Peanut meal
    Roasted or boiled

Oil, mint
Oil, extracted from vegetables, grain, seed, fish or other commodity
Pelts
Pies, frozen
Pigeons, racing
Pulp, beet
Pulp, sugar cane
Rock (except natural crushed, vesicular rock to be used for decorative 
          purposes)
Rubber, crude, in bales
Rubber, latex, natural, liquid, from which water has been extracted and 
          to which ammonia has been added
Sand

Seeds:

    Oil extracted from seeds

Skins, animal
Soil, potting
Soil, top
Soup, frozen
Sugar
Sugar cane pulp
Sugar raw
Syrup, cane
Syrup, maple
Tea

Tobacco:

    Cigars and cigarettes
    Homogenized
    Smoking

Top Soil

Trees:

    Sawed into lumber

Vegetables:

    Candied sweet potatoes, frozen
    Canned
    Cooked
    French fried potatoes
    Oil, extracted from vegetables
    Soup, frozen
    Soybean meal

Wool imported from a foreign country
Wool tops and noils
Wool waste (carded, spun, woven, or knitted)
Wool yarn

    Note 1: Under 49 U.S.C. 13506(a)(6)(D), any listed fish or shellfish 
product that is not intended for human consumption is exempt.
    Note 2: Under 49 U.S.C. 13506(a)(6)(E), any listed livestock feed, 
poultry feed, agricultural seeds, or plants that are transported to a 
site of agricultural production or to a business enterprise engaged in 
the sale to agricultural producers of goods used in agricultural 
production is exempt

[53 FR 17707, May 18, 1988, as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 372.117  Motor transportation of passengers incidental to transportation by aircraft.

    (a) Passengers having an immediately prior or subsequent movement by 
air. The transportation of passengers by motor vehicle is transportation 
incidental to transportation by aircraft provided (1) that it is 
confined to the transportation of passengers who have had or will have 
an immediately prior or immediately subsequent movement by air and (2) 
that the zone within which motor transportation is incidental to 
transportation by aircraft, except as it may be individually determined 
as provided in section (c) herein, shall not exceed in size the area 
encompassed by a 25-mile radius of the boundary of the airport at which 
the passengers arrive or depart and by the boundaries of the

[[Page 813]]

commercial zones (as defined by the Secretary) of any municipalities any 
part of whose commercial zones falls within the 25-mile radius of the 
pertinent airport.
    (b) Substituted motor-for-air transportation due to emergency 
conditions. Transportation of passengers by motor vehicle is 
transportation incidental to transportation by aircraft if it 
constitutes substituted motor-for-air service performed at the expense 
of the air carrier in emergency situations arising from the inability of 
the air carrier to perform air transportation due to adverse weather 
conditions, equipment failure, or other causes beyond the control of the 
air carrier.
    (c) Individual determination of exempt zones. Upon its own motion or 
upon petition filed by any interested person, the Secretary may in an 
appropriate proceeding, determine whether the area within which the 
transportation by motor vehicle of passengers having an immediately 
prior or subsequent movement by air must be performed, in order to come 
within the provisions of paragraph (a) of this section, should be 
individually determined with respect to any particular airport or city 
served by an airport, and whether there should be established therefor 
appropriate boundaries differing in extent from this defined in 
paragraph (a)(2) of this section.
    (d) Exempt zones and operations--(1) Dulles and Baltimore-Washington 
International Airports. The transportation by motor vehicle, in 
interstate or foreign commerce, of passengers, having an immediately 
prior or subsequent movement by air, between Dulles International 
Airport, near Chantilly, Va., and Baltimore-Washington International 
Airport, near Baltimore, Md., is partially exempt from regulation under 
49 U.S.C. 13506(a)(8)(A).
    (2) Savannah, Ga., Airport. The transportation by motor vehicle, in 
interstate or foreign commerce, of passengers, having an immediately 
prior or subsequent movement by air, between Savannah, Ga., Airport and 
all points on Hilton Head Island, SC, is partially exempt from 
regulation under 49 U.S.C. 13506(a)(8)(A).
    (3) Chicago O'Hare International Airport (Chicago, Ill.). The 
transportation by motor vehicle, in interstate or foreign commerce, of 
passengers, having an immediately prior or subsequent movement by air, 
between O'Hare International Airport, at Chicago, Ill., on the one hand, 
and, on the other, points in Indiana on and north of U.S. Highway 30 and 
on and west of Indiana Highway 49, is partially exempt from regulation 
under 49 U.S.C. 13506(a)(8)(A).

[32 FR 20036, Dec. 20, 1967, as amended at 37 FR 5252, Mar. 11, 1972; 42 
FR 10003, Feb. 18, 1977; 42 FR 15705; Mar. 23, 1977; 62 FR 15421, Apr. 
1, 1997]



                       Subpart B--Commercial Zones

    Source: 41 FR 56653, Dec. 29, 1976, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec. 372.201  Albany, NY.

    The zone adjacent to, and commercially a part of Albany, N.Y., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Albany, N.Y., itself.
    (b) All points within a line drawn eight miles beyond the municipal 
limits of Albany.
    (c) All points in that area more than eight miles beyond the 
municipal limits of Albany bounded by a line as follows: Beginning at 
that point on the western boundary of Cohoes, N.Y., where it crosses the 
line described in paragraph (b) of this section, thence along the 
western and northern boundary of Cohoes to the Mohawk River thence along 
such river to the northern boundary of the Town of Waterford thence 
along the northern and eastern boundaries of the Town of Waterford to 
the northern boundary of the City of Troy (all of which city is included 
under the next provision).
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and

[[Page 814]]

    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Albany or any other 
municipality included under the terms of paragraph (d) of this section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.203  Beaumont, TX.

    The zone adjacent to, and commercially a part of Beaumont, Tex., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Beaumont, Tex., itself;
    (b) All points within a line drawn 8 miles beyond the municipal 
limits of Beaumont;
    (c) All points in Jefferson County and Orange County, Tex.;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Beaumont or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.205  Charleston, S.C.

    The zone adjacent to, and commercially a part of Charleston, S.C., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Charleston, S.C., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Charleston;
    (c) Those points in Charleston County, S.C., which are not within 
the areas described in paragraph (b) of this section; and those points 
in Berkley County, S.C., which are not within the areas described in 
paragraph (b) of this section, and which are west of South Carolina 
Highway 41; and all points in Dorchester County, SC.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Charleston or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 46 FR 28658, May 28, 1981; 62 
FR 15422, Apr. 1, 1997]



Sec. 372.207  Charleston, WV.

    The zone adjacent to, and commercially a part of Charleston, W. Va., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Charleston, W. Va., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Charleston;
    (c) Those points in Kanawha County, W. Va., which are not within the 
area described in paragraph (b) of this section; and those points in 
Putnam County, W. Va., south of West Virginia Highway 34;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Charleston or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]

[[Page 815]]



Sec. 372.209  Lake Charles, LA.

    The zone adjacent to, and commercially a part of Lake Charles, La., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Lake Charles, La., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Lake Charles;
    (c) Those points in Calcasieu Parish, La., which are not within the 
area described in paragraph (b) of this section; and which are east of 
Louisiana Highway 27 (western section);
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Lake Charles or by 
any other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.211  Pittsburgh, PA.

    The zone adjacent to, and commercially a part of Pittsburgh within 
which transportation by motor vehicle in interstate or foreign commerce, 
not under common control, management, or arrangement for a continuous 
carriage or shipment to or from a point beyond such zone, is partially 
exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is 
comprised of all points as follows:
    (a) The municipality of Pittsburgh, Pa., itself;
    (b) All points within a line drawn 15 miles beyond the municipal 
limits of Pittsburgh;
    (c) Those points in Allegheny County, Pa., which are not within the 
area described in paragraph (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Pittsburgh by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.213  Pueblo, CO.

    The zone adjacent to, and commercially a part of Pueblo, Colo., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Pueblo, Colo., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Pueblo;
    (c) Those points in Pueblo County, Colo., which are not within the 
area described in paragraph (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality included under the 
terms of paragraph (d) of this section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.215  Ravenswood, WV.

    The zone adjacent to, and commercially a part of Ravenswood, W. Va., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Ravenswood, W. Va., itself;

[[Page 816]]

    (b) All points within a line drawn 4 miles beyond the municipal 
limits of Ravenswood;
    (c) Those points in Jackson County, W. Va., which are not within the 
area described in paragraph (b) of this section, and which are north of 
U.S. Highway 33;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Ravenswood or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.217  Seattle, WA.

    The zone adjacent to, and commercially a part of Seattle, Wash., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Seattle, Wash., itself;
    (b) All points within a line drawn 15 miles beyond the municipal 
limits of Seattle;
    (c) Those points in King County, Wash., which are not within the 
area described in paragraph (b) of this section, and which are west of a 
line beginning at the intersection of the line described in paragraph 
(b) of this section and Washington Highway 18, thence northerly along 
Washington Highway 18 to junction of Interstate Highway 90, thence 
westerly along Interstate Highway 90 to junction Washington Highway 203, 
thence northerly along Washington Highway 203 to the King County line; 
and those points in Snohomish County, Wash., which are not within the 
area described in paragraph (b) of this section and which are west of 
Washington Highway 9; and those points in Kitsap County, Wash., which 
are not within the area described in paragraph (b) of this section lying 
within the area bounded by a line beginning at the intersection of the 
line described in paragraph (b) of this section and Washington Highway 3 
to the boundary of Olympic View Industrial Park/Bremerton-Kitsap County 
Airport, thence westerly, southerly, easterly, and northerly along the 
boundary of Olympic View Industrial Park/ Bremerton-Kitsap County 
Airport to its juncture with Washington Highway 3 to its intersection 
with the line described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Seattle or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 25314, May 6, 1981; 62 
FR 15422, Apr. 1, 1997]



Sec. 372.219  Washington, DC

    The zone adjacent to, and commercially a part of Washington, D.C., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Washington, D.C., itself;
    (b) All points within a line drawn 15 miles beyond the municipal 
limits of Washington, DC
    (c) All points in Fairfax and Loudoun Counties, VA, and all points 
in Prince William County, VA, including the City of Manassas, VA, and 
the City of Manassas Park, VA.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Washington, D.C., or 
by any other

[[Page 817]]

municipality included under the terms of paragraph (d) of this section.

[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 56424, Nov. 17, 1981; 
62 FR 15422, Apr. 1, 1997]



Sec. 372.221  Twin Cities.

    For the purpose of determining commercial zones, utilizing the 
general population-mileage formula as set forth in Sec. 372.241, each of 
the following combinations of cities shall be considered as a single 
municipality:
    (a) Having a population equal to the sum of their combined 
populations, and
    (b) Having boundaries comprised of their combined corporate limits, 
with the common portion thereof disregarded:
    (1) Bluefield, Va.-W. Va.
    (2) Bristol, Va.-Tenn.
    (3) Davenport, Iowa, and Rock Island and Moline, Ill.
    (4) Delmar, Del-Md.
    (5) Harrison, Ohio-West Harrison, Ind.
    (6) Junction City, Ark.-La.
    (7) Kansas City, Mo.-Kansas City, Kans.
    (8) Minneapolis-St. Paul, Minn.
    (9) St. Louis, Mo.-East St. Louis, Ill.
    (10) Texarkana, Ark.-Tex.
    (11) Texhoma, Tex.-Okla.
    (12) Union City, Ind.-Ohio.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.223  Consolidated governments.

    The zone adjacent to, and commercially a part of a consolidated 
government within which transportation by motor vehicle, in interstate 
or foreign commerce, not under common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, is partially exempt from regulation under 49 U.S.C. 
13506(b)(1) includes and is comprised of all points as follows:
    (a) All points within the boundaries of the consolidated government.
    (b) All points beyond the boundaries of the consolidated government 
which were at any time within the commercial zone of the formerly 
independent core municipality.
    (c) When the present population of the formerly independent core 
municipality is identifiable, all points beyond the boundaries of the 
consolidated government which are within the territory determined by the 
most recent population-mileage formula measured from the limits of the 
formerly independent core municipality.
    (d) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the consolidated government or by any 
other municipality included under the terms of paragraphs (a), (b), or 
(c) of this section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.225  Lexington-Fayette Urban County, KY.

    The zone adjacent to and commercially a part of Lexington-Fayette 
Urban County, Ky., within which transportation by motor vehicle, in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, is partially exempt from regulation under 49 U.S.C. 
13506(b)(1) includes and is comprised of all points as follows:
    (a) Lexington-Fayette Urban County, Ky., itself.
    (b) All other municipalities and unincorporated areas within 5 miles 
of the intersection of U.S. Highway 27 (Nicholasville Road) with the 
corporate boundary line between Jessamine County, Ky., and Lexington-
Fayette Urban County, Ky.

[39 FR 18769, May 30, 1974. Redesignated at 41 FR 56655, Dec. 29, 1976. 
Further redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 
15422, Apr. 1, 1997]



Sec. 372.227  Syracuse, NY.

    The zone adjacent to, and commercially a part of Syracuse, N.Y., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
shipment to or from points beyond such zone, is partially exempt from 
regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all 
points as follows:
    (a) The municipality of Syracuse, N.Y., itself;

[[Page 818]]

    (b) All points within a line drawn 10 miles beyond the municipal 
limits of Syracuse;
    (c) Those points in the towns of Van Buren and Lysander, Onondaga 
County, N.Y., which are not within the area described in paragraph (b) 
of this section, but which are within an area bounded by a line 
beginning at the intersection of new New York Highway 48 with the line 
described in (b) of this sectio, thence northwesterly along new New York 
Highway 48 to junction New York Highway 370, thence westerly along New 
York Highway 370 to junction Emerick Road, thence northerly along 
Emerick Road to junction Dunham Road, thence northerly along Dunham road 
to junction New York Highway 192, thence easterly along New York Highway 
192 to junction new New York Highway 48, thence northerly along new New 
York Highway 48 to junction New York Highway 213, thence easterly along 
New York Highway 213 to junction New York Highway 213A, thence easterly 
along New York Highway 213A to junction New York Highway 37, thence 
southerly along New York Highway 37 to its intersection with the line in 
(b) above;
    (d) All of any municipality any part of which is within the limits 
of the combined area defined in (b) and (c) of this section, and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Syracuse or any 
other municipality included under the terms of (d) of this section.

[42 FR 44816, Sept. 7, 1977. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.229  Spokane, WA.

    The zone adjacent to, and commercially a part of Spokane, WA, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under control, management, or arrangement for shipment to 
or from points beyond such zone, is partially exempt from regulation 
under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as 
follows:
    (a) The municipality of Spokane, WA, itself,
    (b) All points within a line drawn 8 miles beyond the municipal 
limits of Spokane;
    (c) All points within that area more than 8 miles beyond the 
municipal limits of Spokane bounded by a line as follows: From the 
intersection of the line described in (b) of this section and U.S. 
Highway 2, thence westerly along U.S. Highway 2 to junction Brooks Road, 
thence southerly along Brooks Road to junction Hallett Road, thence 
easterly along Hallett Road to its intersection with the line described 
in (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas in (b) and (c) of this section; and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Spokane or any other 
municipality included under the terms of (d) of this section.

[45 FR 62085, Sept. 18, 1980. Redesignated and amended at 55 FR 42198, 
Oct. 18, 1990; 62 FR 15422, Apr. 1, 1997]



Sec. 372.231  Tacoma, WA.

    The zone adjacent to, and commercially a part of Tacoma, WA, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
shipment to or from points beyond such zone, is partially exempt from 
regulation under 49 U.S.C. 13506(b)(1), includes and is comprised of all 
points as follows:
    (a) The municipality of Tacoma, WA, itself;
    (b) All points within a line drawn 8 miles beyond the municipal 
limits of Tacoma;
    (c) Those points in Pierce County, WA, which are not within the area 
described in paragraph (b) of this section, but which are on Washington 
Highway 162 beginning at its intersection with the line described in 
paragraph (b) of this section, extending to and including Orting, WA, 
and all points within the Orting commercial zone.
    (d) All of any municipality any part of which is within the limits 
of the combined area defined in (b) and (c) of this section, and

[[Page 819]]

    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Tacoma or any other 
municipality included under the terms of (d) of this section.

[45 FR 66460, Oct. 7, 1980. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.233  Chicago, IL.

    The zone adjacent to, and commercially a part of Chicago, IL, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
shipment to or from such zone, is partially exempt from regulation under 
49 U.S.C. 13506(b)(1), includes and is comprised of all points as 
follows:
    (a) The municipality of Chicago, IL, itself;
    (b) All points within a line drawn 20 miles beyond the municipal 
limits of Chicago;
    (c) All points in Lake County, IL.
    (d) All of any municipality any part of which is within the limits 
of the combined area defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality included under the 
terms of paragraph (d) of this section.

[46 FR 11286, Feb. 6, 1981. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.235  New York, NY.

    The zone adjacent to, and commercially a part of, New York, NY, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
shipment to or from points beyond such zone is partially exempt from 
regulation under 49 U.S.C. 13506(b)(1), includes and is comprised of all 
points as follows:
    (a) The municipality of New York, NY, itself;
    (b) All points within a line drawn 20 miles beyond the municipal 
limits of New York, NY;
    (c) All points in Morris County, NJ;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c); and
    (e) All of any municipality wholly surrounded, or so surrounded 
except by a water boundary, by the municipality of New York or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[50 FR 34478, Aug. 26, 1985. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.237  Cameron, Hidalgo, Starr, and Willacy Counties, TX.

    (a) Transportation within a zone comprised of Cameron, Hidalgo, 
Starr, and Willacy Counties, TX, by motor carriers of property, in 
interstate or foreign commerce, not under common control, management, or 
arrangement for shipment to or from points beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1).
    (b) To the extent that commercial zones of municipalities within the 
four counties (as determined under Sec. 372.241) extend beyond the 
boundaries of this four-county zone, the areas of such commercial zones 
shall be considered to be part of the zone and partially exempt from 
regulation under 49 U.S.C. 13506(b)(1).

[51 FR 1815, Jan. 15, 1986. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.239  Definitions.

    For the purposes of this part, the following terms are defined:
    (a) Municipality means any city, town, village, or borough which has 
been created by special legislative act or which has been, otherwise, 
individually incorporated or chartered pursuant to general State laws, 
or which is recognized as such, under the Constitution or by the laws of 
the State in which located, and which has a local government. It does 
not include a town of the township or New England type.
    (b) Contiguous municipalities means municipalities, as defined in 
paragraph (a) of this section, which have at some point a common 
municipal or corporate boundary.
    (c) Unincorporated area means any area not within the corporate or 
municipal boundaries of any municipality

[[Page 820]]

as defined in paragraph (a) of this section.

[32 FR 20048, Dec. 20, 1967]



Sec. 372.241  Commercial zones determined generally, with exceptions.

    The commercial zone of each municipality in the United States, with 
the exceptions indicated in the note at the end of this section, within 
which the transportation of passengers or property, in interstate or 
foreign commerce, when not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
without such zone, is exempt from all provisions of 49 U.S.C. subtitle 
IV, part B shall be deemed to consist of:
    (a) The municipality itself, hereinafter called the base 
municipality;
    (b) All municipalities which are contiguous to the base 
municipality;
    (c) All other municipalities and all unincorporated areas within the 
United States which are adjacent to the base municipality as follows:
    (1) When the base municipality has a population less than 2,500 all 
unincorporated areas within 3 miles of its corporate limits and all of 
any other municipality any part of which is within 3 miles of the 
corporate limits of the base municipality,
    (2) When the base municipality has a population of 2,500 but less 
than 25,000 all unincorporated areas within 4 miles of its corporate 
limits and all of any other municipality any part of which is within 4 
miles of the corporate limits of the base municipality.
    (3) When the base municipality has a population of 25,000 but less 
than 100,000 all unincorporated areas within 6 miles of its corporate 
limits and all of any other municipality any part of which is within 6 
miles of the corporate limits of the base municipality, and
    (4) When the base municipality has a population of 100,000 but less 
than 200,000 all unincorporated areas within 8 miles of its corporate 
limits and all of any other municipality any part of which is within 8 
miles of the corporate limits of the base municipality.
    (5) When the base municipality has a population of 200,000 but less 
than 500,000 all unincorporated areas within 10 miles of its corporate 
limits and all of any other municipality any part of which is within 10 
miles of the corporate limits of the base municipality.
    (6) When the base municipality has a population of 500,000 but less 
than 1 million, all unincorporated areas within 15 miles of its 
corporate limits and all of any other municipality any part of which is 
within 15 miles of the corporate limits of the base municipality.
    (7) When the base municipality has a population of 1 million or 
more, all unincorporated areas within 20 miles of its corporate limits 
and all of any other municipality any part of which is within 20 miles 
of the corporate limits of the base municipality, and
    (d) All municipalities wholly surrounded, or so surrounded except 
for a water boundary, by the base municipality, by any municipality 
contiguous thereto, or by any municipality adjacent thereto which is 
included in the commercial zone of such base municipality under the 
provisions of paragraph (c) of this section.

    Note: Except: Municipalities the commercial zones of which have been 
or are hereafter individually or specially determined.

[32 FR 20048, Dec. 20, 1967, as amended at 34 FR 9870, June 26, 1969; 34 
FR 15482, Oct. 4, 1969; 41 FR 56655, Dec. 29, 1976; 62 FR 15422, Apr. 1, 
1997]



Sec. 372.243  Controlling distances and population data.

    In the application of Sec. 372.241:
    (a) Air-line distances or mileages about corporate limits of 
municipalities shall be used.
    (b) The population of any municipality shall be deemed to be the 
highest figure shown for that municipality in any decennial census since 
(and including) the 1940 decennial census.
    (c) Contraction of municipal boundaries will not alter the size of 
commercial zones.

[32 FR 20040, Dec. 20, 1967, as amended at 37 FR 15701, Aug. 4, 1972; 50 
FR 10233, Mar. 14, 1985; 62 FR 15422, Apr. 1, 1997]



                        Subpart C--Terminal Areas

    Source: 32 FR 20049, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.

[[Page 821]]



Sec. 372.300  Distances and population data.

    In the application of this subpart, distances and population data 
shall be determined in the same manner as provided in 49 CFR 372.243. 
See also definitions in 49 CFR 372.239.

[62 FR 15422, Apr. 1, 1997]



Sec. 372.301  Terminal areas of motor carriers and freight forwarders at municipalities served.

    The terminal area within the meaning of 49 U.S.C. 13503 of any motor 
carrier of property or freight forwarder subject to 49 U.S.C. subtitle 
IV, part B at any municipality authorized to be served by such motor 
carrier of property or motor carrier of passengers in the transportation 
of express or freight forwarder, within which transportation by motor 
carrier in the performance of transfer, collection, or delivery services 
may be performed by, or for, such motor carrier of property or freight 
forwarder without compliance with the provisions of 49 U.S.C. subtitle 
IV, part B consists of and includes all points or places which are:
    (a) Within the commercial zone, as defined by the Secretary, of that 
municipality, and
    (b) Not beyond the limits of the operating authority of such motor 
carrier of property or freight forwarder.

[62 FR 15422, Apr. 1, 1997]



Sec. 372.303  Terminal areas of motor carriers and freight forwarders at unincorporated communities served.

    The terminal areas within the meaning of 49 U.S.C. 13503 of any 
motor carrier of property or freight forwarder subject to 49 U.S.C. 
subtitle IV, part B, at any unincorporated community having a post 
office of the same name which is authorized to be served by such motor 
carrier of property or motor carrier of passengers in the transportation 
of express or freight forwarder, within which transportation by motor 
vehicle in the performance of transfer, collection, or delivery services 
may be performed by, or for, such motor carrier of property or freight 
forwarder without compliance with the provisions of 49 U.S.C. subtitle 
IV, part B, consists of:
    (a) All points in the United States which are located within the 
limits of the operating authority of the motor carrier of property or 
freight forwarder involved, and within 3 miles of the post office at 
such authorized unincorporated point if it has a population less than 
2,500, within 4 miles if it has a population of 2,500 but less than 
25,000, or within 6 miles if it has a population of 25,000 or more;
    (b) All of any municipality any part of which is included under 
paragraph (a) of this section; and
    (c) Any municipality wholly surrounded by any municipality included 
under paragaph (b) of this section, or so wholly surrounded except for a 
water boundary.

[32 FR 20049, Dec. 20, 1967, as amended at 41 FR 56655, Dec. 29, 1976; 
51 FR 44297, Dec. 9, 1986; 62 FR 15423, Apr. 1, 1997]



PART 373--RECEIPTS AND BILLS--Table of Contents




               Subpart A--Motor Carrier Receipts and Bills

Sec.
373.101 Motor Carrier bills of lading.
373.103 Expense bills.
373.105 Low value packages.

             Subpart B--Freight Forwarders; Bills of Lading

373.201 Bills of lading for freight forwarders.

    Authority: 49 U.S.C. 13301 and 14706; and 49 CFR 1.73.



               Subpart A--Motor Carrier Receipts and Bills

    Source: 55 FR 11198, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec. 373.101  Motor Carrier bills of lading.

    Every motor common carrier shall issue a receipt or bill of lading 
for property tendered for transportation in interstate or foreign 
commerce containing the following information:
    (a) Names of consignor and consignee.
    (b) Origin and destination points.
    (c) Number of packages.
    (d) Description of freight.
    (e) Weight, volume, or measurement of freight (if applicable to the 
rating of the freight).

[[Page 822]]


The carrier shall keep a record of this information as prescribed in 49 
CFR part 379.

[55 FR 11198, Mar. 27, 1990, as amended at 56 FR 30874, July 8, 1991; 62 
FR 15423, Apr. 1, 1997]



Sec. 373.103  Expense bills.

    (a) Property. Every motor common carrier shall issue a freight or 
expense bill for each shipment transported containing the following 
information:
    (1) Names of consignor and consignee (except on a reconsigned 
shipment, not the name of the original consignor).
    (2) Date of shipment.
    (3) Origin and destination points (except on a reconsigned shipment, 
not the original shipping point unless the final consignee pays the 
charges from that point).
    (4) Number of packages.
    (5) Description of freight.
    (6) Weight, volume, or measurement of freight (if applicable to the 
rating of the freight).
    (7) Exact rate(s) assessed.
    (8) Total charges due, including the nature and amount of any 
charges for special service and the points at which such service was 
rendered.
    (9) Route of movement and name of each carrier participating in the 
transportation.
    (10) Transfer point(s) through which shipment moved.
    (11) Address where remittance must be made or address of bill 
issuer's principal place of business.

The shipper or receiver owing the charges shall be given the original 
freight or expense bill and the carrier shall keep a copy as prescribed 
at 49 CFR part 379. If the bill is electronically transmitted (when 
agreed to by the carrier and payor), a receipted copy shall be given to 
the payor upon payment.
    (b) Charter service. Every motor passenger common carrier providing 
charter service shall issue an expense bill containing the following 
information:
    (1) Serial number, consisting of one of a series of consecutive 
numbers assigned in advance and imprinted on the bill.
    (2) Name of carrier.
    (3) Names of payor and organization, if any, for which 
transportation is performed.
    (4) Date(s) transportation was performed.
    (5) Origin, destination, and general routing of trip.
    (6) Identification and seating capacity of each vehicle used.
    (7) Number of persons transported.
    (8) Mileage upon which charges are based, including any deadhead 
mileage, separately noted.
    (9) Applicable rates per mile, hour, day, or other unit.
    (10) Itemized charges for transportation, including special services 
and fees.
    (11) Total charges assessed and collected.

The carrier shall keep a copy of all expense bills issued for the period 
prescribed at 49 CFR part 379. If any expense bill is spoiled, voided, 
or unused for any reason, a copy or written record of its disposition 
shall be retained for a like period.

[55 FR 11198, Mar. 27, 1990, as amended at 59 FR 2303, Jan. 14, 1994; 61 
FR 19860, May 3, 1996; 62 FR 15423, Apr. 1, 1997]



Sec. 373.105  Low value packages.

    The carrier and shipper may elect to waive the above provisions and 
use a more streamlined recordkeeping or documentation system for 
distribution of ``low value'' packages. This includes the option of 
shipping such packages under the provisions of 49 U.S.C. 14706(c). The 
shipper is responsible ultimately for determining which packages should 
be designated as low value. A useful guideline for this determination is 
an invoice value less than or equal to the costs of preparing a loss or 
damage claim.

[55 FR 11198, Mar. 27, 1990. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



             Subpart B--Freight Forwarders; Bills of Lading



Sec. 373.201  Bills of lading for freight forwarders.

    Every household goods freight forwarder (HHGFF) shall issue the 
shipper

[[Page 823]]

through bills of lading, covering transportation from origin to ultimate 
destination, on each shipment for which it arranges transportation in 
interstate commerce. Where a motor common carrier receives freight at 
the origin and issues a receipt therefor on its form with a notation 
showing the HHGFF's name, the HHGFF, upon receiving the shipment at the 
``on line'' or consolidating station, shall issue a through bill of 
lading on its form as of the date the carrier receives the shipment.

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54708, Oct. 21, 
1996.]



PART 374--PASSENGER CARRIER REGULATIONS--Table of Contents




   Subpart A--Discrimination in Operations of Interstate Motor Common 
                         Carriers of Passengers

Sec.
374.101 Discrimination prohibited.
374.103 Notice to be printed on tickets.
374.105 Discrimination in terminal facilities.
374.107 Notice to be posted at terminal facilities.
374.109 Carriers not relieved of existing obligations.
374.111 Reports of interference with regulations.
374.113 Definitions.

    Subpart B--Limitation of Smoking on Interstate Passenger Carrier 
                                Vehicles

374.201 Prohibition against smoking on interstate passenger-carrying 
          motor vehicles.

 Subpart C--Adequacy of Intercity Motor Common Carrier Passenger Service

374.301 Applicability.
374.303 Definitions.
374.305 Ticketing and information.
374.307 Baggage service.
374.309 Terminal facilities.
374.311 Service responsibility.
374.313 Equipment.
374.315 Transportation of passengers with disabilities.
374.317 Identification--bus and driver.
374.319 Relief from provisions.

Subpart D--Notice of and Procedures for Baggage Excess Value Declaration

374.401 Minimum permissible limitations for baggage liability.
374.403 Notice of passenger's ability to declare excess value on 
          baggage.
374.405 Baggage excess value declaration procedures.

                  Subpart E--Incidental Charter Rights

374.501 Applicability.
374.503 Authority.
374.505 Exceptions.

    Authority: 49 U.S.C. 13301 and 14101; and 49 CFR 1.73.

    Editorial Note: Nomenclature changes to part 374 appear at 66 FR 
49871, Oct. 1, 2001.



   Subpart A--Discrimination in Operations of Interstate Motor Common 
                         Carriers of Passengers

    Source: 36 FR 1338, Jan. 28, 1971, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 374.101  Discrimination prohibited.

    No motor common carrier of passengers subject to 49 U.S.C. subtitle 
IV, part B shall operate a motor vehicle in interstate or foreign 
commerce on which the seating of passengers is based upon race, color, 
creed, or national origin.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.103  Notice to be printed on tickets.

    Every motor common carrier of passengers subject to 49 U.S.C. 
subtitle IV, part B shall cause to be printed on every ticket sold by it 
for transportation on any vehicle operated in interstate or foreign 
commerce a plainly legible notice as follows: ``Seating aboard vehicles 
operated in interstate or foreign commerce is without regard to race, 
color, creed, or national origin.''

    Note: The following interpretation of the provisions of Sec. 374.103 
(formerly Sec. 1055.2) appears at 27 FR 230, Jan. 9, 1962:
    The words, ``Seating aboard vehicles operated in interstate or 
foreign commerce is without regard to race, color, creed, or national 
origin'', should appear on the face of every ticket coming within the 
purview of the section. If the ticket is in parts or consists of 
additional elements, such as coupons, identification stubs, or checks, 
it shall be

[[Page 824]]

sufficient for the purposes of Sec. 374.103 that the notice appear only 
once on the ticket and be placed on the face of that portion of the 
ticket which is held by the passenger.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.105  Discrimination in terminal facilities.

    No motor common carrier of passengers subject to 49 U.S.C. subtitle 
IV, part B shall in the operation of vehicles in interstate or foreign 
commerce provide, maintain arrangements for, utilize, make available, 
adhere to any understanding for the availability of, or follow any 
practice which includes the availability of, any terminal facilities 
which are so operated, arranged, or maintained as to involve any 
separation of any portion thereof, or in the use thereof on the basis of 
race, color, creed, or national origin.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.107  Notice to be posted at terminal facilities.

    No motor common carrier of passengers subject to 49 U.S.C. subtitle 
IV, part B shall in the operation of vehicles in interstate or foreign 
commerce utilize any terminal facility in which there is not 
conspicuously displayed and maintained so as to be readily visible to 
the public a plainly legible sign or placard containing the full text of 
these regulations. Such sign or placard shall be captioned: ``Public 
Notice: Regulations Applicable to Vehicles and Terminal Facilities of 
Interstate Motor Common Carriers of Passengers, by order of the 
Secretary, U.S. Department of Transportation.''

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.109  Carriers not relieved of existing obligations.

    Nothing in this regulation shall be construed to relieve any 
interstate motor common carrier of passengers subject to 49 U.S.C. 
subtitle IV, part B of any of its obligations under 49 U.S.C. subtitle 
IV, part B or its certificate(s) of public convenience and necessity.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.111  Reports of interference with regulations.

    Every motor common carrier of passengers subject to 49 U.S.C. 
subtitle IV, part B operating vehicles in interstate or foreign commerce 
shall report to the Secretary, within fifteen (15) days of its 
occurrence, any interference by any person, municipality, county, 
parish, State, or body politic with its observance of the requirements 
of these regulations in this part. Such report shall include a statement 
of the action that such carrier may have taken to eliminate any such 
interference.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.113  Definitions.

    For the purpose of these regulations the following terms and phrases 
are defined:
    (a) Terminal facilities. As used in these regulations the term 
``terminal facilities'' means all facilities, including waiting room, 
rest room, eating, drinking, and ticket sales facilities which a motor 
common carrier makes available to passengers of a motor vehicle operated 
in interstate or foreign commerce as a regular part of their 
transportation.
    (b) Separation. As used in Sec. 374.105, the term ``separation'' 
includes, among other things, the display of any sign indicating that 
any portion of the terminal facilities are separated, allocated, 
restricted, provided, available, used, or otherwise distinguished on the 
basis of race, color, creed, or national origin.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]

[[Page 825]]



    Subpart B--Limitation of Smoking on Interstate Passenger Carrier 
                                Vehicles



Sec. 374.201  Prohibition against smoking on interstate passenger-carrying motor vehicles.

    (a) All motor common carriers of passengers subject to 49 U.S.C. 
subtitle IV, part B, shall prohibit smoking (including the carrying of 
lit cigars, cigarettes, and pipes) on vehicles transporting passengers 
in scheduled or special service in interstate commerce.
    (b) Each carrier shall take such action as is necessary to ensure 
that smoking by passengers, drivers, and other employees is not 
permitted in violation of this section. This shall include making 
appropriate announcements to passengers, the posting of the 
international no-smoking symbol, and the posting of signs in all 
vehicles transporting passengers in letters in sharp color contrast to 
the background, and of such size, shape, and color as to be readily 
legible. Such signs and symbols shall be kept and maintained in such a 
manner as to remain legible and shall indicate that smoking is 
prohibited by Federal regulation.
    (c) The provisions of paragraph (a) of this section shall not apply 
to charter operations as defined in Sec. 374.503 of this part.

[56 FR 1745, Jan. 17, 1991. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



 Subpart C--Adequacy of Intercity Motor Common Carrier Passenger Service

    Source: 55 FR 11199, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 374.301  Applicability.

    These rules govern only motor passenger common carriers conducting 
regular-route operations.



Sec. 374.303  Definitions.

    (a) Carrier means a motor passenger common carrier.
    (b) Bus means a passenger-carrying vehicle, regardless of design or 
seating capacity, used in a carrier's authorized operations.
    (c) Facility means any structure provided by or for a carrier at or 
near which buses pick up or discharge passengers.
    (d) Terminal means a facility operated or used by a carrier chiefly 
to furnish passengers transportation services and accommodations.
    (e) Station means a facility, other than a terminal, operated by or 
for a carrier to accommodate passengers.
    (f) Service means passenger transportation by bus between authorized 
points or over authorized routes.
    (g) Commuter service, means passenger transportation wholly between 
points not more than 100 airline miles apart and not involving through-
bus, connecting, or interline services to or from points beyond 100 
airline miles. The usual characteristics of commuter service include 
reduced fare, multiple-ride, and commutation tickets, and peak morning 
and evening operations.
    (h) Baggage means property a passenger takes with him for his 
personal use or convenience.
    (i) Restroom means a room in a bus or terminal equipped with a 
toilet, washbowl, soap or a reasonable alternative, mirror, wastebasket, 
and toilet paper.

[55 FR 11199, Mar. 27, 1990, as amended at 68 FR 56198, Sept. 30, 2003]



Sec. 374.305  Ticketing and information.

    (a) Information service. (1) During business hours at each terminal 
or station, information shall be provided as to schedules, tickets, 
fares, baggage, and other carrier services.
    (2) Carrier agents and personnel who sell or offer to sell tickets, 
or who provide information concerning tickets and carrier services, 
shall be competent and adequately informed.
    (b) Telephone information service. Every facility where tickets are 
sold shall provide telephonic information to the traveling public, 
including current bus schedules and fare information, when open for 
ticket sales.
    (c) Schedules. Printed, regular-route schedules shall be provided to 
the traveling public at all facilities where tickets for such services 
are sold. Each schedule shall show the points along the carrier's 
route(s) where facilities

[[Page 826]]

are located or where the bus trips originate or terminate, and each 
schedule shall indicate the arrival or departure time for each such 
point.
    (d) Ticket refunds. Each carrier shall refund unused tickets upon 
request, consistent with its governing tariff, at each place where 
tickets are sold, within 30 days after the request.
    (e) Announcements. No scheduled bus (except in commuter service) 
shall depart from a terminal or station until a public announcement of 
the departure and boarding point has been given. The announcement shall 
be given at least 5 minutes before the initial departure and before 
departures from points where the bus is scheduled to stop for more than 
5 minutes.



Sec. 374.307  Baggage service.

    (a) Checking procedures. (1) Carriers shall issue receipts, which 
may be in the form of preprinted tickets, for all checked services 
baggage.
    (2)(i) If baggage checking service is not provided at the side of 
the bus, all baggage checked at a baggage checking counter at least 30 
minutes but not more than 1 hour before departure shall be transported 
on the same schedule as the ticketed passenger.
    (ii) If baggage checking service is provided at the side of the bus, 
passengers checking baggage at the baggage checking counter less than 30 
minutes before the scheduled departure shall be notified that their 
baggage may not travel on the same schedule. Such baggage must then be 
placed on the next available bus to its destination. All baggage checked 
at the side of the bus during boarding, or at alternative locations 
provided for such purpose, shall be transported on the same schedule as 
the ticketed passenger.
    (b) Baggage security. All checked baggage shall be placed in a 
secure or attended area prohibited to the public. Baggage being readied 
for loading shall not be left unattended.
    (c) Baggage liability. (1) No carrier may totally exempt its 
liability for articles offered as checked baggage, unless those articles 
have been exempted by the Secretary. (Other liability is subject to 
subpart D of this part). A notice listing exempted articles shall be 
prominently posted at every location where baggage is accepted for 
checking.
    (2) Carriers may refuse to accept as checked baggage and, if 
unknowingly accepted, may disclaim liability for loss or damage to the 
following articles:
    (i) Articles whose transportation as checked baggage is prohibited 
by law or regulation;
    (ii) Fragile or perishable articles, articles whose dimensions 
exceed the size limitations in the carrier's tariff, receptacles with 
articles attached or protruding, guns, and materials that have a 
disagreeable odor;
    (iii) Money; and
    (iv) Those other articles that the Secretary exempts upon petition 
by the carrier.
    (3) Carriers need not offer excess value coverage on articles of 
extraordinary value (including, but not limited to, negotiable 
instruments, papers, manuscripts, irreplaceable publications, documents, 
jewelry, and watches).
    (d) Express shipments. Passengers and their baggage always take 
precedence over express shipments.
    (e) Baggage at destination. All checked baggage shall be made 
available to the passenger within a reasonable time, not to exceed 30 
minutes, after arrival at the passenger's destination. If not, the 
carrier shall deliver the baggage to the passenger's local address at 
the carrier's expense.
    (f) Lost or delayed baggage. (1) Checked baggage that cannot be 
located within 1 hour after the arrival of the bus upon which it was 
supposed to be transported shall be designated as lost. The carrier 
shall notify the passenger at that time and furnish him with an 
appropriate tracing form.
    (2) Every carrier shall make available at each ticket window and 
baggage counter a single form suitable both for tracing and for filing 
claims for lost or misplaced baggage. The form shall be prepared in 
duplicate and signed by the passenger and carrier representative. The 
carrier or its agent shall receive the signed original, with any 
necessary documentation and additional information, and the claim check, 
for which a receipt shall be

[[Page 827]]

given. The passenger shall retain the duplicate copy.
    (3) The carrier shall make immediate and diligent efforts to recover 
lost baggage.
    (4) A passenger may fill out a tracing form for lost unchecked 
baggage. The carrier shall forward recovered unchecked baggage to the 
terminal or station nearest the address shown on the tracing form and 
shall notify the passenger that the baggage will be held on a will-call 
basis.
    (g) Settlement of claims. Notwithstanding 49 CFR 370.9, if lost 
checked baggage cannot be located within 15 days, the carrier shall 
immediately process the matter as a claim. The date on which the carrier 
or its agent received the tracing form shall be considered the first day 
of a 60-day period in which a claim must be resolved by a firm offer of 
settlement or by a written explanation of denial of the claim.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.309  Terminal facilities.

    (a) Passenger security. All terminals and stations must provide 
adequate security for passengers and their attendants and be regularly 
patrolled.
    (b) Outside facilities. At terminals and stations that are closed 
when buses are scheduled to arrive or depart, there shall be available, 
to the extent possible, a public telephone, outside lighting, posted 
schedule information, overhead shelter, information on local 
accommodations, and telephone numbers for local taxi service and police.
    (c) Maintenance. Terminals shall be clean.



Sec. 374.311  Service responsibility.

    (a) Schedules. Carriers shall establish schedules that can be 
reasonably met, including connections at junction points, to serve 
adequately all authorized points.
    (b) Continuity of service. No carrier shall change an existing 
regular-route schedule without first filing a written notice with the 
FMCSA's Division Office(s). The carrier shall display conspicuously a 
copy of such notice in each facility and on each bus affected. Such 
notice shall be displayed for a reasonable time before it becomes 
effective and shall contain the carrier's name, a description of the 
proposed schedule change, the effective date thereof, the reasons for 
the change, the availability of alternate service, and the name and 
address of the carrier representative passengers may contact.
    (c) Trip interruptions. A carrier shall mitigate, to the extent 
possible, any passenger inconvenience it causes by disrupting travel 
plans.
    (d) Seating and reservations. A carrier shall provide sufficient 
buses to meet passengers' normal travel demands, including ordinary 
weekend and usual seasonal or holiday demand. Passengers (except 
commuters) shall be guaranteed, to the extent possible, passage and 
seating.
    (e) Inspection of rest stops. Each carrier shall inspect 
periodically all rest stops it uses to ensure that they are clean.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.313  Equipment.

    (a) Temperature control. A carrier shall maintain a reasonable 
temperature on each bus (except in commuter service).
    (b) Restrooms. Each bus (except in commuter service) seating more 
than 14 passengers (not including the driver) shall have a clean, 
regularly maintained restroom, free of offensive odor. A bus may be 
operated without a restroom if it makes reasonable rest stops.
    (c) Bus servicing. Each bus shall be kept clean, with all required 
items in good working order.



Sec. 374.315  Transportation of passengers with disabilities.

    Service provided by a carrier to passengers with disabilities is 
governed by the provisions of 42 U.S.C. 12101 et seq., and regulations 
promulgated thereunder by the Secretary of Transportation (49 CFR parts 
27, 37, and 38) and the Attorney General (28 CFR part 36), incorporating 
the guidelines established by the Architectural and Transportation 
Barriers Compliance Board (36 CFR part 1191).

[57 FR 35764, Aug. 11, 1992]

[[Page 828]]



Sec. 374.317  Identification--bus and driver.

    Each bus and driver providing service shall be identified in a 
manner visible to passengers. The driver may be identified by name or 
company number.



Sec. 374.319  Relief from provisions.

    (a) Petitions. Where compliance with any rule would impose an undue 
burden on a carrier, it may petition the Federal Motor Carrier Safety 
Administration either to treat it as though it were conducting a 
commuter service or to waive the rule. The request for relief must be 
justified by appropriate verified statements.
    (b) Notice to the public. The carrier shall display conspicuously, 
for at least 30 days, in each facility and on each bus affected, a 
notice of the filing of any petition. The notice shall contain the 
carrier's name and address, a concise description of and reasons for the 
relief sought, and a statement that any interested person may file 
written comments with the Federal Motor Carrier Safety Administration 
(with one copy mailed to the carrier) on or before a specific date that 
is at least 30 days later than the date the notice is posted.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Subpart D--Notice of and Procedures for Baggage Excess Value Declaration

    Source: 40 FR 1249, Jan. 7, 1975, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 374.401  Minimum permissible limitations for baggage liability.

    (a) Motor common carriers of passengers and baggage subject to 49 
U.S.C. 13501 may not publish tariff provisions limiting their liability 
for loss or damage to baggage checked by a passenger transported in 
regular route or special operations unless:
    (1) The amount for which liability is limited is $250 or greater per 
adult fare, and
    (2) The provisions permit the passenger, for an additional charge, 
to declare a value in excess of the limited amount, and allow the 
passenger to recover the increased amount (but not higher than the 
actual value) in event of loss or damage. The carriers may publish a 
maximum value for which they will be liable, but that maximum value may 
not be less than $1,000. Appropriate identification must be attached 
securely by the passenger to each item of baggage checked, indicating in 
a clear and legible manner the name and address to which the baggage 
should be forwarded if lost and subsequently recovered. Identification 
tags shall be made immediately available by the carriers to passengers 
upon request.
    (3) Carriers need not offer excess value coverage on articles listed 
in Sec. 374.307(c)(3).

(49 U.S.C. 10321, 5 U.S.C. 553)

[46 FR 22899, Apr. 22, 1981, as amended at 47 FR 21840, May 20, 1982; 62 
FR 15423, Apr. 1, 1997]



Sec. 374.403  Notice of passenger's ability to declare excess value on baggage.

    (a) All motor common carriers of passengers and baggage subject to 
49 U.S.C. subtitle IV, part B, which provide in their tariffs for the 
declaration of baggage in excess of a free baggage allowance limitation, 
shall provide clear and adequate notice to the public of the opportunity 
to declare such excess value on baggage.
    (b) The notice referred to in paragraph (a) of this section shall be 
in large and clear print, and shall state as follows:

                        Notice--Baggage Liability

    This motor carrier is not liable for loss or damage to properly 
identified baggage in an amount exceeding $----. If a passenger desires 
additional coverage for the value of his baggage he may, upon checking 
his baggage, declare that his baggage has a value in excess of the above 
limitation and pay a charge as follows:

                          Identify Your Baggage

    Under FMCSA regulations, all baggage must be properly identified. 
Luggage tags should indicate clearly the name and address to which lost 
baggage should be forwarded. Free luggage tags are available at all 
ticket windows and baggage counters.


[[Page 829]]



The statement of charges for excess value declaration shall be clear, 
and any other pertinent provisions may be added at the bottom in clear 
and readable print.
    (c) The notice referred to in paragraphs (a) and (b) of this section 
shall be (1) placed in a position near the ticket seller, sufficiently 
conspicuous to apprise the public of its provisions, (2) placed on a 
form to be attached to each ticket issued (and the ticket seller shall, 
where possible, provide oral notice to each ticket purchaser to read the 
form attached to the ticket), (3) placed in a position at or near any 
location where baggage may be checked, sufficiently conspicuous to 
apprise each passenger checking baggage of its provisions, and (4) 
placed in a position at each boarding point or waiting area used by the 
carrier at facilities maintained by the carrier or its agents, 
sufficiently conspicuous to apprise each boarding passenger of the 
provisions of the said notice.

[40 FR 1249, Jan. 7, 1975, as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.405  Baggage excess value declaration procedures.

    All motor common carriers of passengers and baggage subject to 49 
U.S.C. subtitle IV, part B, which provide in their tariffs for the 
declaration of baggage value in excess of a free baggage allowance 
limitation, shall provide for the declaration of excess value on baggage 
at any time or place where provision is made for baggage checking, 
including (a) at a baggage checking counter until 15 minutes before 
scheduled boarding time, and (b) at the side of the bus or at a baggage 
checking counter in reasonable proximity to the boarding area during 
boarding at a terminal or any authorized service point.

[40 FR 1249, Jan. 7, 1975, as amended at 62 FR 15423, Apr. 1, 1997]



                  Subpart E--Incidental Charter Rights

    Authority: 5 U.S.C. 553 and 559 and 49 U.S.C. 10321, 10922, and 
10932.

    Source: 54 FR 46619, Nov. 6, 1989, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 374.501  Applicability.

    The regulations in this part apply to incidental charter rights 
authorized under 49 U.S.C. 13506 [49 U.S.C. 10932(c)]. These regulations 
do not apply to interpreting authority contained in a certificate to 
transport passengers in special and/or charter operations.

[54 FR 46619, Nov. 6, 1989. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.503  Authority.

    Motor carriers transporting passengers, in interstate or foreign 
commerce, over regular routes authorized in a certificate issued as a 
result of an application filed before January 2, 1967, may transport 
special or chartered parties, in interstate or foreign commerce, between 
any points and places in the United States (including Alaska and 
Hawaii). The term ``special or chartered party'' means a group of 
passengers who, with a common purpose and under a single contract, and 
at a fixed charge for the vehicle in accordance with the carrier's 
tariff, have acquired the exclusive use of a passenger-carrying motor 
vehicle to travel together as a group to a specified destination or for 
a particular itinerary.



Sec. 374.505  Exceptions.

    (a) Incidental charter rights do not authorize the transportation of 
passengers to whom the carrier has sold individual tickets or with whom 
the carrier has made separate and individual transportation 
arrangements.
    (b) Service provided under incidental charter rights may not be 
operated between the same points or over the same route so frequently as 
to constitute a regular-route service.
    (c) Passenger transportation within the Washington Metropolitan Area 
Transit District (as defined in the Washington Metropolitan Area 
Transportation Regulation Compact, Pub. L. No. 86-794, 74 Stat. 1031 
(1960), as amended by Pub. L. No. 87-767, 76 Stat. (1962) is not 
authorized by these regulations, but is subject to the jurisdiction

[[Page 830]]

and regulations of the Washington Metropolitan Area Transportation 
Commission.
    (d) A private or public recipient of governmental assistance (within 
the meaning of 49 U.S.C. 13902(b)(8)) may provide service under 
incidental charter rights only for special or chartered parties 
originating in the area in which the private or public recipient 
provides regularly scheduled mass transportation services under the 
specific qualifying certificate that confers its incidental charter 
rights.

[54 FR 46619, Nov. 6, 1989. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



PART 375--TRANSPORTATION OF HOUSEHOLD GOODS IN INTERSTATE COMMERCE; CONSUMER PROTECTION REGULATIONS--Table of Contents




                     Subpart A--General Requirements

Sec.
375.101 Who must follow these regulations?
375.103 What are the definitions of terms used in this part?
375.105 What are the information collection requirements of this part?

           Subpart B--Before Offering Services to My Customers

                        Liability Considerations

375.201 What is my normal liability for loss and damage when I accept 
          goods from an individual shipper?
375.203 What actions of an individual shipper may limit or reduce my 
          normal liability?

                        General Responsibilities

375.205 May I have agents?
375.207 What items must be in my advertisements?
375.209 How must I handle complaints and inquiries?
375.211 Must I have an arbitration program?
375.213 What information must I provide to a prospective individual 
          shipper?

                    Collecting Transportation Charges

375.215 How must I collect charges?
375.217 May I collect charges upon delivery?
375.219 May I extend credit to shippers?
375.221 May I use a charge or credit card plan for payments?

                   Subpart C--Service Options Provided

375.301 What service options may I provide?
375.303 If I sell liability insurance coverage, what must I do?

                      Subpart D--Estimating Charges

375.401 Must I estimate charges?
375.403 How must I provide a binding estimate?
375.405 How must I provide a non-binding estimate?
375.407 Under what circumstances must I relinquish possession of a 
          collect-on-delivery shipment transported under a non-binding 
          estimate?
375.409 May household goods brokers provide estimates?

           Subpart E--Pick Up of Shipments of Household Goods

                             Before Loading

375.501 Must I write up an order for service?
375.503 Must I write up an inventory?
375.505 Must I write up a bill of lading?

                          Weighing the Shipment

375.507 Must I determine the weight of a shipment?
375.509 How must I determine the weight of a shipment?
375.511 May I use an alternative method for shipments weighing 3,000 
          pounds or less?
375.513 Must I give the individual shipper an opportunity to observe the 
          weighing?
375.515 May an individual shipper waive his/her right to observe each 
          weighing?
375.517 May an individual shipper demand re-weighing?
375.519 Must I obtain weight tickets?
375.521 What must I do if an individual shipper wants to know the actual 
          weight or charges for a shipment before I tender delivery?

                 Subpart F--Transportation of Shipments

375.601 Must I transport the shipment in a timely manner?
375.603 When must I tender a shipment for delivery?
375.605 How must I notify an individual shipper of any service delays?
375.607 What must I do if I am able to tender a shipment for final 
          delivery more than 24 hours before a specified date?
375.609 What must I do for shippers who store household goods in 
          transit?

                    Subpart G--Delivery of Shipments

375.701 May I provide for a release of liability on my delivery receipt?
375.703 What is the maximum collect-on-delivery amount I may demand at 
          the time of delivery?

[[Page 831]]

375.705 If a shipment is transported on more than one vehicle, what 
          charges may I collect at delivery?
375.707 If a shipment is partially lost or destroyed, what charges may I 
          collect at delivery?
375.709 If a shipment is totally lost or destroyed, what charges may I 
          collect at delivery?

                    Subpart H--Collection of Charges

375.801 What types of charges apply to subpart H?
375.803 How must I present my freight or expense bill?
375.805 If I am forced to relinquish a collect-on-delivery shipment 
          before the payment of ALL charges, how do I collect the 
          balance?
375.807 What actions may I take to collect the charges upon my freight 
          bill?

                          Subpart I--Penalties

375.901 What penalties do we impose for violations of this part?

Appendix A to Part 375--Your Rights and Responsibilities When You Move

    Authority: 5 U.S.C. 553; 49 U.S.C. 13301, 13704, 13707, 14104, 
14706; and 49 CFR 1.73.

    Source: 68 FR 35091, June 11, 2003 unless otherwise noted.



                     Subpart A--General Requirements



Sec. 375.101  Who must follow these regulations?

    You, a for-hire motor carrier engaged in the interstate 
transportation of household goods, must follow these regulations when 
offering your services to individual shippers. You are subject to this 
part only when you transport household goods for individual shippers by 
motor vehicle in interstate commerce.



Sec. 375.103  What are the definitions of terms used in this part?

    Terms used in this part are defined as follows. You may find other 
terms used in these regulations defined in 49 U.S.C. 13102. The 
definitions contained in this statute control. If terms are used in this 
part and the terms are neither defined here nor in 49 U.S.C. 13102, the 
terms will have the ordinary practical meaning of such terms.
    Advertisement means any communication to the public in connection 
with an offer or sale of any interstate household goods transportation 
service. This includes written or electronic database listings of your 
name, address, and telephone number in an on-line database. This 
excludes listings of your name, address, and telephone number in a 
telephone directory or similar publication. However, Yellow Pages 
advertising is included in the definition.
    Cashier's check means a check that has all four of the following 
characteristics:
    (1) Drawn on a bank as defined in 12 CFR 229.2.
    (2) Signed by an officer or employee of the bank on behalf of the 
bank as drawer.
    (3) A direct obligation of the bank.
    (4) Provided to a customer of the bank or acquired from the bank for 
remittance purposes.
    Certified scale means any scale inspected and certified by an 
authorized scale inspection and licensing authority, and designed for 
weighing motor vehicles, including trailers or semi-trailers not 
attached to a tractor, or designed as a platform or warehouse type 
scale.
    Commercial shipper means any person who is named as the consignor or 
consignee in a bill of lading contract who is not the owner of the goods 
being transported but who assumes the responsibility for payment of the 
transportation and other tariff charges for the account of the 
beneficial owner of the goods. The beneficial owner of the goods is 
normally an employee of the consignor and/or consignee. A freight 
forwarder tendering a shipment to a carrier in furtherance of freight 
forwarder operations is also a commercial shipper. The Federal 
government is a government bill of lading shipper, not a commercial 
shipper.
    Force majeure means a defense protecting the parties in the event 
that a part of the contract cannot be performed due to causes which are 
outside the control of the parties and could not be avoided by exercise 
of due care.
    Government bill of lading shipper means any person whose property is 
transported under the terms and conditions of a government bill of 
lading issued by any department or agency of the Federal government to 
the carrier

[[Page 832]]

responsible for the transportation of the shipment.
    Household goods, as used in connection with transportation, means 
the personal effects or property used, or to be used, in a dwelling, 
when part of the equipment or supplies of the dwelling. Transportation 
of the household goods must be arranged and paid for by the individual 
shipper or by another individual on behalf of the shipper. Household 
goods includes property moving from a factory or store if purchased with 
the intent to use in a dwelling and transported at the request of the 
householder, who also pays the transportation charges.
    Individual shipper means any person who is the consignor or 
consignee of a household goods shipment identified as such in the bill 
of lading contract. The individual shipper owns the goods being 
transported and pays the transportation charges.
    May means an option. You may do something, but it is not a 
requirement.
    Must means a legal obligation. You must do something.
    Order for service means a document authorizing you to transport an 
individual shipper's household goods.
    Reasonable dispatch means the performance of transportation on the 
dates, or during the period, agreed upon by you and the individual 
shipper and shown on the Order For Service/Bill of Lading. For example, 
if you deliberately withhold any shipment from delivery after an 
individual shipper offers to pay the binding estimate or 110 percent of 
a non-binding estimate, you have not transported the goods with 
reasonable dispatch. The term ``reasonable dispatch'' excludes 
transportation provided under your tariff provisions requiring 
guaranteed service dates. You will have the defenses of force majeure, 
i.e., superior or irresistible force, as construed by the courts.
    Should means a recommendation. We recommend you do something, but it 
is not a requirement.
    Surface Transportation Board means an agency within the Department 
of Transportation. The Surface Transportation Board regulates household 
goods carrier tariffs among other responsibilities.
    Tariff means an issuance (in whole or in part) containing rates, 
rules, regulations, classifications or other provisions related to a 
motor carrier's transportation services. The Surface Transportation 
Board requires a tariff contain specific items under Sec. 1312.3(a) of 
this title. These specific items include an accurate description of the 
services offered to the public and the specific applicable rates (or the 
basis for calculating the specific applicable rates) and service terms. 
A tariff must be arranged in a way that allows for the determination of 
the exact rate(s) and service terms applicable to any given shipment.
    We, us, and our means the Federal Motor Carrier Safety 
Administration (FMCSA).
    You and your means a motor carrier engaged in the interstate 
transportation of household goods and its household goods agents.



Sec. 375.105  What are the information collection requirements of this part?

    (a) The information collection requirements of this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) and have been 
assigned OMB control number 2126------.
    (b) The information collection requirements are found in the 
following sections:
    Section 375.205, Section 375.207, Section 375.209, Section 375.211, 
Section 375.213, Section 375.215, Section 375.217, Section 375.303, 
Section 375.401, Section 375.403, Section 375.405, Section 375.409, 
Section 375.501, Section 375.503, Section 375.505, Section 375.507, 
Section 375.515, Section 375.519, Section 375.521, Section 375.605, 
Section 375.607, Section 375.609, Section 375.803, Section 375.805, and 
Section 375.807.



           Subpart B--Before Offering Services to My Customers

                        Liability Considerations



Sec. 375.201  What is my normal liability for loss and damage when I accept goods from an individual shipper?

    (a) In general, you are legally liable for loss or damage if it 
happens during

[[Page 833]]

performance of any transportation of household goods and all related 
services identified on your lawful bill of lading.
    (b) You are liable for loss of, or damage to, any household goods to 
the extent provided in the current Surface Transportation Board's 
released rates order. Contact the Surface Transportation Board for a 
current copy of the Released Rates of Motor Carrier Shipments of 
Household Goods. The rate may be increased annually by the carrier based 
on the Department of Commerce's Cost of Living Adjustment.
    (c) As required by Sec. 375.303(g), you may have additional 
liability if you sell liability insurance and you fail to issue a copy 
of the insurance policy or other appropriate evidence of insurance.
    (d) You must, in a clear and concise manner, disclose to the 
individual shipper the limits of your liability.



Sec. 375.203  What actions of an individual shipper may limit or reduce my normal liability?

    (a) If an individual shipper includes perishable, dangerous, or 
hazardous articles in the shipment without your knowledge, you need not 
assume liability for those articles or for the loss or damage caused by 
their inclusion in the shipment. If the shipper requests that you accept 
such articles for transportation, you may elect to limit your liability 
for any loss or damage by appropriately published tariff provisions.
    (b) If an individual shipper agrees to ship household goods released 
at a value greater than 60 cents per pound ($1.32 per kilogram) per 
article, your liability for loss and damage may be limited to $100 per 
pound ($220 per kilogram) per article if the individual shipper fails to 
notify you in writing of articles valued at more than $100 per pound 
($220 per kilogram).
    (c) If an individual shipper notifies you in writing that an article 
valued at greater than $100 per pound ($220 per kilogram) will be 
included in the shipment, the shipper will be entitled to full recovery 
up to the declared value of the article or articles, not to exceed the 
declared value of the entire shipment.

                        General Responsibilities



Sec. 375.205  May I have agents?

    (a) You may have agents provided you comply with paragraphs (b) and 
(c) of this section. A household goods agent is defined as either one of 
the following two types of agents:
    (1) A prime agent provides a transportation service for you or on 
your behalf, including the selling of, or arranging for, a 
transportation service. You permit or require the agent to provide 
services under the terms of an agreement or arrangement with you. A 
prime agent does not provide services on an emergency or temporary 
basis. A prime agent does not include a household goods broker or 
freight forwarder.
    (2) An emergency or temporary agent provides origin or destination 
services on your behalf, excluding the selling of, or arranging for, a 
transportation service. You permit or require the agent to provide such 
services under the terms of an agreement or arrangement with you. The 
agent performs such services only on an emergency or temporary basis.
    (b) If you have agents, you must have written agreements between you 
and your prime agents. You and your retained prime agent must sign the 
agreements.
    (c) Copies of all your prime agent agreements must be in your files 
for a period of at least 24 months following the date of termination of 
each agreement.



Sec. 375.207  What items must be in my advertisements?

    (a) You and your agents must publish and use only truthful, 
straightforward, and honest advertisements.
    (b) You must include, and you must require each of your agents to 
include, in all advertisements for all services (including any 
accessorial services incidental to or part of interstate household goods 
transportation), the following two elements:
    (1) Your name or trade name, as it appears on our document assigning 
you a U.S. DOT number, or the name or trade name of the motor carrier 
under whose operating authority the advertised service will originate.

[[Page 834]]

    (2) Your U.S. DOT number, assigned by us authorizing you to operate 
as a for-hire motor carrier transporting household goods.
    (c) Your FMCSA-assigned U.S. DOT number must be displayed only in 
the following form in every advertisement: U.S. DOT No. (assigned 
number).



Sec. 375.209  How must I handle complaints and inquiries?

    (a) You must establish and maintain a procedure for responding to 
complaints and inquiries from your individual shippers.
    (b) Your procedure must include all four of the following items:
    (1) A communications system allowing individual shippers to 
communicate with your principal place of business by telephone.
    (2) A telephone number.
    (3) A clear and concise statement about who must pay for complaint 
and inquiry telephone calls.
    (4) A written or electronic record system for recording all 
inquiries and complaints received from an individual shipper by any 
means of communication.
    (c) You must produce a clear and concise written description of your 
procedure for distribution to individual shippers.



Sec. 375.211  Must I have an arbitration program?

    (a) You must have an arbitration program for individual shippers. 
You must establish and maintain an arbitration program with the 
following eleven minimum elements:
    (1) You must design your arbitration program to prevent you from 
having any special advantage in any case where the claimant resides or 
does business at a place distant from your principal or other place of 
business.
    (2) Before the household goods are tendered for transport, your 
arbitration program must provide notice to the individual shipper of the 
availability of neutral arbitration, including all three of the 
following items:
    (i) A summary of the arbitration procedure.
    (ii) Any applicable costs.
    (iii) A disclosure of the legal effects of election to use 
arbitration.
    (3) Upon the individual shipper's request, you must provide 
information and forms you consider necessary for initiating an action to 
resolve a dispute under arbitration.
    (4) You must require each person you authorize to arbitrate to be 
independent of the parties to the dispute and capable of resolving such 
disputes, and you must ensure the arbitrator is authorized and able to 
obtain from you or the individual shipper any material or relevant 
information to carry out a fair and expeditious decisionmaking process.
    (5) You must not charge the individual shipper more than one-half of 
the total cost for instituting the arbitration proceeding against you. 
In the arbitrator's decision, the arbitrator may determine which party 
must pay the cost or a portion of the cost of the arbitration 
proceeding, including the cost of instituting the proceeding.
    (6) You must refrain from requiring the individual shipper to agree 
to use arbitration before a dispute arises.
    (7) Arbitration must be binding for claims of $5,000 or less, if the 
individual shipper requests arbitration.
    (8) Arbitration must be binding for claims of more than $5,000, if 
the individual shipper requests arbitration and the carrier agrees to 
it.
    (9) If all parties agree, the arbitrator may provide for an oral 
presentation of a dispute by a party or representative of a party.
    (10) The arbitrator must render a decision within 60 days of receipt 
of written notification of the dispute, and a decision by an arbitrator 
may include any remedies appropriate under the circumstances.
    (11) The arbitrator may extend the 60-day period for a reasonable 
period if you or the individual shipper fail to provide, in a timely 
manner, any information the arbitrator reasonably requires to resolve 
the dispute.
    (b) You must produce and distribute a concise, easy-to-read, 
accurate summary of the your arbitration program, including the items in 
this section.

[[Page 835]]



Sec. 375.213  What information must I provide to a prospective individual shipper?

    (a) Before you execute an order for service for a shipment of 
household goods, you must furnish to your prospective individual 
shipper, all five of the following documents:
    (1) The contents of appendix A of this part, ``Your Rights and 
Responsibilities When You Move.''
    (2) A concise, easy-to-read, accurate estimate of your charges.
    (3) A notice of the availability of the applicable sections of your 
tariff for the estimate of charges, including an explanation that 
individual shippers may examine these tariff sections or have copies 
sent to them upon request.
    (4) A concise, easy-to-read, accurate summary of the your 
arbitration program.
    (5) A concise, easy to read, accurate summary of your customer 
complaint and inquiry handling procedures. Included in this description 
must be both of the following two items:
    (i) The main telephone number the individual shipper may use to 
communicate with you.
    (ii) A clear and concise statement concerning who must pay for 
telephone calls.
    (b) To comply with paragraph (a)(1) of this section, you must 
produce and distribute a document with the text and general order of 
appendix A to this part as it appears. The following three items also 
apply:
    (1) If we, the Federal Motor Carrier Safety Administration, choose 
to modify the text or general order of appendix A, we will provide the 
public appropriate notice in the Federal Register and an opportunity for 
comment as required by part 389 of this chapter before making you change 
anything.
    (2) If you publish the document, you may choose the dimensions of 
the publication as long as the type font size is at least 10 point or 
greater and the size of the booklet is at least as large as 36 square 
inches (232 square centimeters).
    (3) If you publish the document, you may choose the color and design 
of the front and back covers of the publication. The following words 
must appear prominently on the front cover in at least 12 point or 
greater bold or full-faced type: ``Your Rights And Responsibilities When 
You Move. Furnished By Your Mover, As Required By Federal Law.'' You may 
substitute your name or trade name in place of ``Your Mover'' if you 
wish (for example, Furnished by XYZ Van Lines, As Required By Federal 
Law).
    (c) Paragraphs (b)(2) and (b)(3) of this section do not apply to 
exact copies of appendix A published in the Federal Register or the Code 
of Federal Regulations.

                    Collecting Transportation Charges



Sec. 375.215  How must I collect charges?

    You must issue an honest, truthful freight or expense bill in 
accordance with subpart A of part 373 of this chapter. All rates and 
charges for the transportation and related services must be in 
accordance with your appropriately published tariff provisions in 
effect, including the method of payment.



Sec. 375.217  How must I collect charges upon delivery?

    (a) You must specify the form of payment when you prepare the 
estimate. You and your agents must honor the form of payment at 
delivery, except when a shipper agrees to a change in writing.
    (b) You must specify the same form of payment provided in paragraph 
(a) of this section when you prepare the order for service and the bill 
of lading.
    (c) Charge or credit card payments:
    (1) If you agree to accept payment by charge or credit card, you 
must arrange with the individual shipper for the delivery of the 
household goods during the time your credit/collection department is 
open so you may seek approval of payment by the card issuer.
    (2) Paragraph (c)(1) of this section does not apply to you when you 
have equipped your motor vehicle(s) to process card transactions.
    (d) You may maintain a tariff setting forth nondiscriminatory rules 
governing collect-on-delivery service and the collection of collect-on-
delivery funds.
    (e) If an individual shipper pays you at least 110 percent of the 
approximate costs of a non-binding estimate on a collect-on-delivery 
shipment, you must

[[Page 836]]

relinquish possession of the shipment at the time of delivery.



Sec. 375.219  May I extend credit to shippers?

    You may extend credit to shippers, but, if you do, it must be in 
accordance with Sec. 375.807.



Sec. 375.221  May I use a charge or credit card plan for payments?

    (a) You may provide in your tariff for the acceptance of charge or 
credit cards for the payment of freight charges. Accepting charge or 
credit card payments is different than extending credit to shippers in 
Secs. 375.219 and 375.807. Once you provide an estimate you are bound by 
the provisions in your tariff regarding payment as of the estimate date, 
until completion of any transaction that results from that estimate, 
unless otherwise agreed with a shipper under Sec. 375.217(a).
    (b) You may accept charge or credit cards whenever shipments are 
transported under agreements and tariffs requiring payment by cash, 
certified check, money order, or a cashier's check.
    (c) If you allow an individual shipper to pay for a freight or 
expense bill by charge or credit card, you are deeming such payment to 
be the same as payment by cash, certified check, money order, or a 
cashier's check.
    (d) The charge or credit card plans you participate in must be 
identified in your tariff rules as items permitting the acceptance of 
the charge or credit cards.
    (e) If an individual shipper causes a charge or credit card issuer 
to reverse a charge transaction, you may consider the individual 
shipper's action tantamount to forcing you to provide an involuntary 
extension of your credit. In such instances, the rules in Sec. 375.807 
apply.



                   Subpart C--Service Options Provided



Sec. 375.301  What service options may I provide?

    (a) You may design your household goods service to provide 
individual shippers with a wide range of specialized service and pricing 
features. Many carriers provide at least the following five service 
options:
    (1) Space reservation.
    (2) Expedited service.
    (3) Exclusive use of a vehicle.
    (4) Guaranteed service on or between agreed dates.
    (5) Liability insurance.
    (b) If you sell liability insurance, you must follow the 
requirements in Sec. 375.303.



Sec. 375.303  If I sell liability insurance coverage, what must I do?

    (a) You, your employee, or an agent, may sell, offer to sell, or 
procure liability insurance coverage for loss or damage to shipments of 
any individual shippers only when the individual shipper releases the 
shipment for transportation at a value not exceeding 60 cents per pound 
($1.32 per kilogram) per article.
    (b) You may offer, sell, or procure any type of insurance policy on 
behalf of the individual shipper covering loss or damage in excess of 
the specified carrier liability.
    (c) You must issue to the individual shipper a policy or other 
appropriate evidence of the insurance the individual shipper purchased.
    (d) You must provide a copy of the policy or other appropriate 
evidence to the individual shipper at the time you sell or procure the 
insurance.
    (e) You must issue policies written in plain English.
    (f) You must clearly specify the nature and extent of coverage under 
the policy.
    (g) Your failure to issue a policy, or other appropriate evidence of 
insurance purchased, to an individual shipper will subject you to full 
liability for any claims to recover loss or damage attributed to you.
    (h) You must provide in your tariff for the provision of selling, 
offering to sell, or procuring liability insurance coverage. The tariff 
must also provide for the base transportation charge, including your 
assumption for full liability for the value of the shipment. This would 
be in the event you fail to issue a policy or other appropriate evidence 
of insurance to the individual shipper at the time of purchase.

[[Page 837]]



                      Subpart D--Estimating Charges



Sec. 375.401  Must I estimate charges?

    (a) Before you execute an order for service for a shipment of 
household goods for an individual shipper, you must estimate the total 
charges in writing. The written estimate must be one of the following 
two types:
    (1) A binding estimate, an agreement made in advance with your 
individual shipper. It guarantees the total cost of the move based upon 
the quantities and services shown on your estimate.
    (2) A non-binding estimate, what you believe the total cost will be 
for the move, based upon the estimated weight or volume of the shipment 
and the accessorial services requested. A non-binding estimate is not 
binding on you. You will base the final charges upon the actual weight 
of the individual shipper's shipment and the tariff provisions in 
effect.
    (b) You must specify the form of payment you and your agent will 
honor at delivery. Payment forms may include, but are not limited to, 
cash, a certified check, a money order, a cashier s check, a specific 
charge card such as American ExpressTM, a specific credit 
card such as VisaTM, or your credit as allowed by 
Sec. 375.807.
    (c) For non-binding estimates, you must provide your reasonably 
accurate estimate of the approximate costs the individual shipper should 
expect to pay for the transportation and services of such shipments. If 
you provide an inaccurately low estimate, you may be limiting the amount 
you will collect at the time of delivery as provided in Sec. 375.407.
    (d) If you provide a shipper with an estimate based on volume that 
will later be converted to a weight-based rate, you must provide the 
shipper an explanation in writing of the formula used to calculate the 
conversion to weight. You must specify the final charges will be based 
on actual weight and services subject to the 110 percent rule at 
delivery.
    (e) You must determine charges for any accessorial services such as 
elevators, long carries, etc., before preparing the order for service 
and the bill of lading for binding or non-binding estimates. If you fail 
to ask the shipper about such charges and fail to determine such charges 
before preparing the order for service and the bill of lading, you must 
deliver the goods and bill the shipper after 30 days for the additional 
charges.
    (f) You and the individual shipper must sign the estimate of 
charges. You must provide a dated copy of the estimate of charges to the 
individual shipper at the time you sign the estimate.
    (g) Before loading a household goods shipment, and upon mutual 
agreement of both you and the individual shipper, you may amend an 
estimate of charges. You may not amend the estimate after loading the 
shipment.



Sec. 375.403  How must I provide a binding estimate?

    (a) You may provide a guaranteed binding estimate of the total 
shipment charges to the individual shipper, so long as it is provided 
for in your tariff. The individual shipper must pay the amount for the 
services included in your estimate. You must comply with the following 
nine requirements:
    (1) You must provide a binding estimate in writing to the individual 
shipper or other person responsible for payment of the freight charges.
    (2) You must retain a copy of each binding estimate as an attachment 
to be made an integral part of the bill of lading contract.
    (3) You must clearly indicate upon each binding estimate's face the 
estimate is binding upon you and the individual shipper. Each binding 
estimate must also clearly indicate on its face the charges shown are 
the charges being assessed for only those services specifically 
identified in the estimate.
    (4) You must clearly describe binding estimate shipments and all 
services you are providing.
    (5) If it appears an individual shipper has tendered additional 
household goods or requires additional services not identified in the 
binding estimate, you are not required to honor the estimate. If an 
agreement cannot be reached as to the price or service requirements for 
the additional goods or services, you are not required to service the 
shipment. However, if you do service the shipment, before loading

[[Page 838]]

the shipment, you must do one of the following three things:
    (i) Reaffirm your binding estimate.
    (ii) Negotiate a revised written binding estimate listing the 
additional household goods or services.
    (iii) Agree with the individual shipper, in writing, that both of 
you will consider the original binding estimate as a non-binding 
estimate subject to Sec. 375.405.
    (6) Once you load a shipment, failure to execute a new binding 
estimate or a non-binding estimate signifies you have reaffirmed the 
original binding estimate. You may not collect more than the amount of 
the original binding estimate.
    (7) If you believe additional services are necessary to properly 
service a shipment after the household goods are in-transit, you must 
inform the individual shipper what the additional services are before 
performing those services. You must allow the shipper at least one hour 
to determine whether he/she wants the additional services performed. If 
the individual shipper agrees to pay for the additional services, you 
must execute a written attachment to be made an integral part of the 
bill of lading contract and have the individual shipper sign the written 
attachment. This may be done through fax transmissions. You must bill 
the individual shipper for the additional services after 30 days after 
delivery. If the shipper does not agree to pay the additional services 
performed by the carrier after the shipment is picked up, the carrier 
should perform the additional services as required to complete the 
delivery and bill the individual shipper for the additional services 
after 30 days after delivery.
    (8) If the individual shipper requests additional services after the 
household goods are in-transit, you must inform the individual shipper 
additional charges will be billed. You must require full payment at 
destination of the original binding estimate only. You must bill for the 
payment of the balance of any remaining charges after 30 days after 
delivery. For example, if your binding estimate to an individual shipper 
estimated total charges at delivery as $1,000, but your actual charges 
at destination are $1,500, you must deliver the shipment upon payment of 
$1,000. You then must issue freight or expense bills after 30 days after 
delivery for the remaining $500.
    (9) Failure to relinquish possession of a shipment upon an 
individual shipper's offer to pay the binding estimate amount 
constitutes a failure to transport a shipment with ``reasonable 
dispatch'' and subjects you to cargo delay claims pursuant to part 370 
of this chapter.
    (b) If you do not provide a binding estimate to an individual 
shipper, you must provide a non-binding estimate to the individual 
shipper in accordance with Sec. 375.405.
    (c) You must retain a copy of the binding estimate for each move you 
perform for at least one year from the date you made the estimate and 
keep it as an attachment to be made an integral part of the bill of 
lading contract.



Sec. 375.405  How must I provide a non-binding estimate?

    (a) If you do not provide a binding estimate to an individual 
shipper in accordance with Sec. 375.403, you must provide a non-binding 
written estimate to the individual shipper.
    (b) If you provide a non-binding estimate to an individual shipper, 
you must provide your reasonably accurate estimate of the approximate 
costs the individual shipper should expect to pay for the transportation 
and services of the shipment. You must comply with the following ten 
requirements:
    (1) You must provide reasonably accurate non-binding estimates based 
upon the estimated weight or volume of the shipment and services 
required. If you provide a shipper with an estimate based on volume that 
will later be converted to a weight-based rate, you must provide the 
shipper an explanation in writing of the formula used to calculate the 
conversion to weight.
    (2) You must explain to the individual shipper final charges 
calculated for shipments moved on non-binding estimates will be those 
appearing in your tariffs applicable to the transportation. You must 
explain to the individual shipper these final charges may exceed the 
approximate costs appearing in your estimate.

[[Page 839]]

    (3) You must furnish non-binding estimates without charge and in 
writing to the individual shipper or other person responsible for 
payment of the freight charges.
    (4) You must retain a copy of each non-binding estimate as an 
attachment to be made an integral part of the bill of lading contract.
    (5) You must clearly indicate on the face of a non-binding estimate, 
the estimate is not binding upon you and the charges shown are the 
approximate charges to be assessed for the services identified in the 
estimate. The estimate must clearly state that the shipper may not be 
required to pay more than 110 percent of the non-binding estimate at the 
time of delivery.
    (6) You must clearly describe on the face of a non-binding estimate 
the entire shipment and all services you are providing.
    (7) If it appears an individual shipper has tendered additional 
household goods or requires additional services not identified in the 
non-binding estimate, you are not required to honor the estimate. If an 
agreement cannot be reached as to the price or service requirements for 
the additional goods or services, you are not required to service the 
shipment. However, if you do service the shipment, before loading the 
shipment, you must do one of the following two things:
    (i) Reaffirm your non-binding estimate.
    (ii) Negotiate a revised written non-binding estimate listing the 
additional household goods or services.
    (8) Once you load a shipment, failure to execute a new non-binding 
estimate signifies you have reaffirmed the original non-binding 
estimate. You may not collect more than 110 percent of the amount of the 
original non-binding estimate at destination.
    (9) If you believe additional services are necessary to properly 
service a shipment after the household goods are in-transit, you must 
inform the individual shipper what the additional services are before 
performing those services. You must allow the shipper at least one hour 
to determine whether he/she wants the additional services performed. If 
the individual shipper agrees to pay for the additional services, you 
must execute a written attachment to be made an integral part of the 
bill of lading contract and have the individual shipper sign the written 
attachment. This may be done through fax transmissions. You must bill 
the individual shipper for the additional services after 30 days after 
delivery. If the shipper does not agree to pay the additional services 
performed by the carrier after the shipment is picked up, the carrier 
should perform the additional services as required to complete the 
delivery and bill the individual shipper for the additional services 
after 30 days after delivery.
    (10) If the individual shipper requests additional services after 
the household goods are in-transit, you must inform the individual 
shipper additional charges will be billed. You may require full payment 
at destination of no more than 110 percent of the original non-binding 
estimate. You must bill for the payment of the balance of any remaining 
charges after 30 days after delivery. For example, if your non-binding 
estimate to an individual shipper estimated total charges at delivery as 
$1,000, but your actual charges at destination are $1,500, you must 
deliver the shipment upon payment of $1,100 (110 percent of the 
estimated charges) and forego demanding immediate payment of the 
balance. You then must issue a freight or expense bill for the remaining 
$400 after the 30-day period expires.
    (c) If you furnish a non-binding estimate, you must enter the 
estimated charges upon the order for service and upon the bill of 
lading.
    (d) You must retain a copy of the non-binding estimate for each move 
you perform for at least one year from the date you made the estimate 
and keep it as an attachment to be made an integral part of the bill of 
lading contract.



Sec. 375.407  Under what circumstances must I relinquish possession of a collect-on-delivery shipment transported under a non-binding estimate?

    (a) If an individual shipper pays you at least 110 percent of the 
approximate costs of a non-binding estimate on a collect-on-delivery 
shipment, you must relinquish possession of the shipment

[[Page 840]]

at the time of delivery. You must accept the form of payment agreed to 
at the time of estimate, unless the shipper agrees in writing to a 
change in the form of payment.
    (b) Failure to relinquish possession of a shipment upon an 
individual shipper's offer to pay 110 percent of the estimated charges 
constitutes a failure to transport the shipment with ``reasonable 
dispatch'' and subjects you to cargo delay claims pursuant to part 370 
of this chapter.
    (c) You must defer billing for the payment of the balance of any 
remaining charges for a period of 30 days following the date of 
delivery. After this 30-day period, you may demand payment of the 
balance of any remaining charges, as explained in Sec. 375.405.



Sec. 375.409  May household goods brokers provide estimates?

    A household goods broker must not provide an individual shipper with 
an estimate of charges for the transportation of household goods unless 
there is a written agreement between the broker and you, the carrier, 
adopting the broker's estimate as your own estimate. If you make such an 
agreement with a broker, you must ensure compliance with all 
requirements of this part pertaining to estimates, including the 
requirement that you must relinquish possession of the shipment if the 
shipper pays you 110 percent of a non-binding estimate at the time of 
delivery.



           Subpart E--Pick Up of Shipments of Household Goods

                             Before Loading



Sec. 375.501  Must I write up an order for service?

    (a) Before you receive a shipment of household goods you will move 
for an individual shipper, you must prepare an order for service. The 
order for service must contain the information described in the 
following 15 items:
    (1) Your name and address and the FMCSA U.S. DOT number assigned to 
the mover who is responsible for performing the service.
    (2) The individual shipper's name, address and, if available, its 
telephone number(s).
    (3) The name, address, and telephone number of the delivering 
mover's office or agent located at or nearest to the destination of the 
shipment.
    (4) A telephone number where the individual shipper/consignee may 
contact you or your designated agent.
    (5) One of the following three entries must be on the order for 
service:
    (i) The agreed pickup date and agreed delivery date of the move.
    (ii) The agreed period(s) of the entire move.
    (iii) If you are transporting the shipment on a guaranteed service 
basis, the guaranteed dates or periods for pickup, transportation, and 
delivery. You must enter any penalty or per diem requirements upon the 
agreement under this item.
    (6) The names and addresses of any other motor carriers, when known, 
who will participate in interline transportation of the shipment.
    (7) The form of payment you and your agents will honor at delivery. 
The payment information must be the same that was entered on the 
estimate.
    (8) The terms and conditions for payment of the total charges, 
including notice of any minimum charges.
    (9) The maximum amount you will demand at the time of delivery to 
obtain possession of the shipment, when you transport on a collect-on-
delivery basis.
    (10) The Surface Transportation Board's required released rates 
valuation statement, and the charges, if any, for optional valuation 
coverage. The released rates may be increased annually by the carrier 
based on the Department of Commerce's Cost of Living Adjustment.
    (11) A complete description of any special or accessorial services 
ordered and minimum weight or volume charges applicable to the shipment, 
subject to the following two conditions:
    (i) If you provide service for individual shippers on rates based 
upon the transportation of a minimum weight or volume, you must indicate 
on the order for service the minimum weight- or volume-based rates, and 
the minimum charges applicable to the shipment.
    (ii) If you do not indicate the minimum rates and charges, your 
tariff

[[Page 841]]

must provide you will compute the final charges relating to such a 
shipment based upon the actual weight or volume of the shipment.
    (12) Any identification or registration number you assign to the 
shipment.
    (13) For non-binding estimates, your reasonably accurate estimate of 
the amount of the charges, the method of payment of total charges, and 
the maximum amount (no more than 110 percent of the non-binding 
estimate) you will demand at the time of delivery to relinquish 
possession of the shipment.
    (14) For binding estimates, the amount of charges you will demand 
based upon the binding estimate and the terms of payment under this 
estimate.
    (15) Whether the individual shipper requests notification of the 
charges before delivery. The individual shipper must provide you with 
the telephone number(s) or address(es) where you will transmit the 
notification.
    (b) You, your agent, or your driver must inform the individual 
shipper if you reasonably expect a special or accessorial service is 
necessary to safely transport a shipment. You must refuse to accept the 
shipment when you reasonably expect a special or accessorial service is 
necessary to safely transport a shipment and the individual shipper 
refuses to purchase the special or accessorial service. You must make a 
written note if the shipper refuses any special or accessorial services 
that you reasonably expect to be necessary.
    (c) You and the individual shipper must sign the order for service. 
You must provide a dated copy of the order for service to the individual 
shipper at the time you sign the order.
    (d)(1) You may provide the individual shipper with blank or 
incomplete estimates, orders for service, bills of lading, or any other 
blank or incomplete documents pertaining to the move.
    (2) You are forbidden from requiring the individual shipper to sign 
any blank or incomplete estimates, orders for service, bills of lading, 
or any other blank or incomplete documents pertaining to the move.
    (e) You must provide the individual shipper the opportunity to 
rescind the order for service without any penalty for a three-day period 
after the shipper signs the order for service, if the shipper scheduled 
the shipment to be loaded more than three days after signing the order.
    (f) Before loading the shipment, and upon mutual agreement of both 
you and the individual shipper, you may amend an order for service.
    (g) You must retain a copy of the order for service for each move 
you perform for at least one year from the date you made the order for 
service and keep it as an attachment to be made an integral part of the 
bill of lading contract.



Sec. 375.503  Must I write up an inventory?

    (a) You must prepare a written, itemized inventory for each shipment 
of household goods you transport for an individual shipper. The 
inventory must identify every carton and every uncartoned item that is 
included in the shipment. When you prepare the inventory, an 
identification number that corresponds to the inventory must be placed 
on each article that is included in the shipment.
    (b) You must prepare the inventory before the shipment is loaded in 
the vehicle for transportation in a manner that provides the individual 
shipper with the opportunity to observe and verify the accuracy of the 
inventory if he or she so requests.
    (c) You must furnish a complete copy of the inventory to the 
individual shipper before beginning to load the shipment. A copy of the 
inventory, signed by both you and the individual shipper, must be 
provided to the shipper, together with a copy of the bill of lading, 
before you begin to load the shipment.
    (d) Upon delivery, you must provide the individual shipper with the 
opportunity to observe and verify that the same articles are being 
delivered and the condition of those articles. You must also provide the 
individual shipper the opportunity to note in writing any missing 
articles and the condition of any damaged or destroyed articles. In 
addition, you must also provide the shipper with a copy of all such 
notations.
    (e) You must retain inventories for each move you perform for at 
least one

[[Page 842]]

year from the date you made the inventory and keep it as an attachment 
to be made an integral part of the bill of lading contract.



Sec. 375.505  Must I write up a bill of lading?

    (a) You must issue a bill of lading. The bill of lading must contain 
the terms and conditions of the contract. You must furnish a complete 
copy of the bill of lading to the individual shipper before beginning to 
load the shipment.
    (b) On a bill of lading, you must include the following 14 items:
    (1) Your name and address, or the name and address of the motor 
carrier issuing the bill of lading.
    (2) The names and addresses of any other motor carriers, when known, 
who will participate in transportation of the shipment.
    (3) The name, address, and telephone number of your office (or the 
office of your agent) where the individual shipper can contact you in 
relation to the transportation of the shipment.
    (4) The form of payment you and your agents will honor at delivery. 
The payment information must be the same that was entered on the 
estimate and order for service.
    (5) When you transport on a collect-on-delivery basis, the name, 
address, and if furnished, the telephone number of a person to notify 
about the charges.
    (6) For non-guaranteed service, the agreed date or period of time 
for pickup of the shipment and the agreed date or period of time for the 
delivery of the shipment. The agreed dates or periods for pickup and 
delivery entered upon the bill of lading must conform to the agreed 
dates or periods of time for pickup and delivery entered upon the order 
for service or a proper amendment to the order for service.
    (7) For guaranteed service, subject to tariff provisions, the dates 
for pickup and delivery, and any penalty or per diem entitlements due 
the individual shipper under the agreement.
    (8) The actual date of pickup.
    (9) The company or carrier identification number of the vehicle(s) 
upon which you load the individual shipper's shipment.
    (10) The terms and conditions for payment of the total charges, 
including notice of any minimum charges.
    (11) The maximum amount you will demand at the time of delivery to 
obtain possession of the shipment, when you transport under a collect-
on-delivery basis.
    (12) The Surface Transportation Board's required released rates 
valuation statement, and the charges, if any, for optional valuation 
coverage. The released rates may be increased annually by the carrier 
based on the Department of Commerce's Cost of Living Adjustment.
    (13) Evidence of any insurance coverage sold to or procured for the 
individual shipper from an independent insurer, including the amount of 
the premium for such insurance.
    (14) Each attachment to the bill of lading. Each attachment is an 
integral part of the bill of lading contract. The following three items 
must be added as an attachment to the bill of lading.
    (i) The binding or non-binding estimate.
    (ii) The order for service.
    (iii) The inventory.
    (c) A copy of the bill of lading must accompany a shipment at all 
times while in your (or your agent's) possession. When you load the 
shipment upon a vehicle for transportation, the bill of lading must be 
in the possession of the driver responsible for the shipment.
    (d) You must retain bills of lading for each move you perform for at 
least one year from the date you created the bill of lading.

                          Weighing the Shipment



Sec. 375.507  Must I determine the weight of a shipment?

    (a) When you transport household goods on a non-binding estimate 
dependent upon the shipment weight, you must determine the weight of 
each shipment transported before the assessment of any charges.
    (b) You must weigh the shipment upon a certified scale.
    (c) You must provide a written explanation of volume to weight 
conversions, when you provide an estimate by volume and convert the 
volume to weight.

[[Page 843]]



Sec. 375.509  How must I determine the weight of a shipment?

    (a) You must weigh the shipment by using one of the following two 
methods:
    (1) First method--origin weigh. You determine the difference between 
the tare weight of the vehicle before loading at the origin of the 
shipment and the gross weight of the same vehicle after loading the 
shipment.
    (2) Second method--back weigh. You determine the difference between 
the gross weight of the vehicle with the shipment loaded and the tare 
weight of the same vehicle after you unload the shipment.
    (b) The following three conditions must exist for both the tare and 
gross weighings:
    (1) The vehicle must have installed or loaded all pads, dollies, 
hand trucks, ramps, and other equipment required in the transportation 
of the shipment.
    (2) The driver and other persons must be off the vehicle at the time 
of either weighing.
    (3) The fuel tanks on the vehicle must be full at the time of each 
weighing, or, in the alternative, when you use the first method--origin 
weigh, in paragraph (a)(1) of this section, where the tare weighing is 
the first weighing performed, you must refrain from adding fuel between 
the two weighings.
    (c) You may detach the trailer of a tractor-trailer vehicle 
combination from the tractor and have the trailer weighed separately at 
each weighing provided the length of the scale platform is adequate to 
accommodate and support the entire trailer at one time.
    (d) You must use the net weight of shipments transported in 
containers. You must calculate the difference between the tare weight of 
the container (including all pads, blocking and bracing used in the 
transportation of the shipment) and the gross weight of the container 
with the shipment loaded in the container.



Sec. 375.511  May I use an alternative method for shipments weighing 3,000 pounds or less?

    For shipments weighing 3,000 pounds or less (1,362 kilograms or 
less), you may weigh the shipment upon a platform or warehouse certified 
scale before loading for transportation or after unloading.



Sec. 375.513  Must I give the individual shipper an opportunity to observe the weighing?

    You must give the individual shipper or any other person responsible 
for the payment of the freight charges the right to observe all 
weighings of the shipment. You must advise the individual shipper, or 
any other person entitled to observe the weighings, where and when each 
weighing will occur. You must give the person who will observe the 
weighings a reasonable opportunity to be present to observe the 
weighings.



Sec. 375.515  May an individual shipper waive his/her right to observe each weighing?

    (a) If an individual shipper elects not to observe a weighing, the 
shipper is presumed to have waived that right.
    (b) If an individual shipper elects not to observe a re-weighing, 
the shipper must waive that right in writing. The individual shipper may 
send the writing via fax, e-mail, or any other electronic means.
    (c) Waiver of the right to observe a weighing or re-weighing does 
not affect any other rights of the individual shipper under this part or 
otherwise.



Sec. 375.517  May an individual shipper demand re-weighing?

    After you inform the individual shipper of the billing weight and 
total charges and before actually beginning to unload a shipment weighed 
at origin (first method under Sec. 375.509(a)(1)), the individual 
shipper may demand a re-weigh. You must base your freight bill charges 
upon the re-weigh weight.



Sec. 375.519  Must I obtain weight tickets?

    (a) You must obtain weight tickets whenever we require you to weigh 
the shipment in accordance with this subpart. You must obtain a separate 
weight ticket for each weighing. The weigh master must sign each weight 
ticket. Each weight ticket must contain the following six items:
    (1) The complete name and location of the scale.
    (2) The date of each weighing.

[[Page 844]]

    (3) The identification of the weight entries as being the tare, 
gross, or net weights.
    (4) The company or carrier identification of the vehicle.
    (5) The last name of the individual shipper as it appears on the 
bill of lading.
    (6) The carrier's shipment registration or bill of lading number.
    (b) When both weighings are performed on the same scale, one weight 
ticket may be used to record both weighings.
    (c) As part of the file on the shipment, you must retain the 
original weight ticket or tickets relating to the determination of the 
weight of a shipment.
    (d) All freight bills you present to an individual shipper must 
include true copies of all weight tickets obtained in the determination 
of the shipment weight in order to collect any shipment charges 
dependent upon the weight transported.



Sec. 375.521  What must I do if an individual shipper wants to know the actual weight or charges for a shipment before I tender delivery?

    (a) You must comply with a request of an individual shipper of a 
shipment being transported on a collect-on-delivery basis who 
specifically requests notification of the actual weight or volume and 
charges on a shipment. This requirement is conditioned upon the 
individual shipper supplying you with an address or telephone number 
where the individual shipper will receive the communication. You must 
make your notification by telephone, telegram, or in person.
    (b) The individual shipper must receive your notification at least 
one full 24-hour day before any tender of the shipment for delivery, 
excluding Saturdays, Sundays and Federal holidays.
    (c) You may disregard the 24-hour notification requirement on 
shipments in any one of the following three circumstances:
    (1) The shipment will be back weighed (i.e., weighed at 
destination).
    (2) Pickup and delivery encompass two consecutive weekdays, if the 
individual shipper agrees.
    (3) The shipment is moving under a non-binding estimate and the 
maximum payment required at time of delivery is 110 percent of the 
estimated charges, but only if the individual shipper agrees to waive 
the 24-hour notification requirement.



                 Subpart F--Transportation of Shipments



Sec. 375.601  Must I transport the shipment in a timely manner?

    Yes. Transportation in a timely manner is also known as ``reasonable 
dispatch service.'' You must provide reasonable dispatch service to all 
individual shippers, except for transportation on the basis of 
guaranteed pickup and delivery dates.



Sec. 375.603  When must I tender a shipment for delivery?

    You must tender a shipment for delivery for an individual shipper on 
the agreed delivery date or within the period specified on the bill of 
lading. Upon the request or concurrence of the individual shipper, you 
may waive this requirement.



Sec. 375.605  How must I notify an individual shipper of any service delays?

    (a) When you are unable to perform either the pickup or delivery of 
a shipment on the dates or during the periods specified in the order for 
service and as soon as the delay becomes apparent to you, you must 
notify the individual shipper of the delay, at your expense, in one of 
the following three ways:
    (1) By telephone.
    (2) By telegram.
    (3) In person.
    (b) You must advise the individual shipper of the dates or periods 
you expect to be able to pick up and/or deliver the shipment. You must 
consider the needs of the individual shipper in your advisement. You 
also must do the following four things:
    (1) You must prepare a written record of the date, time, and manner 
of notification.
    (2) You must prepare a written record of your amended date or period 
for pick-up or delivery.
    (3) You must retain these records as a part of your file on the 
shipment. The

[[Page 845]]

retention period is one year from the date of notification.
    (4) You must furnish a copy of the notice to the individual shipper 
by first class mail or in person if the individual shipper requests a 
copy of the notice.



Sec. 375.607  What must I do if I am able to tender a shipment for final delivery more than 24 hours before a specified date?

    (a) You may ask the individual shipper to accept an early delivery 
date. If the individual shipper does not concur with your request or the 
individual shipper does not request an early delivery date, you may, at 
your discretion, place a shipment in storage under your own account and 
at your own expense in a warehouse located near the destination of the 
shipment. If you place the shipment in storage, you must comply with 
paragraph (b) of this section. You may comply with paragraph (c) of this 
section, at your discretion.
    (b) You must immediately notify the individual shipper of the name 
and address of the warehouse where you place the shipment. You must make 
and keep a record of your notification as a part of your shipment 
records. You have responsibility for the shipment under the terms and 
conditions of the bill of lading. You are responsible for the charges 
for redelivery, handling, and storage until you make final delivery.
    (c) You may limit your responsibility under paragraph (b) of this 
section up to the agreed delivery date or the first day of the period of 
time of delivery as specified in the bill of lading.



Sec. 375.609  What must I do for shippers who store household goods in transit?

    (a) If you are holding goods for storage-in-transit (SIT) and the 
period of time is about to expire, you must comply with this section.
    (b) You must notify the individual shipper, in writing of the 
following four items:
    (1) The date of conversion to permanent storage.
    (2) The existence of a nine-month period after the date of 
conversion to permanent storage when the individual shipper may file 
claims against you for loss or damage occurring to the goods in transit 
or during the storage-in-transit period.
    (3) The fact your liability is ending.
    (4) The fact the individual shipper's property will be subject to 
the rules, regulations, and charges of the warehouseman.
    (c) You must make this notification at least 10 days before the 
expiration date of either one of the following two periods:
    (1) The specified period of time when the goods are to be held in 
storage.
    (2) The maximum period of time provided in your tariff for storage-
in-transit.
    (d) You must notify the individual shipper by facsimile 
transmission, overnight courier, e-mail, or certified mail, return 
receipt requested.
    (e) If you are holding household goods in storage-in-transit for a 
period of time less than 10 days, you must give notification to the 
individual shipper of the information specified in paragraph (b) of this 
section one day before the expiration date of the specified time when 
the goods are to be held in such storage.
    (f) You must maintain a record of notifications as part of the 
records of the shipment.
    (g) Your failure or refusal to notify the individual shipper will 
automatically effect a continuance of your carrier liability according 
to the applicable tariff provisions with respect to storage-in-transit, 
until the end of the day following the date when you actually gave 
notice.



                    Subpart G--Delivery of Shipments



Sec. 375.701  May I provide for a release of liability on my delivery receipt?

    (a) Your delivery receipt or shipping document must not contain any 
language purporting to release or discharge you or your agents from 
liability.
    (b) The delivery receipt may include a statement the property was 
received in apparent good condition except as noted on the shipping 
documents.

[[Page 846]]



Sec. 375.703  What is the maximum collect-on-delivery amount I may demand at the time of delivery?

    (a) On a binding estimate, the maximum amount is the exact estimate 
of the charges.
    (b) On a non-binding estimate, the maximum amount is 110 percent of 
the non-binding estimate of the charges.



Sec. 375.705  If a shipment is transported on more than one vehicle, what charges may I collect at delivery?

    (a) At your discretion, you may do one of the following three 
things:
    (1) You may defer the collection of all charges until you deliver 
the entire shipment.
    (2) If you have determined the charges for the entire shipment, you 
may collect charges for the portion of the shipment tendered for 
delivery. You must determine the percentage of the charges for the 
entire shipment represented by the portion of the shipment tendered for 
delivery.
    (3) If you cannot reasonably calculate the charges for the entire 
shipment, you must determine the charges for the portion of the shipment 
being delivered. You must collect this amount. The total charges you 
assess for the transportation of the separate portions of the shipment 
must not be more than the charges due for the entire shipment.
    (b) In the event of the loss or destruction of any part of a 
shipment transported on more than one vehicle, you must collect the 
charges as provided in Sec. 375.707.



Sec. 375.707  If a shipment is partially lost or destroyed, what charges may I collect at delivery?

    (a) If a shipment is partially lost or destroyed, you may first 
collect your freight charges for the entire shipment, if you choose. If 
you do this, you must refund the portion of your published freight 
charges corresponding to the portion of the lost or destroyed shipment 
(including any charges for accessorial or terminal services), at the 
time you dispose of claims for loss, damage, or injury to the articles 
in the shipment under part 370 of this chapter.
    (b) To calculate the amount of charges applicable to the shipment as 
delivered, you must multiply the percentage corresponding to the 
delivered shipment by the total charges applicable to the shipment 
tendered by the individual shipper. The following four conditions also 
apply:
    (1) If the charges computed exceed the charges otherwise applicable 
to the shipment as delivered, the lesser of those charges must apply. 
This will apply only to the transportation of household goods and not to 
charges for other services the individual shipper ordered.
    (2) You must collect any specific valuation charge due.
    (3) You may disregard paragraph (a) of this section if loss or 
destruction was due to an act or omission of the individual shipper.
    (4) You must determine, at your own expense, the proportion of the 
shipment, based on actual or constructive weight, not lost or destroyed 
in transit.
    (c) The individual shipper's rights are in addition to, and not in 
lieu of, any other rights the individual shipper may have with respect 
to a shipment of household goods you or your agent(s) partially lost or 
destroyed in transit. This applies whether or not the individual shipper 
exercises its rights provided in paragraph (a) of this section.



Sec. 375.709  If a shipment is totally lost or destroyed, what charges may I collect at delivery?

    (a) You are forbidden from collecting, or requiring an individual 
shipper to pay, any freight charges (including any charges for 
accessorial or terminal services) when a household goods shipment is 
totally lost or destroyed in transit. The following two conditions also 
apply:
    (1) You must collect any specific valuation charge due.
    (2) You may disregard paragraph (a) of this section if loss or 
destruction was due to an act or omission of the individual shipper.
    (b) The individual shipper's rights are in addition to, and not in 
lieu of, any other rights the individual shipper may have with respect 
to a shipment of household goods you or your agent(s) totally lost or 
destroyed in transit.

[[Page 847]]

This applies whether or not the individual shipper exercises its rights 
provided in paragraph (a) of this section.



                    Subpart H--Collection of Charges



Sec. 375.801  What types of charges apply to subpart H?

    (a) This subpart applies to all shipments subject to binding 
estimates.
    (b) This subpart does not apply to collect-on-delivery shipments 
subject to the 110 percent rule for non-binding estimates. You may 
expect payment of not more than 110 percent of the estimated charges on 
a collect-on-delivery non-binding estimate at the time of delivery. You 
must bill the individual shipper for any balance due not sooner than 30 
days after delivery.



Sec. 375.803  How must I present my freight or expense bill?

    You must present your freight or expense bill in accordance with 
Sec. 377.205 of this chapter.



Sec. 375.805  If I am forced to relinquish a collect-on-delivery shipment before the payment of ALL charges, how do I collect the balance?

    On ``collect-on-delivery'' shipments, you must present your freight 
bill for all transportation charges within 15 days as required by 
Sec. 375.807.



Sec. 375.807  What actions may I take to collect the charges upon my freight bill?

    (a) You must present a freight bill within 15 days (excluding 
Saturdays, Sundays, and Federal holidays) of the date of delivery of a 
shipment at its destination.
    (b) The credit period must be seven days (including Saturdays, 
Sundays, and Federal holidays).
    (c) You must provide in your tariffs the following four things:
    (1) You must automatically extend the credit period to a total of 30 
calendar days for any shipper who has not paid your freight bill within 
the 7-day period.
    (2) You will assess a service charge to each individual shipper 
equal to one percent of the amount of the freight bill, subject to a $20 
minimum charge, for the extension of the credit period. You will assess 
the service charge for each 30-day extension the charges go unpaid.
    (3) You must deny credit to any shipper who fails to pay a duly-
presented freight bill within the 30-day period. You may grant credit to 
the individual shipper when the individual shipper satisfies he/she will 
promptly pay all future freight bills duly presented.
    (4) You must ensure all payments of freight bills are strictly in 
accordance with the rules and regulations of this part for the 
settlement of your rates and charges.



                          Subpart I--Penalties



Sec. 375.901  What penalties do we impose for violations of this part?

    The penalty provisions of 49 U.S.C. Chapter 149, Civil and Criminal 
Penalties apply to this part. These penalties do not overlap. 
Notwithstanding these civil penalties, nothing in this section shall 
deprive any holder of a receipt or a bill of lading any remedy or right 
of action under existing law.

 Appendix A to Part 375--Your Rights and Responsibilities When You Move

    You must furnish this document to prospective individual shippers as 
required by Sec. 375.213. The text as it appears in this appendix may be 
reprinted in a form and manner chosen by you, provided it complies with 
Sec. 375.213(b)(2) and (b)(3). You do not have to italicize titles of 
sections.

             YOUR RIGHTS AND RESPONSIBILITIES WHEN YOU MOVE

    OMB No. 2126-------.

           Furnished By Your Mover, As Required By Federal Law

    Authority: 49 U.S.C. 13301, 13704, 13707, and 14104; 49 CFR 1.73.

                   What is Included in This Pamphlet?

    In this pamphlet, you will find a discussion of each of these 
topics:

                     Why Was I Given This Pamphlet?

What Are The Most Important Points I Should Remember From This Pamphlet?

                     What If I Have More Questions?

                     Subpart A--General Requirements

    Who must follow the regulations?

[[Page 848]]

    What definitions are used in this pamphlet?

          Subpart B--Before Requesting Services From Any Mover

    What is my mover's normal liability for loss or damage when my mover 
accepts goods from me?
    What actions by me limit or reduce my mover's normal liability?
    What are dangerous or hazardous materials that may limit or reduce 
my mover's normal liability?
    May my mover have agents?
    What items must be in my mover's advertisements?
    How must my mover handle complaints and inquiries?
    Do I have the right to inspect my mover's tariffs (schedules of 
charges) applicable to my move?
    Must my mover have an arbitration program?
    Must my mover inform me about my rights and responsibilities under 
Federal law?
    What other information must my mover provide to me?
    How must my mover collect charges?
    May my mover collect charges upon delivery?
    May my mover extend credit to me?
    May my mover accept charge or credit cards for my payments?

                   Subpart C--Service Options Provided

    What service options may my mover provide?
    If my mover sells liability insurance coverage, what must my mover 
do?

                      Subpart D--Estimating Charges

    Must my mover estimate the transportation and accessorial charges 
for my move?
    How must my mover estimate charges under the regulations?
    What payment arrangements must my mover have in place to secure 
delivery of my household goods shipment?

           Subpart E--Pickup of My Shipment of Household Goods

    Must my mover write up an order for service?
    Must my mover write up an inventory of the shipment?
    Must my mover write up a bill of lading?
    Should I reach an agreement with my mover about pickup and delivery 
times?
    Must my mover determine the weight of my shipment?
    How must my mover determine the weight of my shipment?
    What must my mover do if I want to know the actual weight or charges 
for my shipment before delivery?

                Subpart F--Transportation of My Shipment

    Must my mover transport the shipment in a timely manner?
    What must my mover do if it is able to deliver my shipment more than 
24 hours before I am able to accept delivery?
    What must my mover do for me when I store household goods in 
transit?

                   Subpart G--Delivery of My Shipment

    May my mover ask me to sign a delivery receipt releasing it from 
liability?
    What is the maximum collect-on-delivery amount my mover may demand I 
pay at the time of delivery?
    If my shipment is transported on more than one vehicle, what charges 
may my mover collect at delivery?
    If my shipment is partially or totally lost or destroyed, what 
charges may my mover collect at delivery?
    How must my mover calculate the charges applicable to the shipment 
as delivered?

                    Subpart H--Collection of Charges

    Does this subpart apply to most shipments?
    How must my mover present its freight or expense bill to me?
    If I forced my mover to relinquish a collect-on-delivery shipment 
before the payment of ALL charges, how must my mover collect the 
balance?
    What actions may my mover take to collect from me the charges in its 
freight bill?
    Do I have a right to file a claim to recover money for property my 
mover lost or damaged?

               Subpart I--Resolving Disputes with My Mover

    What may I do to resolve disputes with my mover?

                     Why Was I Given This Pamphlet?

    The Federal Motor Carrier Safety Administration's (FMCSA) 
regulations protect consumers on interstate moves and define the rights 
and responsibilities of consumers and household goods carriers.
    The household goods carrier (mover) gave you this booklet to provide 
information about your rights and responsibilities as an individual 
shipper of household goods. Your primary responsibility is to select a 
reputable household goods carrier, ensure that you understand the terms 
and conditions of the contract, and understand and pursue the remedies 
that are available to you when problems arise. You should talk to your 
mover if you have further questions. The mover will also furnish you 
with another booklet describing its procedure for handling your 
questions and complaints. The other

[[Page 849]]

booklet will include a telephone number you can call to obtain 
additional information about your move.

What Are the Most Important Points I Should Remember From This Pamphlet?

    1. Movers must give written estimates.
    2. Movers may give binding estimates.
    3. Non-binding estimates are not always accurate; actual charges may 
exceed the estimate.
    4. You should not sign blank or incomplete documents or allow anyone 
representing you to do so.
    5. You may request from the mover the availability of guaranteed 
pick up and delivery dates.
    6. Be sure you understand the mover's responsibility for loss or 
damage, and request an explanation of the difference between valuation 
and actual insurance.
    7. You have the right to be present each time your shipment is 
weighed.
    8. You may request a re-weigh of your shipment.
    9. If you agree to move under a non-binding estimate, you should 
confirm with your mover--in writing--the method of payment at delivery 
as cash, certified check, cashier's check, money order, or credit card.
    10. Movers must offer a dispute settlement program as an alternative 
means of settling loss or damage claims. ASK YOUR MOVER FOR DETAILS.
    11. You should ask the person you speak to whether he/she works for 
the actual mover or a household goods broker. A household goods broker 
only arranges for the transportation. A household goods broker must not 
represent itself as a mover. A household goods broker does not own 
trucks of its own. The broker is required to find an authorized mover to 
provide the transportation. You should know a household goods broker 
generally has no authority to provide you an estimate on behalf of a 
specific mover. If a household goods broker provides you an estimate, it 
may not be binding on the actual mover and you may have to pay the 
actual charges the mover incurs. A household goods broker is not 
responsible for loss or damage.
    12. You may request complaint information about movers from the 
Federal Motor Carrier Safety Administration under the Freedom of 
Information Act. You may be assessed a fee to obtain this information. 
See 49 CFR part 7 for the schedule of fees.
    13. You should seek estimates from at least three different movers. 
You should not disclose any information to the different movers about 
their competitors, as it may affect the accuracy of their estimates.

                     What If I Have More Questions?

    If this pamphlet does not answer all of your questions about your 
move, do not hesitate to ask your mover's representative who handled the 
arrangements for your move, the driver who transports your shipment, or 
the mover's main office for additional information.

                     Subpart A--General Requirements

    The primary responsibility for your protection lies with you in 
selecting a reputable household goods carrier, ensuring you understand 
the terms and conditions of your contract with your mover, and 
understanding and pursuing the remedies that are available to you when 
problems arise.

                    Who Must Follow the Regulations?

    The regulations inform motor carriers engaged in the interstate 
transportation of household goods (movers) what standards the movers 
must follow when offering services to you. You, an individual shipper, 
are not directly subject to the regulations. However, your mover may be 
required by the regulations to force you to pay on time. The regulations 
only apply to your mover when the mover transports your household goods 
by motor vehicle in interstate commerce, i.e., when you are moving from 
one State to another. The regulations do not apply when your interstate 
move takes place within a single commercial zone. A commercial zone is 
roughly equivalent to the local metropolitan area of a city or town. For 
example, a move between Brooklyn, NY, and Hackensack, NJ, would be 
considered to be within the New York City commercial zone and would not 
be subject to these regulations. Commercial zones are defined in 49 CFR 
part 372.

               What Definitions Are Used in This Pamphlet?

    Accessorial (additional) services--These are services such as 
packing, appliance servicing, unpacking, or piano stair carries you 
request to be performed (or are necessary because of landlord 
requirements or other special circumstances). Charges for these services 
are in addition to the transportation charges.
    Advanced charges--These are charges for services not performed by 
the mover, but by someone else. A professional, craftsman, or other 
third party may perform these services at your request. The mover pays 
for these services and adds the charges to your bill of lading charges.
    Advertisement--This is any communication to the public in connection 
with an offer or sale of any interstate household goods transportation 
service. This will include written or electronic database listings of 
your mover's name, address, and telephone number in an on-line database. 
This excludes listings of your mover's name, address, and telephone 
number in a telephone directory or similar

[[Page 850]]

publication. However, Yellow Pages advertising is included within the 
definition.
    Agent--A local moving company authorized to act on behalf of a 
larger, national company.
    Appliance service--The preparation of major electrical appliances to 
make them safe for shipment. Charges for these services are in addition 
to the transportation charges.
    Bill of lading--The receipt for your goods and the contract for its 
transportation.
    Carrier--The mover transporting your household goods.
    Cash on delivery (COD)--This means payment is required at the time 
of delivery at the destination residence (or warehouse).
    Certified scale--Any scale designed for weighing motor vehicles, 
including trailers or semi-trailers not attached to a tractor, and 
certified by an authorized scale inspection and licensing authority. A 
certified scale may also be a platform or warehouse type scale properly 
inspected and certified.
    Estimate, binding--This is an agreement made in advance with your 
mover. It guarantees the total cost of the move based upon the 
quantities and services shown on the estimate.
    Estimate, non-binding--This is what your mover believes the cost 
will be based upon the estimated weight of the shipment and the 
accessorial services requested. A non-binding estimate is not binding on 
the mover. The final charges will be based upon the actual weight of 
your shipment, the services provided, and the tariff provisions in 
effect.
    Expedited service--This is an agreement with the mover to perform 
transportation by a set date in exchange for charges based upon a higher 
minimum weight.
    Flight charge--An extra charge for carrying items up or down flights 
of stairs.
    Guaranteed pickup and delivery service--An additional level of 
service featuring guaranteed dates of service. Your mover will provide 
reimbursement to you for delays. This premium service is often subject 
to minimum weight requirements.
    High value article--These are items included in a shipment valued at 
more than $100 per pound ($220 per kilogram).
    Household goods as used in connection with transportation, means the 
personal effects or property used, or to be used, in a dwelling, when 
part of the equipment or supplies of the dwelling. Transportation of the 
household goods must be arranged and paid for by you or by another 
individual on your behalf. This may include items moving from a factory 
or store when you purchase them to use in your dwelling. You must 
request that these items be transported and you (or another individual 
on your behalf) must pay the transportation charges to the mover.
    Inventory--The detailed descriptive list of your household goods 
showing the number and condition of each item.
    Linehaul charges--The charges for the vehicle transportation portion 
of your move. These charges apply in addition to the accessorial service 
charges.
    Long carry--An added charge for carrying articles excessive 
distances between the mover's vehicle and your residence.
    May--An option. You or your mover may do something, but it is not a 
requirement.
    Mover--A motor carrier engaged in the transportation of household 
goods and its household goods agents.
    Must--A legal obligation. You or your mover must do something.
    Order for service--The document authorizing the mover to transport 
your household goods.
    Order (bill of lading) number--The number used to identify and track 
your shipment.
    Peak season rates--Higher linehaul charges applicable during the 
summer months.
    Pickup and delivery charges--Separate transportation charges 
applicable for transporting your shipment between the storage-in-transit 
warehouse and your residence.
    Reasonable dispatch--The performance of transportation on the dates, 
or during the period of time, agreed upon by you and your mover and 
shown on the Order For Service/Bill of Lading. For example, if your 
mover deliberately withholds any shipment from delivery after you offer 
to pay the binding estimate or 110 percent of a non-binding estimate, 
your mover has not transported the goods with reasonable dispatch. The 
term ``reasonable dispatch'' excludes transportation provided under your 
mover's tariff provisions requiring guaranteed service dates. Your mover 
will have the defenses of force majeure, i.e., that the contract cannot 
be performed due to causes which are outside the control of the parties 
and could not be avoided by exercise of due care.
    Should--A recommendation. We recommend you or your mover do 
something, but it is not a requirement.
    Shuttle service--The use of a smaller vehicle to provide service to 
residences not accessible to the mover's normal linehaul vehicles.
    Storage-in-transit (SIT)--The temporary warehouse storage of your 
shipment pending further transportation. For example, you may need SIT 
if your new home is not quite ready to occupy. You must specifically 
request SIT service. This may not exceed a total of 180 days of storage. 
You will be responsible for the added charges for SIT service, as well 
as the warehouse handling and final delivery charges.
    Surface Transportation Board--An agency within the Department of 
Transportation that regulates household good carrier tariffs among other 
responsibilities. The Surface

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Transportation Board's address is 1925 K Street NW., Washington, DC 
20423-0001 Tele. 202-565-1674.
    Tariff--An issuance (in whole or in part) containing rates, rules, 
regulations, classifications or other provisions. The Surface 
Transportation Board requires a tariff contain three specific items. 
First, an accurate description of the services the mover offers to the 
public. Second, the specific applicable rates (or the basis for 
calculating the specific applicable rates) and service terms for 
services offered to the public. Finally, the mover's tariff must be 
arranged in a way that allows you to determine the exact rate(s) and 
service terms applicable to your shipment.
    Valuation--The degree of ``worth'' of the shipment. The valuation 
charge compensates the mover for assuming a greater degree of liability 
than is provided for in its base transportation charges.
    Warehouse handling--An additional charge applicable each time SIT 
service is provided. This charge compensates the mover for the physical 
placement and removal of items within the warehouse.
    We, Us, and Our--The Federal Motor Carrier Safety Administration 
(FMCSA).
    You and Your--You are an individual shipper of household goods. You 
are a consignor or consignee of a household goods shipment and your 
mover identifies you as such in the bill of lading contract. You own the 
goods being transported and you pay the transportation charges to the 
mover.
    Where may other terms used in this pamphlet be defined? You may find 
other terms used in this pamphlet defined in 49 U.S.C. 13102. The 
statute controls the definitions in this pamphlet. If terms are used in 
this pamphlet and the terms are neither defined here nor in 49 U.S.C. 
13102, the terms will have the ordinary practical meaning of such terms.

          Subpart B--Before requesting services from any mover

  What Is My Mover's Normal Liability for Loss or Damage When My Mover 
                         Accepts Goods From Me?

    In general, your mover is legally liable for loss or damage if it 
happens during performance of any transportation of household goods and 
all related services identified on your mover's lawful bill of lading.
    Your mover is liable for loss of, or damage to, any household goods 
to the extent provided in the current Surface Transportation Board's 
Released Rates Order. You may obtain a copy of the current Released 
Rates Order by contacting the Surface Transportation Board at the 
address in the definition of the Surface Transportation Board. The rate 
may be increased annually by your mover based on the Department of 
Commerce's Cost of Living Adjustment. Your mover may have additional 
liability if your mover sells liability insurance to you.
    All moving companies are required to assume liability for the value 
of the goods transported. However, there are different levels of 
liability, and you should be aware of the amount of protection provided 
and the charges for each option.
    Basically, most movers offer two different levels of liability 
(options 1 and two, below) under the terms of their tariffs and the 
Surface Transportation Board's Released Rates Orders. These orders 
govern the moving industry.

                        Option 1: Released Value

    This is the most economical protection option available. This no-
additional cost option provides minimal protection. Under this option, 
the mover assumes liability for no more than 60 cents per pound ($1.32 
cents per kilogram), per article. Loss or damage claims are settled 
based upon the pound (kilogram) weight of the article multiplied by 60 
cents per pound ($1.32 cents per kilogram). For example, if your mover 
lost or destroyed a 10-pound (4.54-kilogram) stereo component valued at 
$1000, your mover would be liable for no more than $6.00. Obviously, you 
should think carefully before agreeing to such an arrangement. There is 
no extra charge for this minimal protection, but you must sign a 
specific statement on the bill of lading agreeing to it.

                  Option 2: Full Value Protection (FVP)

    Under this option, the mover is liable for the replacement value of 
lost or damaged goods (as long as it doesn't exceed the total declared 
value of the shipment). If you elect to purchase full value protection, 
when your mover loses, damages or destroys your articles, your mover 
must repair, replace with like items, or settle in cash at the current 
market replacement value, regardless of the age of the lost or damaged 
item. The minimum declared value of a shipment under this option is 
$5,000 or $4.00 times the actual total weight (in pounds) of the 
shipment, whichever is greater. For example, the minimum declared value 
for a 4,000-pound (1,814.4-kilogram) shipment would be $16,000. Your 
mover may offer you FVP with a $250 or $500 deductible, or with no 
deductible at all. The amount of the deductible will affect the cost of 
your FVP coverage. The $4.00 per pound minimum valuation rate may be 
increased annually by your mover based on changes in the household 
furnishings element of the Consumer Price Index established by the U.S. 
Department of Labor's Bureau of Labor Statistics.
    Unless you specifically agree to other arrangements, the mover must 
assume liability for the entire shipment based upon this option. The 
approximate cost for FVP is

[[Page 852]]

$8.50 for each $1000 of declared value; however, it may vary by mover. 
In the example above, the valuation charge for a shipment valued at 
$16,000 would be $136.00. This fee may be adjusted annually by your 
mover based on changes in the household furnishings element of the 
Consumer Price Index.
    Under these two options, movers are permitted to limit their 
liability for loss or damage to articles of extraordinary value, unless 
you specifically list these articles on the shipping documents. An 
article of extraordinary value is any item whose value exceeds $100 per 
pound ($220 per kilogram). Ask your mover for a complete explanation of 
this limitation before your move. It is your responsibility to study 
this provision carefully and to make the necessary declaration.
    These optional levels of liability are not insurance agreements 
governed by State insurance laws, but instead are authorized under 
Released Rates Orders of the Surface Transportation Board of the U.S. 
Department of Transportation.
    In addition to these options, some movers may also offer to sell, or 
procure for you, separate liability insurance from a third-party 
insurance company when you release your shipment for transportation at 
the minimum released value of 60 cents per pound ($1.32 per kilogram) 
per article (Option 1). This is not valuation coverage governed by 
Federal law, but optional insurance regulated under State law. If you 
purchase this separate coverage and your mover is responsible for loss 
or damage, the mover is liable only for an amount not exceeding 60 cents 
per pound ($1.32 per kilogram) per article, and the balance of the loss 
is recoverable from the insurance company up to the amount of insurance 
purchased. The mover's representative can advise you of the availability 
of such liability insurance and the cost.
    If you purchase liability insurance from or through your mover, the 
mover is required to issue a policy or other written record of the 
purchase and to provide you with a copy of the policy or other document 
at the time of purchase. If the mover fails to comply with this 
requirement, the mover becomes fully liable for any claim for loss or 
damage attributed to its negligence.

     What Actions by Me Limit or Reduce My Mover's Normal Liability?

    Your actions may limit or reduce your mover's normal liability, 
under the following three circumstances:
    (1) You include perishable, dangerous, or hazardous materials in 
your household goods without your mover's knowledge.
    (2) You ship household goods valued at more than 60 cents per pound 
($1.32 per kilogram) per article.
    (3) You fail to notify your mover in writing of articles valued at 
more than $100 per pound ($220 per kilogram). (If you do notify your 
mover, you will be entitled to full recovery up to the declared value of 
the article or articles, not to exceed the declared value of the entire 
shipment.)

 What Are Dangerous or Hazardous Materials That May Limit or Reduce My 
                        Mover's Normal Liability?

    Federal law forbids you shipping hazardous materials in your 
household goods boxes or luggage without informing your mover. A 
violation can result in five years' imprisonment and penalties of 
$250,000 or more (49 U.S.C. 5124). You may also lose or damage your 
household goods by fire, explosion, or contamination.
    If you offer hazardous materials to your mover, you are considered a 
hazardous materials shipper and must comply with the hazardous material 
requirements in 49 CFR parts 171, 172, and 173, including, but not 
limited to package labeling and marking, shipping papers, and emergency 
response information. Your mover must comply with 49 CFR parts 171, 172, 
173, and 177 as a hazardous materials carrier.
    Hazardous materials include explosives, compressed gases, flammable 
liquids and solids, oxidizers, poisons, corrosives, and radioactive 
materials.
    Examples: Nail polish remover, paints, paint thinners, lighter 
fluid, gasoline, fireworks, oxygen bottles, propane cylinders, 
automotive repair and maintenance chemicals, and radio-pharmaceuticals.
    There are special exceptions for small quantities (up to 70 ounces 
total) of medicinal and toilet articles carried in your household goods 
and certain smoking materials carried on your person. For further 
information contact your mover.

                        May My Mover Have Agents?

    Yes, your mover may have agents. If your mover has agents, your 
mover must have written agreements with its prime agents. Your mover and 
its retained prime agent must sign their agreements. Copies of your 
mover's prime agent agreements must be in its files for a period of at 
least 24 months following the date of termination of each agreement.

            What Items Must Be in My Mover's Advertisements?

    Your mover must publish and use only truthful, straightforward, and 
honest advertisements. Your mover must include certain information in 
all advertisements for all services (including any accessorial services 
incidental to or part of interstate transportation). Your mover must 
require each of its agents to include the same information in

[[Page 853]]

their advertisements. The information must include the following two 
pieces of information about your mover:
    (1) Name or trade name of the mover, under whose U.S. DOT number the 
advertised service will originate.
    (2) U.S. DOT number, assigned by the FMCSA authorizing your mover to 
operate. Your mover must display the information as: USDOT No. (assigned 
number).
    You should compare the name or trade name of the mover and its U.S. 
DOT number to the name and USDOT number on the sides of the truck(s) 
that arrive at your residence. The names and numbers should be 
identical. If the names and numbers are not identical, you should ask 
your mover immediately why the names and numbers are not identical. You 
should not allow the mover to load your household goods on its truck(s) 
until you obtain a satisfactory response from the mover's local agent. 
The discrepancies may warn of problems you will have later in your 
business dealings with this mover.

           How Must My Mover Handle Complaints and Inquiries?

    All movers are expected to respond promptly to complaints or 
inquiries from you, the customer. Should you have a complaint or 
question about your move, you should first attempt to obtain a 
satisfactory response from the mover's local agent, the sales 
representative who handled the arrangements for your move, or the driver 
assigned to your shipment.
    If for any reason you are unable to obtain a satisfactory response 
from one of these persons, you should then contact the mover's principal 
office. When you make such a call, be sure to have available your copies 
of all the documents relating to your move. Particularly important is 
the number assigned to your shipment by your mover.
    Interstate movers are also required to offer neutral arbitration as 
a means of resolving consumer loss or damage disputes involving loss of, 
or damage to, household goods. Your mover is required to provide you 
with information regarding its arbitration program. You have the right 
to pursue court action under 49 U.S.C. 14704 to seek judicial redress 
directly and to not participate in your mover's arbitration program.
    All interstate moving companies are required to maintain a complaint 
and inquiry procedure to assist their customers. At the time you make 
the arrangements for your move, you should ask the mover's 
representative for a description of the mover's procedure, the telephone 
number to be used to contact the mover, and whether the mover will pay 
for such telephone calls. Your mover's procedure must include the 
following four things:
    (1) A communications system allowing you to communicate with your 
mover's principal place of business by telephone.
    (2) A telephone number.
    (3) A clear and concise statement about who must pay for complaint 
and inquiry telephone calls.
    (4) A written or electronic record system for recording all 
inquiries and complaints received from you by any means of 
communication.
    Your mover must give you a clear and concise written description of 
its procedure. You may want to test the system to see how it works for 
you.

Do I Have the Right To Inspect My Mover's Tariffs (Schedules of Charges) 
                         Applicable to My Move?

    Federal law requires your mover to advise you of your right to 
inspect your mover's tariffs (its schedules of rates or charges) 
governing your shipment. Mover tariffs are made a part of the contract 
of carriage (bill of lading) between you and the mover. You may inspect 
the tariff at the mover's facility, or, upon request, the mover will 
furnish you a free copy of any tariff provision containing the mover's 
rates, rules, or charges governing your shipment.
    Tariffs may include provisions limiting the mover's liability. This 
would generally be described in a section on declaring value on the bill 
of lading. A second tariff provision may set the periods for filing 
claims. This would generally be described in Section 6 on the reverse 
side of a bill of lading. A third tariff provision may reserve your 
mover's right to assess additional charges for additional services 
performed. For non-binding estimates, another tariff provision may base 
charges upon the exact weight of the goods transported. Your mover's 
tariff may contain other provisions that apply to your move. Ask your 
mover what they might be.

               Must My Mover Have an Arbitration Program?

    Your mover must have an arbitration program for your use in 
resolving disputes concerning loss or damage to your household goods. 
You have the right not to participate in the arbitration program. You 
may pursue court action under 49 U.S.C. 14704 to seek judicial remedies 
directly. Your mover must establish and maintain an arbitration program 
with the following eleven minimum elements:
    (1) The arbitration program offered to you must prevent your mover 
from having any special advantage, because you live or work in a place 
distant from the mover's principal or other place of business.

[[Page 854]]

    (2) Before your household goods are tendered for transport, your 
mover must provide notice to you of the availability of neutral 
arbitration, including the following three things.
    (a) A summary of the arbitration procedure.
    (b) Any applicable costs.
    (c) A disclosure of the legal effects of electing to use 
arbitration.
    (3) Upon your request, your mover must provide information and forms 
it considers necessary for initiating an action to resolve a dispute 
under arbitration.
    (4) Each person authorized to arbitrate must be independent of the 
parties to the dispute and capable of resolving such disputes fairly and 
expeditiously. Your mover must ensure the arbitrator is authorized and 
able to obtain from you or your mover any material or relevant 
information to carry out a fair and expeditious decision making process.
    (5) You must not be required to pay more than one-half of the 
arbitration's cost. The arbitrator may determine the percentage of 
payment of the costs for each party in the arbitration decision, but may 
not make you pay more than half.
    (6) Your mover must not require you to agree to use arbitration 
before a dispute arises.
    (7) You will be bound by arbitration for claims of $5,000 or less, 
if you request arbitration.
    (8) You will be bound by arbitration for claims of more than $5,000, 
only if you request arbitration and your mover agrees to it.
    (9) If you and your mover both agree, the arbitrator may provide for 
an oral presentation of a dispute by a party or representative of a 
party.
    (10) The arbitrator must render a decision within 60 days of receipt 
of written notification of the dispute, and a decision by an arbitrator 
may include any remedies appropriate under the circumstances.
    (11) The 60-day period may be extended for a reasonable period if 
you or your mover fail to provide information in a timely manner.
    Your mover must produce and distribute a concise, easy-to-read, 
accurate summary of its arbitration program.

   Must My Mover Inform Me About My Rights and Responsibilities Under 
                              Federal Law?

    Yes, your mover must inform you about your rights and 
responsibilities under Federal law. Your mover must produce and 
distribute this document. It should be in the general order and contain 
the text of appendix A to 49 CFR part 375.

           What Other Information Must My Mover Provide to Me?

    Before your mover executes an order for service for a shipment of 
household goods, your mover must furnish to you the following four 
documents:
    (1) The contents of appendix A, ``Your Rights and Responsibilities 
When You Move,'' this pamphlet.
    (2) A concise, easy-to-read, accurate summary of your mover's 
arbitration program.
    (3) A notice of the availability of the applicable sections of your 
mover's tariff for the estimate of charges, including an explanation 
that you may examine the tariff sections or have copies sent to you upon 
request.
    (4) A concise, easy to read, accurate summary of your mover's 
customer complaint and inquiry handling procedures. Included in this 
summary must be the following two items:
    (a) The main telephone number you may use to communicate with your 
mover.
    (b) A clear and concise statement concerning who must pay for 
telephone calls.
    Your mover may, at its discretion, provide additional information to 
you.

                   How Must My Mover Collect Charges?

    Your mover must issue you an honest, truthful freight or expense 
bill for each shipment transported. Your mover's freight or expense bill 
must contain the following 19 items:
    (1) Name of the consignor.
    (2) Name of the consignees.
    (3) Date of the shipment.
    (4) Origin point.
    (5) Destination points.
    (6) Number of packages.
    (7) Description of the freight.
    (8) Weight of the freight (if applicable to the rating of the 
freight).
    (9) The volume of the freight (if applicable to the rating of the 
freight).
    (10) The measurement of the freight (if applicable to the rating of 
the freight).
    (11) Exact rate(s) assessed.
    (12) Disclose the actual rates, charges, and allowances for the 
transportation service, when your mover electronically presents or 
transmits freight or expense bills to you. These rates must be in 
accordance with the mover's applicable tariff.
    (13) Indicate whether adjustments may apply to the bill.
    (14) Total charges due and acceptable methods of payment.
    (15) The nature and amount of any special service charges.
    (16) The points where special services were rendered.
    (17) Route of movement and name of each mover participating in the 
transportation.

[[Page 855]]

    (18) Transfer points where shipments moved.
    (19) Address where you must pay or address of bill issuer's 
principal place of business.
    Your mover must present its freight or expense bill to you within 15 
days of the date of delivery of a shipment at its destination. The 
computation of time excludes Saturdays, Sundays, and Federal holidays.
    If your mover lacks sufficient information to compute its charges, 
your mover must present its freight bill for payment within 15 days of 
the date when sufficient information does become available.

               May My Mover Collect Charges Upon Delivery?

    Yes. Your mover must specify the form of payment acceptable at 
delivery when the mover prepares an estimate and order for service. The 
mover and its agents must honor the form of payment at delivery, except 
when you mutually agree to a change in writing. The mover must also 
specify the same form of payment when it prepares your bill of lading, 
unless you agree to a change. See also ``May my mover accept charge or 
credit cards for my payments?''
    You must prepare yourself to pay 10 percent more than the estimated 
amount, if your goods are moving under a non-binding estimate. Every 
collect-on-delivery shipper must have available 110 percent of the 
estimate at the time of delivery.

                    May My Mover Extend Credit to Me?

    Extending credit to you is not the same as accepting your charge or 
credit card(s) as payment. Your mover may relinquish possession of 
freight before you pay its tariff charges, at its discretion. Your mover 
may extend credit to you in the amount of the tariff charges. Your mover 
must ensure you will pay its tariff charges within the credit period. If 
your mover extends credit to you, your mover becomes like a bank 
offering you a line of credit, whose size and interest rate are 
determined by your ability to pay its tariff charges within the credit 
period.
    The credit period must begin on the day following presentation of 
your mover's freight bill to you. Under Federal regulation, the standard 
credit period is 15 days, including Saturdays, Sundays, and Federal 
holidays, except your mover may establish its own standard credit period 
of up to 30 calendar days. Your mover may also establish a service 
charge for extending credit, including a minimum service charge. Your 
mover's service charge only applies when your payments are made after 
its established standard credit period. For example, if your mover's 
established standard credit period is less than the maximum 30-calendar-
day period, your mover may extend credit including a service charge for 
the additional time up to the maximum 30-calendar-day period. If your 
mover extends such credit, you may elect to postpone payment, including 
the service charge until the end of the extended credit period.
    Your mover may establish additional service charges for payments 
made after the expiration of the 30-calendar-day period. If your mover 
establishes additional service charges, your mover must begin to compute 
service charges on the day following the last day of its standard credit 
period. If your mover establishes service charges, your mover must 
notify you about the following three things:
    (1) The only purpose of the service charge is to prevent you from 
having free use of the mover's funds.
    (2) The service charge encourages your prompt payment.
    (3) Your failure to pay within the credit period will require your 
mover to determine whether you will comply with the Federal-household-
goods-transportation credit regulations in good faith in the future 
before extending credit again.

       May My Mover Accept Charge or Credit Cards for My Payments?

    Your mover may allow you to use a charge or credit card for payment 
of the freight charges. Your mover may accept charge or credit cards 
whenever you ship with it under an agreement and tariff requiring 
payment by cash or cash equivalents. Cash equivalents are a certified 
check, money order, or a cashier's check (a check drawn by a financial 
institution--bank, credit union, savings & loan, etc.--upon itself and 
signed by an officer of the financial institution).
    If your mover allows you to pay for a freight or expense bill by 
charge or credit card, your mover deems such a payment to be equivalent 
to payment by cash, certified check, or a cashier's check. It must note 
in writing on the order for service and the bill of lading whether you 
may pay for the transportation and related services using a charge or 
credit card. You should ask your mover at the time the estimate is 
written whether it will accept charge or credit cards at delivery.
    The mover must specify what charge or credit cards it will accept, 
such as American ExpressTM, DiscoverTM, MasterCard 
TM, or VisaTM. The mover must arrange with you for 
delivery during the time when the mover's credit or collection 
department is open so the mover may seek approval of the payment by the 
card issuer. The mover does not have to make these delivery arrangements 
with you when it has equipped its motor vehicle(s) with card transaction 
processing machines.
    If you cause a charge or credit card issuer to reverse a 
transaction, your mover may consider your action tantamount to forcing

[[Page 856]]

your mover to provide an involuntary extension of its credit.

                   Subpart C--Service Options Provided

               What Service Options May My Mover Provide?

    Your mover may provide any service options it chooses. It is 
customary for movers to offer several price and service options.
    The total cost of your move may increase if you want additional or 
special services. Before you agree to have your shipment moved under a 
bill of lading providing special service, you should have a clear 
understanding with your mover what the additional cost will be. You 
should always consider whether other movers may provide the services you 
require without requiring you to pay the additional charges.
    One service option is a Space Reservation. If you agree to have your 
shipment transported under a space reservation agreement, you will pay 
for a minimum number of cubic feet of space in the moving van regardless 
of how much space in the van your shipment actually occupies.
    A second option is Expedited Service. This aids you if you must have 
your shipments transported on or between specific dates when the mover 
could not ordinarily agree to do so in its normal operations.
    A third customary service option is Exclusive Use of a Vehicle. If 
for any reason you desire or require your shipment be moved by itself on 
the mover's truck or trailer, most movers will provide such service.
    Another service option is Guaranteed Service on or Between Agreed 
Dates. You enter into an agreement with the mover where the mover 
provides for your shipment to be picked up, transported to destination, 
and delivered on specific guaranteed dates. If the mover fails to 
provide the service as agreed, you are entitled to be compensated at a 
predetermined amount or a daily rate (per diem) regardless of the 
expense you actually might have incurred as a result of the mover's 
failure to perform.
    Before requesting or agreeing to any of these price and service 
options, be sure to ask the mover's representatives about the final 
costs you will pay.

             Transport of Shipments on Two or More Vehicles

    Although all movers try to move each shipment on one truck, it 
becomes necessary, at times, to divide a shipment among two or more 
trucks. This may occur if your mover has underestimated the cubic meters 
of space required for your shipment and it will not all fit on the first 
truck. Your mover will pick up the remainder or ``leave behind'' on a 
second truck at a later time and this part of your shipment may arrive 
at the destination at a later time than the first truck. When this 
occurs, your transportation charges will be determined as if the entire 
shipment moved on one truck.
    If it is important for you to avoid this inconvenience of a ``leave 
behind,'' be sure your estimate includes an accurate calculation of the 
cubic meters required for your shipment. Ask your estimator to use a 
``Table of Measurements'' form in making this calculation. Consider 
asking for a binding estimate. A binding estimate is more likely to be 
conservative with regard to cubic meters than a non-binding estimate. If 
the mover offers space reservation service, consider purchasing this 
service for the necessary amount of space plus some margin for error. In 
any case, you would be prudent to ``prioritize'' your goods in advance 
of the move so the driver will load the more essential items on the 
first truck if some are left behind.

 If My Mover Sells Liability Insurance Coverage, What Must My Mover Do?

    If your mover provides the service of selling additional liability 
insurance, your mover must follow certain regulations.
    Your mover, its employees, or its agents, may sell, offer to sell, 
or procure additional liability insurance coverage for you for loss or 
damage to your shipment, if you release the shipment for transportation 
at a value not exceeding 60 cents per pound ($1.32 per kilogram) per 
article.
    Your mover may offer, sell, or procure any type of insurance policy 
covering loss or damage in excess of its specified liability.
    Your mover must issue you a policy or other appropriate evidence of 
the insurance you purchased. Your mover must provide a copy of the 
policy or other appropriate evidence to you at the time your mover sells 
or procures the insurance. Your mover must issue policies written in 
plain English.
    Your mover must clearly specify the nature and extent of coverage 
under the policy. Your mover's failure to issue you a policy, or other 
appropriate evidence of insurance you purchased, will subject your mover 
to full liability for any claims to recover loss or damage attributed to 
it.
    Your mover must provide in its tariffs for the provision of 
liability insurance coverage. The tariff must also provide for the base 
transportation charge, including its assumption for full liability for 
the value of the shipment. This would be in the event your mover fails 
to issue you a policy or other appropriate evidence of insurance at the 
time of purchase.

[[Page 857]]

                      Subpart D--Estimating Charges

Must My Mover Estimate the Transportation and Accessorial Charges for My 
                                  Move?

    We require your mover to prepare a written estimate on every 
shipment transported for you. You are entitled to a copy of the written 
estimate when your mover prepares it. Your mover must provide you a 
written estimate of all charges, including transportation, accessorial, 
and advance charges. Your mover's ``rate quote'' is not an estimate. You 
and your mover must sign the estimate of charges. Your mover must 
provide you with a dated copy of the estimate of charges at the time you 
sign the estimate.
    You should be aware that if you receive an estimate from a household 
goods broker, the mover is not required to accept the estimate. Be sure 
to obtain a written estimate from the mover if a mover tells you orally 
that it will accept the broker's estimate.
    Your mover must specify the form of payment it and its delivering 
agent will honor at delivery. Payment forms may include, but are not 
limited to, cash, a certified check, a money order, a cashier's check, a 
specific charge card such as American ExpressTM, a specific 
credit card such as VisaTM, or your mover's own credit.
    If your mover provides you with an estimate based on volume that 
will later be converted to a weight-based rate, the mover must provide 
you an explanation in writing of the formula used to calculate the 
conversion to weight. Your mover must specify that the final charges 
will be based on actual weight and services. Before loading your 
household goods, and upon mutual agreement of both you and your mover, 
your mover may amend an estimate of charges. Your mover may not amend 
the estimate after loading the shipment.
    A binding estimate is an agreement made in advance with your mover. 
It guarantees the total cost of the move based upon the quantities and 
services shown on your mover's estimate.
    A non-binding estimate is what your mover believes the total cost 
will be for the move, based upon the estimated weight of the shipment 
and the accessorial services requested. A non-binding estimate is not 
binding on your mover. Your mover will base the final charges upon the 
actual weight of your shipment, the services provided, and its tariff 
provisions in effect. You must prepare yourself to pay 10 percent more 
than the estimated amount at delivery.

        How Must My Mover Estimate Charges Under the Regulations?

    Binding estimates. Your mover may charge you for providing a binding 
estimate. The binding estimate must clearly describe the shipment and 
all services provided.
    When you receive a binding estimate, you cannot be required to pay 
any more than the estimated amount at delivery. If you have requested 
the mover provide more services than those included in the estimate, the 
mover may not demand full payment for those added services at time of 
delivery. Instead he must bill for those services later, as explained 
below. Such services might include destination charges often not known 
at origin (i.e., long carry charges, shuttle charges, or extra stair 
carry charges).
    A binding estimate must be in writing and a copy must be made 
available to you before you move.
    If you agree to a binding estimate, you are responsible for paying 
the charges due by cash, certified check, money order, or a cashier's 
check. The charges are due your mover at the time of delivery unless 
your mover agrees, before you move, to extend credit or to accept 
payment by a specific charge card such as American ExpressTM 
or a specific credit card such as VisaTM. If you are unable 
to pay at the time the shipment is delivered, the mover may place your 
shipment in storage at your expense until you pay the charges.
    Other requirements of binding estimates include the following eight 
elements:
    (1) Your mover must retain a copy of each binding estimate as an 
attachment to the bill of lading.
    (2) Your mover must clearly indicate upon each binding estimate's 
face the estimate is binding upon you and your mover. Each binding 
estimate must also clearly indicate on its face the charges shown are 
the charges to be assessed for only those services specifically 
identified in the estimate.
    (3) Your mover must clearly describe binding estimate shipments and 
all services to be provided.
    (4) If, before loading your shipment, your mover believes you are 
tendering additional household goods or are requiring additional 
services not identified in the binding estimate, and you and your mover 
cannot reach an agreement, your mover may refuse to service the 
shipment. If your mover agrees to service the shipment, your mover must 
do one of the following three things:
    (a) Reaffirm the binding estimate.
    (b) Negotiate a revised written binding estimate listing the 
additional household goods or services.
    (c) Add an attachment to the contract, in writing, stating both of 
you will consider the original binding estimate as a non-binding 
estimate. You should read more below. This may seriously affect how much 
you may pay for the entire move.
    (5) Once your mover loads your shipment, your mover's failure to 
execute a new binding estimate or to agree with you to treat

[[Page 858]]

the original estimate as a non-binding estimate signifies it has 
reaffirmed the original binding estimate. Your mover may not collect 
more than the amount of the original binding estimate, except as 
provided in the next two paragraphs.
    (6) Your mover may believe additional services are necessary to 
properly service your shipment after your household goods are in-
transit. Your mover must inform you what the additional services are 
before performing those services. Your mover must allow you at least one 
hour to determine whether you want the additional services performed. 
Such additional services include carrying your furniture up additional 
stairs or using an elevator. If these services do not appear on your 
mover's estimate, your mover must deliver your shipment and bill you 
later for the additional services.
    If you agree to pay for the additional services, your mover must 
execute a written attachment to be made an integral part of the bill of 
lading and have you sign the written attachment. This may be done 
through fax transmissions. You will be billed for the additional 
services 30 days following the date of delivery.
    (7) If you add additional services after your household goods are 
in-transit, you will be billed for the additional services, but will 
only be expected to pay the full amount of the binding estimate to 
receive delivery. Thirty days after delivery, your mover must bill you 
for the balance of any remaining charges. For example, if your binding 
estimate shows total charges at delivery should be $1,000, but your 
actual charges at destination are $1,500, your mover must deliver the 
shipment upon payment of $1,000. The mover must bill you for the 
remaining $500 after 30 days after delivery.
    (8) Failure of your mover to relinquish possession of a shipment 
upon your offer to pay the binding estimate amount constitutes your 
mover's failure to transport a shipment with ``reasonable dispatch'' and 
subjects your mover to cargo delay claims pursuant to 49 CFR part 370.

                          Non-Binding Estimates

    Your mover is not permitted to charge you for giving a non-binding 
estimate.
    A non-binding estimate is not a bid or contract. Your mover provides 
it to you to give you a general idea of the cost of the move, but it 
does not bind your mover to the estimated cost. You should expect the 
final cost to be more than the estimate. The actual cost will be in 
accordance with your mover's tariffs. Federal law requires your mover to 
collect the charges shown in its tariffs, regardless of what your mover 
writes in its non-binding estimates. This is why it is important to ask 
for copies of the mover's tariffs before deciding on a mover. The 
charges contained in mover's tariffs are essentially the same for the 
same weight shipment moving the same distance. If you obtain differing 
non-binding estimates from different movers, you must pay only the 
amount specified in your mover's tariff. Therefore, a non-binding 
estimate may have no effect on the amount that you will ultimately have 
to pay.
    You must prepare yourself to pay 10 percent more than the estimated 
amount at the time of delivery. Every collect-on-delivery shipper must 
have available 110 percent of the estimate at the time of delivery. If 
you order additional services from your mover after your goods are in 
transit, the mover will then bill you 30 days after delivery for any 
remaining charges.
    Non-binding estimates must be in writing and clearly describe the 
shipment and all services provided. Any time a mover provides such an 
estimate, the amount of the charges estimated must be on the order for 
service and bill of lading relating to your shipment. When you are given 
a non-binding estimate, do not sign or accept the order for service or 
bill of lading unless the amount estimated is entered on each form when 
prepared by the mover.
    Other requirements of non-binding estimates include the following 
nine elements:
    (1) Your mover must provide reasonably accurate non-binding 
estimates based upon the estimated weight of the shipment and services 
required.
    (2) Your mover must explain to you that all charges on shipments 
moved upon non-binding estimates will be those appearing in your mover's 
tariffs applicable to the transportation. If your mover provides a non-
binding estimate of approximate costs, your mover is not bound by such 
an estimate.
    (3) Your mover must furnish non-binding estimates without charge and 
in writing to you.
    (4) Your mover must retain a copy of each non-binding estimate as an 
attachment to the bill of lading.
    (5) Your mover must clearly indicate on the face of a non-binding 
estimate, the estimate is not binding upon your mover and the charges 
shown are the approximate charges to be assessed for the services 
identified in the estimate.
    (6) Your mover must clearly describe on the face of a non-binding 
estimate the entire shipment and all services to be provided.
    (7) If, before loading your shipment, your mover believes you are 
tendering additional household goods or are requiring additional 
services not identified in the non-binding estimate, and you and your 
mover cannot reach an agreement, your mover may refuse to service the 
shipment. If your mover agrees to service the shipment, your mover must 
do one of the following two things:
    (a) Reaffirm the non-binding estimate.

[[Page 859]]

    (b) Negotiate a revised written non-binding estimate listing the 
additional household goods or services.
    (8) Once your mover loads your shipment, your mover's failure to 
execute a new estimate signifies it has reaffirmed the original non-
binding estimate. Your mover may not collect more than 110 percent of 
the amount of this estimate at destination.
    (9) Your mover may believe additional services are necessary to 
properly service your shipment after your household goods are in-
transit. Your mover must inform you what the additional services are 
before performing those services. Your mover must allow you at least one 
hour to determine whether you want the additional services performed. 
Such additional services include carrying your furniture up additional 
stairs or using an elevator. If these services do not appear on your 
mover's estimate, your mover must deliver your shipment and bill you 
later for the additional services.
    If you agree to pay for the additional services, your mover must 
execute a written attachment to be made an integral part of the bill of 
lading and have you sign the written attachment. This may be done 
through fax transmissions. You will be billed for the additional 
services after 30 days after delivery.
    (10) If you add additional services after your household goods are 
in-transit, you will be billed for the additional services, but will 
only be expected to pay no more than 110 percent of the non-binding 
estimate to receive delivery. Thirty days after delivery, your mover 
must bill you for the balance of any remaining charges. For example, if 
your non-binding estimate shows total charges at delivery should be 
$1,000, but your actual charges at destination are $1,500, your mover 
must deliver the shipment upon payment of $1,100. The mover must bill 
you for the remaining $400 after 30 days after delivery.
    If your mover furnishes a non-binding estimate, your mover must 
enter the estimated charges upon the order for service and upon the bill 
of lading.
    Your mover must retain a record of all estimates of charges for each 
move performed for at least one year from the date your mover made the 
estimate.

What Payment Arrangements Must My Mover Have in Place To Secure Delivery 
                     of My Household Goods Shipment?

    If your total bill is 110 percent of the non-binding estimate or 
less, the mover can require payment in full upon delivery. If the bill 
exceeds 110 percent of the non-binding estimate, your mover must 
relinquish possession of the shipment at the time of delivery upon 
payment of 110 percent of the estimated amount. Your mover should have 
specified its acceptable form of payment on the estimate, order for 
service, and bill of lading. Your mover's failure to relinquish 
possession of a shipment after you offer to pay 110 percent of the 
estimated charges constitutes its failure to transport the shipment with 
``reasonable dispatch'' and subjects your mover to your cargo delay 
claims under 49 CFR part 370.
    Your mover must bill for the payment of the balance of any remaining 
charges after 30 days after delivery.

           Subpart E--Pickup of My Shipment of Household Goods

              Must My Mover Write Up an Order for Service?

    We require your mover to prepare an order for service on every 
shipment transported for you. You are entitled to a copy of the order 
for service when your mover prepares it.
    The order for service is not a contract. Should you cancel or delay 
your move or if you decide not to use the mover, you should promptly 
cancel the order.
    If you or your mover change any agreed dates for pick up or delivery 
of your shipment, or agree to any change in the non-binding estimate, 
your mover may prepare a written change to the order for service. The 
written change must be attached to the order for service.
    The order for service must contain the following fifteen elements:
    (1) Your mover's name and address and the U.S. DOT number assigned 
to your mover.
    (2) Your name, address and, if available, your telephone number(s).
    (3) The name, address, and telephone number of the delivering 
mover's office or agent located at or nearest to the destination of your 
shipment.
    (4) A telephone number where you may contact your mover or its 
designated agent.
    (5) One of the following three dates and times:
    (a) The agreed pickup date and agreed delivery date of your move.
    (b) The agreed period(s) of the entire move.
    (c) If your mover is transporting the shipment on a guaranteed 
service basis, the guaranteed dates or periods of time for pickup, 
transportation, and delivery. Your mover must enter any penalty or per 
diem requirements upon the agreement under this item.
    (6) The names and addresses of any other motor carriers, when known, 
who will participate in interline transportation of the shipment.
    (7) The form of payment your mover will honor at delivery. The 
payment information must be the same that was entered on the estimate.
    (8) The terms and conditions for payment of the total charges, 
including notice of any minimum charges.

[[Page 860]]

    (9) The maximum amount your mover will demand at the time of 
delivery to obtain possession of the shipment, when transported on a 
collect-on-delivery basis.
    (10) The Surface Transportation Board's required released rates 
valuation statement, and the charges, if any, for optional valuation 
coverage. The STB's required released rates may be increased annually by 
your mover based on the Department of Commerce's Cost of Living 
Adjustment.
    (11) A complete description of any special or accessorial services 
ordered and minimum weight or volume charges applicable to the shipment.
    (12) Any identification or registration number your mover assigns to 
the shipment.
    (13) For non-binding estimated charges, your mover's reasonably 
accurate estimate of the amount of the charges, the method of payment of 
total charges, and the maximum amount (110 percent of the non-binding 
estimate) your mover will demand at the time of delivery for you to 
obtain possession of the shipment.
    (14) For binding estimated charges, the amount of charges your mover 
will demand based upon the binding estimate and the terms of payment 
under the estimate.
    (15) An indication of whether you request notification of the 
charges before delivery. You must provide your mover with the telephone 
number(s) or address(es) where your mover will transmit such 
communications.
    You and your mover must sign the order for service. Your mover must 
provide a dated copy of the order for service to you at the time your 
mover signs the order. Your mover must provide you the opportunity to 
rescind the order for service without any penalty for a three-day period 
after you sign the order for service, if you scheduled the shipment to 
be loaded more than three days after you sign the order.
    Your mover may provide you with blank or incomplete estimates, 
orders for service, bills of lading, or any other blank or incomplete 
documents pertaining to the move for informational purposes. However, 
your mover is forbidden from requiring you to sign any blank or 
incomplete estimates, orders for service, bills of lading, or any other 
blank or incomplete documents pertaining to the move.
    Before loading your shipment, and upon mutual agreement of both you 
and your mover, your mover may amend an order for service. Your mover 
must retain records of an order for service it transported for at least 
one year from the date your mover wrote the order.
    Your mover must inform you if the mover reasonably expects a special 
or accessorial service is necessary to safely transport a shipment. Your 
mover must refuse to accept the shipment when your mover reasonably 
expects a special or accessorial service is necessary to safely 
transport a shipment and you refuse to purchase the special or 
accessorial service. Your must make a written note if you refuse any 
special or accessorial services that your move reasonably expects to be 
necessary.

          Must My Mover Write Up an Inventory of the Shipment?

    Yes. Your mover must prepare an inventory of your shipment before 
loading. If your mover's driver fails to prepare an inventory, you 
should write a detailed inventory of your shipment listing any damage or 
unusual wear to any items. The purpose is to make a record of the 
existence and condition of each item.
    After completing the inventory, you should sign each page and ask 
the mover's driver to sign each page. Before you sign it, it is 
important you make sure the inventory lists every item in the shipment 
and the entries regarding the condition of each item are correct. You 
have the right to note any disagreement. When your mover delivers the 
shipment, if an item is missing or damaged, your ability to dispute the 
items lost or damaged may depend upon your notations.
    You should retain a copy of the inventory. Your mover may keep the 
original if the driver prepared it. If your mover's driver completed an 
inventory, the mover must attach the complete inventory to the bill of 
lading as an integral part of the bill of lading.

                Must My Mover Write Up a Bill of Lading?

    The bill of lading is the contract between you and the mover. The 
mover is required by law to prepare a bill of lading for every shipment 
it transports. The information on a bill of lading is required to be the 
same information shown on the order for service. The driver who loads 
your shipment must give you a copy of the bill of lading before loading 
your furniture and other household goods.
    It is your responsibility to read the bill of lading before you 
accept it. It is your responsibility to understand the bill of lading 
before you sign it. If you do not agree with something on the bill of 
lading, do not sign it until you are satisfied it is correct.
    The bill of lading requires the mover to provide the service you 
have requested. You must pay the charges set forth in the bill of 
lading.
    The bill of lading is an important document. Do not lose or misplace 
your copy. Have it available until your shipment is delivered, all 
charges are paid, and all claims, if any, are settled.
    A bill of lading must include the following 14 elements:

[[Page 861]]

    (1) Your mover's name and address, or the name and address of the 
motor carrier issuing the bill of lading.
    (2) The names and addresses of any other motor carriers, when known, 
who will participate in the transportation of the shipment.
    (3) The name, address, and telephone number of the office of the 
motor carrier you must contact in relation to the transportation of the 
shipment.
    (4) The form of payment your mover will honor at delivery. The 
payment information must be the same that was entered on the estimate 
and order for service.
    (5) When your mover transports your shipment under a collect-on-
delivery basis, your name, address, and telephone number where the mover 
will notify you about the charges.
    (6) For non-guaranteed service, the agreed date or period of time 
for pickup of the shipment and the agreed date or period of time for the 
delivery of the shipment. The agreed dates or periods for pickup and 
delivery entered upon the bill of lading must conform to the agreed 
dates or periods of time for pickup and delivery entered upon the order 
for service or a proper amendment to the order for service.
    (7) For guaranteed service, the dates for pickup and delivery and 
any penalty or per diem entitlements due you under the agreement.
    (8) The actual date of pickup.
    (9) The identification number(s) of the vehicle(s) in which your 
mover loads your shipment.
    (10) The terms and conditions for payment of the total charges 
including notice of any minimum charges.
    (11) The maximum amount your mover will demand from you at the time 
of delivery for you to obtain possession of your shipment, when your 
mover transports under a collect-on-delivery basis.
    (12) The Surface Transportation Board's required released rates 
valuation statement, and the charges, if any, for optional valuation 
coverage. The STB's required released rates may be increased annually by 
your mover based on the Department of Commerce's Cost of Living 
Adjustment.
    (13) Evidence of any insurance coverage sold to or procured for you 
from an independent insurer, including the amount of the premium for 
such insurance.
    (14) Each attachment to the bill of lading. Each attachment is an 
integral part of the bill of lading contract. The following three items 
must be added as attachments:
    (i) The binding or non-binding estimate.
    (ii) The order for service.
    (iii) The inventory.
    A copy of the bill of lading must accompany your shipment at all 
times while in the possession of your mover or its agent(s). When your 
mover loads the shipment upon a vehicle for transportation, the bill of 
lading must be in the possession of the driver responsible for the 
shipment. Your mover must retain bills of lading for shipments it 
transported for at least one year from the date your mover created the 
bill of lading.

  Should I Reach an Agreement With My Mover About Pickup and Delivery 
                                 Times?

    You and your mover should reach an agreement for pickup and delivery 
times. It is your responsibility to determine on what date, or between 
what dates, you need to have the shipment picked up and on what date, or 
between what dates, you require delivery. It is your mover's 
responsibility to tell you if it can provide service on or between those 
dates, or, if not, on what other dates it can provide the service.
    In the process of reaching an agreement with your mover, you may 
find it necessary to alter your moving and travel plans if no mover can 
provide service on the specific dates you desire.
    Do not agree to have your shipment picked up or delivered ``as soon 
as possible.'' The dates or periods you and your mover agree upon should 
be definite.
    Once an agreement is reached, your mover must enter those dates upon 
the order for service and upon the bill of lading.
    Once your goods are loaded, your mover is contractually bound to 
provide the service described in the bill of lading. Your mover's only 
defense for not providing the service on the dates called for is the 
``Defense of Force Majeure.'' This is a legal term. It means when 
circumstances change, were not foreseen, and are beyond the control of 
your mover, preventing your mover from performing the service agreed to 
in the bill of lading, your mover is not responsible for damages 
resulting from its non-performance.
    This may occur when you do not inform your mover of the exact 
delivery requirements. For example, because of restrictions trucks must 
follow in your new city, the mover may not be able to take its truck 
down the street of your residence and must find helpers to provide long 
carries to carry your furniture and other household goods down a street 
where it can drive and park its trucks. Another example would be if your 
mover is not aware that your new residence is on the third floor, 
requiring six flight stair carries and workmen that can carry your 
furniture and household goods up stairs.

           Must My Mover Determine the Weight of My Shipment?

    Generally yes. If your mover transports your household goods on a 
non-binding estimate under the mover's tariffs based upon weight, your 
mover must determine the weight of the shipment. If your mover provided 
a binding estimate and has loaded your

[[Page 862]]

shipment without claiming you have added additional items or services, 
the weight of the shipment will not affect the charges you will pay. If 
your mover is transporting your shipment based upon the volume of the 
shipment (i.e., a set number of cubic yards or meters), the weight of 
the shipment will also not affect the charges you will pay.
    Your mover must determine the weight of your shipment before 
requesting you pay for any charges dependent upon your shipment's 
weight.
    Most movers usually have a minimum weight or volume charge for 
transporting a shipment. Usually the minimum is the charge for 
transporting a shipment of at least 3,000 pounds (1,362 kilograms).
    If your shipment appears to weigh less than the mover's minimum 
weight, your mover must advise you on the order for service of the 
minimum cost before transporting your shipment. Should your mover fail 
to advise you of the minimum charges and your shipment is less than the 
minimum weight, your mover must base your final charges upon the actual 
weight instead of the minimum weight.

         How Must My Mover Determine the Weight of My Shipment?

    Your mover must weigh your shipment upon a certified scale.
    The weight of your shipment must be obtained by using one of two 
methods.
    Origin weighing--Your mover may weigh your shipment in the city or 
area where it loads your shipment. If it elects this option, the driver 
must weigh the truck before coming to your residence. This is called the 
tare weight. At the time of this first weighing, the truck may already 
be partially loaded with one or more other shipments. This will not 
affect the weight of your shipment. The truck should also contain the 
pads, dollies, hand-trucks, ramps, and other equipment normally used in 
the transportation of household goods shipments.
    After loading, the driver will weigh the truck again to obtain the 
loaded weight, called the gross weight. The net weight of your shipment 
is then obtained by subtracting the tare weight before loading from the 
gross weight.

Gross weight-tare weight before loading=net weight

    Destination weighing (Also called back weighing)--The mover is also 
permitted to determine the weight of your shipment at the destination 
after it delivers your load. The fact your mover weighs your shipment at 
the destination instead of the origin will not affect the accuracy of 
the weight of your shipment. The most important difference is your mover 
will not determine the exact charges on your shipment before it is 
unloaded.
    Destination weighing is done in reverse of origin weighing. After 
arriving in the city or area where you are moving, the driver will weigh 
the truck. Your shipment will still be on the truck. Your mover will 
determine the gross weight before coming to your new residence to 
unload. After unloading your shipment, the driver will again weigh the 
truck to obtain the tare weight. The net weight of your shipment will 
then be obtained by subtracting the tare weight after delivery from the 
gross weight.

Gross weight-tare weight after delivery=net weight

    At the time of both weighings, your mover's truck must have 
installed or loaded all pads, dollies, hand trucks, ramps, and other 
equipment required in the transportation of your shipment. The driver 
and other persons must be off the vehicle at the time of both weighings. 
The fuel tanks on the vehicle must be full at the time of each weighing. 
In lieu of this requirement, your mover must not add fuel between the 
two weighings when the tare weighing is the first weighing performed.
    Your mover may detach the trailer of a tractor-trailer vehicle 
combination from the tractor and have the trailer weighed separately at 
each weighing provided the length of the scale platform is adequate to 
accommodate and support the entire trailer at one time.
    Your mover may use an alternative method to weigh your shipment if 
it weighs 3,000 pounds or less (1,362 kilograms or less). The only 
alternative method allowed is weighing the shipment upon a platform or 
warehouse certified scale before loading your shipment for 
transportation or after unloading.
    Your mover must use the net weight of shipments transported in large 
containers, such as ocean or railroad containers. Your mover will 
calculate the difference between the tare weight of the container 
(including all pads, blocking and bracing used in the transportation of 
your shipment) and the gross weight of the container with your shipment 
loaded in the container.
    You have the right, and your mover must inform you of your right, to 
observe all weighings of your shipment. Your mover must tell you where 
and when each weighing will occur. Your mover must give you a reasonable 
opportunity to be present to observe the weighings.
    You may waive your right to observe any weighing or re-weighing. 
This does not affect any of your other rights you have under Federal 
law.
    Your mover may request you waive your right to have a shipment 
weighed upon a certified scale. Your mover may want to weigh the 
shipment upon a trailer's on-board non-certified scale. You should 
demand your right to have a certified scale used. The use

[[Page 863]]

of a non-certified scale may cause you to pay a higher final bill for 
your move, if the non-certified scale does not accurately weigh your 
shipment. Remember, certified scales are inspected and approved for 
accuracy by a government inspection or licensing agency. Non-certified 
scales are not inspected and approved for accuracy by a government 
inspection or licensing agency.
    Your mover must obtain a separate weight ticket for each weighing. 
The weigh master must sign each weight ticket. Each weight ticket must 
contain the following six items:
    (1) The complete name and location of the scale.
    (2) The date of each weighing.
    (3) Identification of the weight entries as being the tare, gross, 
or net weights.
    (4) The company or mover identification of the vehicle.
    (5) Your last name as it appears on the Bill of Lading.
    (6) Your mover's shipment registration or Bill of Lading number.
    Your mover must retain the original weight ticket or tickets 
relating to the determination of the weight of your shipment as part of 
its file on your shipment.
    When both weighings are performed on the same scale, one weight 
ticket may be used to record both weighings.
    Your mover must present all freight bills with true copies of all 
weight tickets. If your mover does not present its freight bill with all 
weight tickets, your mover is in violation of Federal law.
    Before the driver actually begins unloading your shipment weighed at 
origin and after your mover informs you of the billing weight and total 
charges, you have the right to demand a re-weigh of your shipment. If 
you believe the weight is not accurate, you have the right to request 
your mover re-weigh your shipment before unloading.
    You have the right, and your mover must inform you of your right, to 
observe all re-weighings of your shipment. Your mover must tell you 
where and when each re-weighing will occur. Your mover must give you a 
reasonable opportunity to be present to observe the re-weighings.
    You may waive your right to observe any re-weighing, however, you 
must waive that right in writing. You may send the written waiver via 
fax, e-mail, or any other electronic means. This does not affect any of 
your other rights you have under Federal law.
    Your mover is prohibited from charging you for the re-weighing. If 
the weight of your shipment at the time of the re-weigh is different 
from the weight determined at origin, the mover must recompute the 
charges based upon the re-weigh weight.
    Before requesting a re-weigh, you may find it to your advantage to 
estimate the weight of your shipment using the following three-step 
method:
    1. Count the number of items in your shipment. Usually there will be 
either 30 or 40 items listed on each page of the inventory. For example, 
if there are 30 items per page and your inventory consists of four 
complete pages and a fifth page with 15 items listed, the total number 
of items will be 135. If an automobile is listed on the inventory do not 
include this item in the count of the total items.
    2. Subtract the weight of any automobile included in your shipment 
from the total weight of the shipment. If the automobile was not weighed 
separately, its weight can be found on its title or license receipt.
    3. Divide the number of items in your shipment into the weight. If 
the average weight resulting from this exercise ranges between 35 and 45 
pounds (16 and 20 kilograms) per article, it is unlikely a re-weigh will 
prove beneficial to you and could result in you paying higher charges.
    Experience has shown the average shipment of household goods will 
weigh about 40 pounds (18 kilograms) per item. If a shipment contains a 
large number of heavy items, such as cartons of books, boxes of tools or 
heavier than average furniture, the average weight per item may be 45 
pounds or more (20 kilograms or more).

What Must My Mover Do if I Want To Know the Actual Weight or Charges for 
                      My Shipment before Delivery?

    If you request notification of the actual weight or volume and 
charges upon your shipment, your mover must comply with your request 
when it is moving your goods on a collect-on-delivery basis. This 
requirement is conditioned upon you supplying your mover with an address 
or telephone number where you will receive the communication. Your mover 
must make its notification by telephone, telegram, or in person.
    You must receive its notification at least one full 24-hour day 
before your mover's delivery, excluding Saturdays, Sundays and Federal 
holidays.
    Your mover may disregard this 24-hour notification requirement on 
shipments subject to one of the following three things:
    (1) Back weigh (when your mover weighs your shipment at its 
destination).
    (2) Pickup and delivery encompassing two consecutive weekdays, if 
you agree.
    (3) Maximum payment amounts at time of delivery of 110 percent of 
the estimated charges, if you agree.

                Subpart F--Transportation of My Shipment

        Must My Mover Transport the Shipment in a Timely Manner?

    Yes, your mover must transport your household goods in a timely 
manner. This is

[[Page 864]]

also known as ``reasonable dispatch service.'' Your mover must provide 
reasonable dispatch service to you, except for transportation on the 
basis of guaranteed delivery dates.
    When your mover is unable to perform either the pickup or delivery 
of your shipment on the dates or during the periods of time specified in 
the order for service, your mover must notify you of the delay by 
telephone, telegram, or in person, at your mover's expense. As soon as 
the delay becomes apparent to your mover, it must give you notification 
it will be unable to provide the service specified in the terms of the 
order for service.
    At the time of your mover's notification of delay, it must advise 
you of the dates or periods of time it may be able to pickup and/or 
deliver the shipment. Your mover must consider your needs in its 
advisement.
    Your mover must prepare a written record of the date, time, and 
manner of its notification. Your mover must prepare a written record of 
its amended date or period for delivery. Your mover must retain these 
records as a part of its file on your shipment. The retention period is 
one year from the date of notification. Your mover must furnish a copy 
of the notification to you by first class mail or in person if you 
request a copy of the notice.
    Your mover must tender your shipment for delivery upon the agreed 
delivery date or within the period specified on the bill of lading. Upon 
your request or concurrence, your mover may deliver your shipment on 
another day.
    The establishment of a delayed pickup or delivery date does not 
relieve your mover from liability for damages resulting from your 
mover's failure to provide service as agreed. However, when your mover 
notifies you of alternate delivery dates, it is your responsibility to 
be available to accept delivery on the dates specified. If you are not 
available and are not willing to accept delivery, your mover has the 
right to place your shipment in storage at your expense or hold the 
shipment on its truck and assess additional charges.
    If after the pickup of your shipment, you request your mover to 
change the delivery date, most movers will agree to do so providing your 
request will not result in unreasonable delay to its equipment or 
interfere with another customer's move. However, your mover is under no 
obligation to consent to amended delivery dates. Your mover has the 
right to place your shipment in storage at your expense if you are 
unwilling or unable to accept delivery on the date agreed to in the bill 
of lading.
    If your mover fails to pick up and deliver your shipment on the date 
entered on the bill of lading and you have expenses you otherwise would 
not have had, you may be able to recover those expenses from your mover. 
This is what is called an inconvenience or delay claim. Should your 
mover refuse to honor such a claim and you continue to believe you are 
entitled to be paid damages, you may take your mover to court under 49 
U.S.C. 14704. The Federal Motor Carrier Safety Administration (FMCSA) 
has no authority to order your mover to pay such claims.
    While we hope your mover delivers your shipment in a timely manner, 
you should consider the possibility your shipment may be delayed and 
find out what payment you can expect if a mover delays service through 
its own fault before you agree with the mover to transport your 
shipment.

What Must My Mover Do if It Is Able To Deliver My Shipment More Than 24 
               Hours Before I Am Able To Accept Delivery?

    At your mover's discretion, it may place your shipment in storage. 
This will be under its own account and at its own expense in a warehouse 
located in proximity to the destination of your shipment. Your mover may 
do this if you fail to request or concur with an early delivery date, 
and your mover is able to deliver your shipment more than 24 hours 
before your specified date or the first day of your specified period.
    If your mover exercises this option, your mover must immediately 
notify you of the name and address of the warehouse where your mover 
places your shipment. Your mover must make and keep a record of its 
notification as a part of its shipment records. Your mover has full 
responsibility for the shipment under the terms and conditions of the 
bill of lading. Your mover is responsible for the charges for 
redelivery, handling, and storage until it makes final delivery. Your 
mover may limit its responsibility to the agreed delivery date or the 
first day of the period of delivery as specified in the bill of lading.

  What Must My Mover Do for Me When I Store Household Goods in Transit?

    If you request your mover to hold your household goods in storage-
in-transit (SIT) and the storage period of time is about to expire, your 
mover must notify you, in writing, about the four following items:
    (1) The date when storage-in-transit will convert to permanent 
storage.
    (2) The existence of a nine-month period after the date of 
conversion to permanent storage when you may file claims against your 
mover for loss or damage occurring to your goods while in transit or 
during the storage-in-transit period.
    (3) Your mover's liability will end.
    (4) Your property will be subject to the rules, regulations, and 
charges of the warehouseman.

[[Page 865]]

    Your mover must make this notification at least 10 days before the 
expiration date of one of the following two periods of time:
    (1) The specified period of time when your mover is to hold your 
goods in storage.
    (2) The maximum period of time provided in its tariff for storage-
in-transit.
    Your mover must notify you by facsimile transmission, overnight 
courier, e-mail, or certified mail, return receipt requested.
    If your mover holds your household goods in storage-in-transit for a 
period of time less than 10 days, your mover must notify you of the same 
information specified above one day before the expiration date of the 
specified time when your goods are to be held in such storage.
    Your mover must maintain a record of all notifications to you as 
part of the records of your shipment. Your mover's failure or refusal to 
notify you will automatically effect a continuance of your mover's 
liability according to the applicable tariff provisions with respect to 
storage-in-transit, until the end of the day following the date when 
your mover actually gives you notice.

                   Subpart G--Delivery of My Shipment

May My Mover Ask Me To Sign a Delivery Receipt Purporting To Release It 
                             From Liability?

    At the time of delivery, your mover will expect you to sign a 
receipt for your shipment. You generally will sign each page of your 
mover's copy of the inventory.
    Your mover's delivery receipt or shipping document must not contain 
any language purporting to release or discharge it or its agents from 
liability.
    Your mover may include a statement about your receipt of your 
property in apparent good condition, except as noted on the shipping 
documents.
    DO NOT SIGN the delivery receipt if it contains any language 
purporting to release or discharge your mover or its agents from 
liability. Strike out such language before signing or refuse delivery if 
the driver or mover refuses to provide a proper delivery receipt.

What Is the Maximum Collect-on-Delivery Amount My Mover May Demand I Pay 
                        at the Time of Delivery?

    On a binding estimate, the maximum amount is the exact estimate of 
the charges. Your mover must specify on the estimate, order for service, 
and bill of lading the form of payment acceptable to it (e.g., a 
certified check).
    On a non-binding estimate, the maximum amount is 110 percent of the 
approximate costs. Your mover must specify on the estimate, order for 
service, and bill of lading the form of payment acceptable to it (e.g., 
cash).

If My Shipment Is Transported on More Than One Vehicle, What Charges May 
                      My Mover Collect at Delivery?

    Although all movers try to move each shipment on one truck, it 
becomes necessary at times to divide a shipment among two or more 
trucks. This frequently occurs when an automobile is included in the 
shipment and it is transported on a vehicle specially designed to 
transport automobiles. When this occurs your transportation charges are 
the same as if the entire shipment moved on one truck.
    If your shipment is divided for transportation on two or more 
trucks, the mover may require payment for each portion as it is 
delivered.
    Your mover may delay the collection of all the charges until the 
entire shipment is delivered, at its discretion, not yours. When you 
order your move, you should ask the mover about its policies in this 
respect.

If My Shipment Is Partially Lost or Destroyed, What Charges May My Mover 
                          Collect at Delivery?

    Movers customarily make every effort to not lose, damage, or destroy 
your items while your shipment is in their possession for 
transportation. However, despite the precautions taken, articles are 
sometimes lost or destroyed during the move.
    In addition to any money you may recover from your mover to 
compensate for lost or destroyed articles, you may also recover the 
transportation charges represented by the portion of the shipment lost 
or destroyed. Your mover may only apply this paragraph to the 
transportation of household goods. Your mover may disregard this 
paragraph if loss or destruction was due to an act or omission by you. 
Your mover must require you to pay any specific valuation charge due.
    For example, if you pack a hazardous material (i.e., gasoline, 
aerosol cans, motor oil, etc.) and your shipment is partially lost or 
destroyed by fire in storage or in the mover's trailer, your mover may 
require you to pay for the full cost of transportation.
    Your mover may first collect its freight charges for the entire 
shipment, if your mover chooses. At the time your mover disposes of 
claims for loss, damage, or injury to the articles in your shipment, it 
must refund the portion of its freight charges corresponding to the 
portion of the lost or destroyed shipment (including any charges for 
accessorial or terminal services).
    Your mover is forbidden from collecting, or requiring you to pay, 
any freight charges (including any charges for accessorial or terminal 
services) when your household goods shipment is totally lost or 
destroyed in transit, unless the loss or destruction was due to an act 
or omission by you.

[[Page 866]]

 How Must My Mover Calculate the Charges Applicable to the Shipment as 
                               Delivered?

    Your mover must multiply the percentage corresponding to the 
delivered shipment times the total charges applicable to the shipment 
tendered by you to obtain the total charges it must collect from you.
    If your mover's computed charges exceed the charges otherwise 
applicable to the shipment as delivered, the lesser of those charges 
must apply. This will apply only to the transportation of your household 
goods.
    Your mover must require you to pay any specific valuation charge 
due.
    Your mover may not refund the freight charges if the loss or 
destruction was due to an act or omission by you. For example, you fail 
to disclose to your mover your shipment contains perishable live plants. 
Your mover may disregard its loss or destruction of your plants, because 
you failed to inform your mover you were transporting live plants.
    Your mover must determine, at its own expense, the proportion of the 
shipment, based on actual or constructive weight, not lost or destroyed 
in transit.
    Your rights are in addition to, and not in lieu of, any other rights 
you may have with respect to your shipment of household goods your mover 
lost or destroyed, or partially lost or destroyed, in transit. This 
applies whether or not you have exercised your rights provided above.

                    Subpart H--Collection of Charges

               Does This Subpart Apply to Most Shipments?

    No, this subpart does not apply to most shipments. Most movers 
perform COD service subject to the 110 percent rule for non-binding 
estimates. Read and understand this subpart only if your mover is 
providing a shipment subject to a binding estimate.

      How Must My Mover Present Its Freight or Expense Bill to Me?

    At the time for payment of transportation charges, your mover must 
give you a freight bill identifying the service provided and the charge 
for each service. It is customary for most movers to use a copy of the 
bill of lading as a freight bill; however, some movers use an entirely 
separate document for this purpose.
    Except in those instances where a shipment is moving on a binding 
estimate, the freight bill must specifically identify each service 
performed, the rate per unit for each service, and the total charges for 
each service. If this information is not on the freight bill, DO NOT 
accept or pay the freight bill.
    Movers customarily provide in tariffs the freight charges must be 
paid in cash, by certified check, or by a cashier's check. When this 
requirement exists, the mover will not accept personal checks. At the 
time you order your move, you should ask your mover about the form of 
payment your mover requires.
    Some movers permit payment of freight charges by use of a charge or 
credit card. However, do not assume your nationally recognized charge, 
credit, or debit card will be acceptable for payment. Ask your mover at 
the time you request an estimate. Your mover must specify the form of 
payment it will accept at delivery.
    If you do not pay the transportation charges at the time of 
delivery, your mover has the right, under the bill of lading, to refuse 
to deliver your goods. The mover may place them in storage, at your 
expense, until the charges are paid. However, the mover must deliver 
your goods upon payment of 100 percent of a binding estimate.
    If, before payment of the transportation charges, you discover an 
error in the charges, you should attempt to correct the error with the 
driver, the mover's local agent, or by contacting the mover's main 
office. If an error is discovered after payment, you should write the 
mover (the address will be on the freight bill) explaining the error and 
request a refund.
    Movers customarily check all shipment files and freight bills after 
a move has been completed to make sure the charges were accurate. If an 
overcharge is found, you should be notified and a refund made. If an 
undercharge occurred, you may be billed for the additional charges due.
    On ``to be prepaid'' shipments, your mover must present its freight 
bill for all transportation charges within 15 days, from the date your 
mover received the shipment. This period excludes Saturdays, Sundays, 
and Federal holidays.
    On ``collect'' shipments, your mover must present its freight bill 
for all transportation charges on the date of delivery, or, at its 
discretion, within 15 days, measured from the date the shipment was 
delivered at your destination. This period excludes Saturdays, Sundays, 
and Federal holidays.
    Your mover's freight bills and accompanying written notices must 
state the following five items:
    (1) Penalties for late payment.
    (2) Credit time limits.
    (3) Service or finance charges.
    (4) Collection expense charges.
    (5) Discount terms.
    If your mover extends credit to you, freight bills or a separate 
written notice accompanying a freight bill or a group of freight bills 
presented at one time must state ``You may be subject to tariff 
penalties for failure to timely pay freight charges'' or a similar 
statement. Your mover must state on its freight bills or other notices 
when it expects payment, and any applicable service

[[Page 867]]

charges, collection expense charges and discount terms.
    When your mover lacks sufficient information to compute its tariff 
charges at its time of billing, your mover must present its freight bill 
for payment within 15 days following the day when sufficient information 
becomes available. This period excludes Saturdays, Sundays, and Federal 
holidays.
    Your mover must not extend more credit to you, if you fail to 
furnish sufficient information to your mover. Your mover must have 
sufficient information to render a freight bill within a reasonable time 
after the shipment.
    When your mover presents freight bills by mail, it must deem the 
time of mailing to be the time of presentation of the bills. The term 
``freight bills,'' as used in this paragraph, includes both paper 
documents and billing by use of electronic media such as computer tapes, 
disks, or the Internet when the mails (U.S. mail, e-mail) are used to 
transmit them.
    When you mail acceptable checks or drafts in payment of freight 
charges, your mover must deem the act of mailing the payment within the 
credit period to be the proper collection of the tariff charges within 
the credit period for the purposes of Federal law. In the case of a 
dispute as to the date of mailing, your mover must accept the postmark 
as the date of mailing.

If I Forced My Mover To Relinquish a Collect-on-Delivery Shipment Before 
   the Payment of All Charges, How Must My Mover Collect the Balance?

    On ``collect-on-delivery'' shipments, your mover must present its 
freight bill for all transportation charges within 15 days, measured 
from the date the shipment was delivered at your destination. This 
period excludes Saturdays, Sundays, and Federal holidays.

 What Actions May My Mover Take To Collect From Me the Charges Upon Its 
                              Freight Bill?

    Your mover must present a freight bill within 15 days (excluding 
Saturdays, Sundays, and Federal holidays) of the date of delivery of a 
shipment at your destination.
    The credit period must be 15 days (including Saturdays, Sundays, and 
Federal holidays).
    Your mover must provide in its tariffs the following three things:
    (1) A provision automatically extending the credit period to a total 
of 30 calendar days for you if you have not paid its freight bill within 
the 15-day period.
    (2) A provision indicating you will be assessed a service charge by 
your mover equal to one percent of the amount of the freight bill, 
subject to a $20 minimum charge, for the extension of the credit period. 
The mover will assess the service charge for each 30-day extension that 
the charges go unpaid.
    (3) A provision your mover must deny credit to you, if you fail to 
pay a duly presented freight bill within the 30-day period. Your mover 
may grant credit to you, at its discretion, when you satisfy your 
mover's conditions you will pay all future freight bills duly presented. 
Your mover must ensure all your payments of freight bills are strictly 
in accordance with Federal rules and regulations for the settlement of 
its rates and charges.

Do I Have a Right To File a Claim To Recover Money for Property My Mover 
                            Lost or Damaged?

    Should your move result in the loss or damage to any of your 
property, you have the right to file a claim with your mover to recover 
money for such loss or damage.
    You have nine months following either the date of delivery, or the 
date when the shipment should have been delivered, to file a claim. You 
should file a claim as soon as possible. If you fail to file a claim 
within nine months following delivery and later bring a legal action 
against the mover to recover the damages, you may not be able to recover 
your attorney fees even though you win the court action.
    While the Federal Government maintains regulations governing the 
processing of loss and damage claims (49 CFR part 370), it cannot 
resolve those claims. If you cannot settle a claim with the mover, you 
may file a civil action to recover your claim in court under 49 U.S.C. 
14704. You may obtain the name and address of the mover's agent for 
service of legal process in your state by contacting the Federal Motor 
Carrier Safety Administration. You may also obtain the name of a process 
agent via the Internet at http://www.fmcsa.dot.gov and click on 
Licensing and Insurance (L&I) section.
    In addition, your mover must participate in an Arbitration Program. 
The program, described earlier in this pamphlet, provides you with the 
opportunity to settle certain types of unresolved loss or damage claims 
through a neutral arbitrator. You may find submitting your claim to 
arbitration under such a program to be a less expensive and more 
convenient way to seek recovery of your claim. If the mover does not 
provide you with information about its arbitration program before you 
move as it must do, ask the mover for the details of the program.

[[Page 868]]

               Subpart I--Resolving Disputes With My Mover

            What May I Do To Resolve Disputes With My Mover?

    The Federal Motor Carrier Safety Administration does not help you 
settle your dispute with your mover.
    Generally, you must resolve your own disputes with your mover. You 
enter a contractual arrangement with your mover. You are bound by each 
of the following three things:
    (1) The terms and conditions you negotiated before your move.
    (2) The terms and conditions you accepted when you signed the bill 
of lading.
    (3) The terms and conditions you accepted when you signed for 
delivery of your goods.
    You have the right to take your mover to court. We require your 
mover to offer you arbitration to settle your disputes with it.
    The Federal Motor Carrier Safety Administration does not have the 
resources to seek a court injunction on your behalf to obtain your 
household goods if your mover is holding your goods ``hostage.''



PART 376--LEASE AND INTERCHANGE OF VEHICLES--Table of Contents




            Subpart A--General Applicability and Definitions

Sec.
376.1 Applicability.
376.2 Definitions.

                     Subpart B--Leasing Regulations

376.11 General leasing requirements.
376.12 Written lease requirements.

            Subpart C--Exemptions for the Leasing Regulations

376.21 General exemptions.
376.22 Exemption for private carrier leasing and leasing between 
          authorized carriers.
376.26 Exemption for leases between authorized carriers and their 
          agents.

                   Subpart D--Interchange Regulations

376.31 Interchange of equipment.

                Subpart E--Private Carriers and Shippers

376.42 Lease of equipment by regulated carriers.

    Authority: 49 U.S.C. 13301 and 14102; and 49 CFR 1.73.

    Source: 44 FR 4681, Jan. 23, 1979, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 376 appear at 66 FR 
49871, Oct. 1, 2001.



            Subpart A--General Applicability and Definitions



Sec. 376.1  Applicability.

    The regulations in this part apply to the following actions by motor 
carriers registered with the Secretary to transport property:
    (a) The leasing of equipment with which to perform transportation 
regulated by the Secretary.
    (b) The leasing of equipment to motor private carrier or shippers.
    (c) The interchange of equipment between motor common carriers in 
the performance of transportation regulated by the Secretary.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 376.2  Definitions.

    (a) Authorized carrier. A person or persons authorized to engage in 
the transportation of property as a motor carrier under the provisions 
of 49 U.S.C. 13901 and 13902.
    (b) Equipment. A motor vehicle, straight truck, tractor, 
semitrailer, full trailer, any combination of these and any other type 
of equipment used by authorized carriers in the transportation of 
property for hire.
    (c) Interchange. The receipt of equipment by one motor common 
carrier of property from another such carrier, at a point which both 
carriers are authorized to serve, with which to continue a through 
movement.
    (d) Owner. A person (1) to whom title to equipment has been issued, 
or (2) who, without title, has the right to exclusive use of equipment, 
or (3) who has lawful possession of equipment registered and licensed in 
any State in the name of that person.
    (e) Lease. A contract or arrangement in which the owner grants the 
use of equipment, with or without driver, for a specified period to an 
authorized carrier for use in the regulated transportation of property, 
in exchange for compensation.
    (f) Lessor. In a lease, the party granting the use of equipment, 
with or without driver, to another.

[[Page 869]]

    (g) Lessee. In a lease, the party acquiring the use of equipment 
with or without driver, from another.
    (h) Sublease. A written contract in which the lessee grants the use 
of leased equipment, with or without driver, to another.
    (i) Addendum. A supplement to an existing lease which is not 
effective until signed by the lessor and lessee.
    (j) Private carrier. A person, other than a motor carrier, 
transporting property by motor vehicle in interstate or foreign commerce 
when (1) the person is the owner, lessee, or bailee of the property 
being transported; and (2) the property is being transported for sale, 
lease, rent, or bailment, or to further a commercial enterprise.
    (k) Shipper. A person who sends or receives property which is 
transported in interstate or foreign commerce.
    (l) Escrow fund. Money deposited by the lessor with either a third 
party or the lessee to guarantee performance, to repay advances, to 
cover repair expenses, to handle claims, to handle license and State 
permit costs, and for any other purposes mutually agreed upon by the 
lessor and lessee.
    (m) Detention. The holding by a consignor or consignee of a trailer, 
with or without power unit and driver, beyond the free time allocated 
for the shipment, under circumstances not attributable to the 
performance of the carrier.

[44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47850, Dec. 7, 1984; 62 
FR 15424, Apr. 1, 1997]



                     Subpart B--Leasing Regulations



Sec. 376.11  General leasing requirements.

    Other than through the interchange of equipment as set forth in 
Sec. 376.31, and under the exemptions set forth in subpart C of these 
regulations, the authorized carrier may perform authorized 
transportation in equipment it does not own only under the following 
conditions:
    (a) Lease. There shall be a written lease granting the use of the 
equipment and meeting the requirements contained in Sec. 376.12.
    (b) Receipts for equipment. Receipts, specifically identifying the 
equipment to be leased and stating the date and time of day possession 
is transferred, shall be given as follows:
    (1) When possession of the equipment is taken by the authorized 
carrier, it shall give the owner of the equipment a receipt. The receipt 
identified in this section may be transmitted by mail, telegraph, or 
other similar means of communication.
    (2) When possession of the equipment by the authorized carrier ends, 
a receipt shall be given in accordance with the terms of the lease 
agreement if the lease agreement requires a receipt.
    (3) Authorized representatives of the carrier and the owner may take 
possession of leased equipment and give and receive the receipts 
required under this subsection.
    (c) Identification of equipment. The authorized carrier acquiring 
the use of equipment under this section shall identify the equipment as 
being in its service as follows:
    (1) During the period of the lease, the carrier shall identify the 
equipment in accordance with the FMCSA's requirements in 49 CFR part 390 
of this chapter (Identification of Vehicles).
    (2) Unless a copy of the lease is carried on the equipment, the 
authorized carrier shall keep a statement with the equipment during the 
period of the lease certifying that the equipment is being operated by 
it. The statement shall also specify the name of the owner, the date and 
length of the lease, any restrictions in the lease relative to the 
commodities to be transported, and the address at which the original 
lease is kept by the authorized carrier. This statement shall be 
prepared by the authorized carrier or its authorized representative.
    (d) Records of equipment. The authorized carrier using equipment 
leased under this section shall keep records of the equipment as 
follows:
    (1) The authorized carrier shall prepare and keep documents covering 
each trip for which the equipment is used in its service. These 
documents shall contain the name and address of the owner of the 
equipment, the point of origin, the time and date of departure, and the 
point of final destination. Also, the authorized carrier shall carry 
papers with the leased equipment during its operation containing this 
information and

[[Page 870]]

identifying the lading and clearly indicating that the transportation is 
under its responsibility. These papers shall be preserved by the 
authorized carrier as part of its transportation records. Leases which 
contain the information required by the provisions in this paragraph may 
be used and retained instead of such documents or papers. As to lease 
agreements negotiated under a master lease, this provision is complied 
with by having a copy of a master lease in the unit of equipment in 
question and where the balance f documentation called for by this 
paragraph is included in the freight documents prepared for the specific 
movement.
    (2) [Reserved]

[44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47269, Dec. 3, 1984; 49 
FR 47850, Dec. 7, 1984; 50 FR 24649, June 12, 1985; 51 FR 37406, Oct. 
22, 1986; 62 FR 15424, Apr. 1, 1997]



Sec. 376.12  Written lease requirements.

    Except as provided in the exemptions set forth in subpart C of this 
part, the written lease required under Sec. 376.11(a) shall contain the 
following provisions. The required lease provisions shall be adhered to 
and performed by the authorized carrier.
    (a) Parties. The lease shall be made between the authorized carrier 
and the owner of the equipment. The lease shall be signed by these 
parties or by their authorized representatives.
    (b) Duration to be specific. The lease shall specify the time and 
date or the circumstances on which the lease begins and ends. These 
times or circumstances shall coincide with the times for the giving of 
receipts required by Sec. 376.11(b).
    (c) Exclusive possession and responsibilities. (1) The lease shall 
provide that the authorized carrier lessee shall have exclusive 
possession, control, and use of the equipment for the duration of the 
lease. The lease shall further provide that the authorized carrier 
lessee shall assume complete responsibility for the operation of the 
equipment for the duration of the lease.
    (2) Provision may be made in the lease for considering the 
authorized carrier lessee as the owner of the equipment for the purpose 
of subleasing it under these regulations to other authorized carriers 
during the lease.
    (3) When an authorized carrier of household goods leases equipment 
for the transportation of household goods, as defined by the Secretary, 
the parties may provide in the lease that the provisions required by 
paragraph (c)(1) of this section apply only during the time the 
equipment is operated by or for the authorized carrier lessee.
    (4) Nothing in the provisions required by paragraph (c)(1) of this 
section is intended to affect whether the lessor or driver provided by 
the lessor is an independent contractor or an employee of the authorized 
carrier lessee. An independent contractor relationship may exist when a 
carrier lessee complies with 49 U.S.C. 14102 and attendant 
administrative requirements.
    (d) Compensation to be specified. The amount to be paid by the 
authorized carrier for equipment and driver's services shall be clearly 
stated on the face of the lease or in an addendum which is attached to 
the lease. Such lease or addendum shall be delivered to the lessor prior 
to the commencement of any trip in the service of the authorized 
carrier. An authorized representative of the lessor may accept these 
documents. The amount to be paid may be expressed as a percentage of 
gross revenue, a flat rate per mile, a variable rate depending on the 
direction traveled or the type of commodity transported, or by any other 
method of compensation mutually agreed upon by the parties to the lease. 
The compensation stated on the lease or in the attached addendum may 
apply to equipment and driver's services either separately or as a 
combined amount.
    (e) Items specified in lease. The lease shall clearly specify which 
party is responsible for removing identification devices from the 
equipment upon the termination of the lease and when and how these 
devices, other than those painted directly on the equipment, will be 
returned to the carrier. The lease shall clearly specify the manner in 
which a receipt will be given to the authorized carrier by the equipment 
owner when the latter retakes possession of the equipment upon 
termination of the lease agreement, if a receipt is required at all by 
the lease.

[[Page 871]]

The lease shall clearly specify the responsibility of each party with 
respect to the cost of fuel, fuel taxes, empty mileage, permits of all 
types, tolls, ferries, detention and accessorial services, base plates 
and licenses, and any unused portions of such items. The lease shall 
clearly specify who is responsible for loading and unloading the 
property onto and from the motor vehicle, and the compensation, if any, 
to be paid for this service. Except when the violation results from the 
acts or omissions of the lessor, the authorized carrier lessee shall 
assume the risks and costs of fines for overweight and oversize trailers 
when the trailers are pre-loaded, sealed, or the load is containerized, 
or when the trailer or lading is otherwise outside of the lessor's 
control, and for improperly permitted overdimension and overweight loads 
and shall reimburse the lessor for any fines paid by the lessor. If the 
authorized carrier is authorized to receive a refund or a credit for 
base plates purchased by the lessor from, and issued in the name of, the 
authorized carrier, or if the base plates are authorized to be sold by 
the authorized carrier to another lessor the authorized carrier shall 
refund to the initial lessor on whose behalf the base plate was first 
obtained a prorated share of the amount received.
    (f) Payment period. The lease shall specify that payment to the 
lessor shall be made within 15 days after submission of the necessary 
delivery documents and other paperwork concerning a trip in the service 
of the authorized carrier. The paperwork required before the lessor can 
receive payment is limited to log books required by the Department of 
Transportation and those documents necessary for the authorized carrier 
to secure payment from the shipper. In addition, the lease may provide 
that, upon termination of the lease agreement, as a condition precedent 
to payment, the lessor shall remove all identification devices of the 
authorized carrier and, except in the case of identification painted 
directly on equipment, return them to the carrier. If the identification 
device has been lost or stolen, a letter certifying its removal will 
satisfy this requirement. Until this requirement is complied with, the 
carrier may withhold final payment. The authorized carrier may require 
the submission of additional documents by the lessor but not as a 
prerequisite to payment. Payment to the lessor shall not be made 
contingent upon submission of a bill of lading to which no exceptions 
have been taken. The authorized carrier shall not set time limits for 
the submission by the lessor of required delivery documents and other 
paperwork.
    (g) Copies of freight bill or other form of freight documentation. 
When a lessor's revenue is based on a percentage of the gross revenue 
for a shipment, the lease must specify that the authorized carrier will 
give the lessor, before or at the time of settlement, a copy of the 
rated freight bill or a computer-generated document containing the same 
information, or, in the case of contract carriers, any other form of 
documentation actually used for a shipment containing the same 
information that would appear on a rated freight bill. When a computer-
generated document is provided, the lease will permit lessor to view, 
during normal business hours, a copy of any actual document underlying 
the computer-generated document. Regardless of the method of 
compensation, the lease must permit lessor to examine copies of the 
carrier's tariff or, in the case of contract carriers, other documents 
from which rates and charges are computed, provided that where rates and 
charges are computed from a contract of a contract carrier, only those 
portions of the contract containing the same information that would 
appear on a rated freight bill need be disclosed. The authorized carrier 
may delete the names of shippers and consignees shown on the freight 
bill or other form of documentation.
    (h) Charge-back items. The lease shall clearly specify all items 
that may be initially paid for by the authorized carrier, but ultimately 
deducted from the lessor's compensation at the time of payment or 
settlement, together with a recitation as to how the amount of each item 
is to be computed. The lessor shall be afforded copies of those 
documents which are necessary to determine the validity of the charge.

[[Page 872]]

    (i) Products, equipment, or services from authorized carrier. The 
lease shall specify that the lessor is not required to purchase or rent 
any products, equipment, or services from the authorized carrier as a 
condition of entering into the lease arrangement. The lease shall 
specify the terms of any agreement in which the lessor is a party to an 
equipment purchase or rental contract which gives the authorized carrier 
the right to make deductions from the lessor's compensation for purchase 
or rental payments.
    (j) Insurance. (1) The lease shall clearly specify the legal 
obligation of the authorized carrier to maintain insurance coverage for 
the protection of the public pursuant to FMCSA regulations under 49 
U.S.C. 13906. The lease shall further specify who is responsible for 
providing any other insurance coverage for the operation of the leased 
equipment, such as bobtail insurance. If the authorized carrier will 
make a charge back to the lessor for any of this insurance, the lease 
shall specify the amount which will be charged-back to the lessor.
    (2) If the lessor purchases any insurance coverage for the operation 
of the leased equipment from or through the authorized carrier, the 
lease shall specify that the authorized carrier will provide the lessor 
with a copy of each policy upon the request of the lessor. Also, where 
the lessor purchases such insurance in this manner, the lease shall 
specify that the authorized carrier will provide the lessor with a 
certificate of insurance for each such policy. Each certificate of 
insurance shall include the name of the insurer, the policy number, the 
effective dates of the policy, the amounts and types of coverage, the 
cost to the lessor for each type of coverage, and the deductible amount 
for each type of coverage for which the lessor may be liable.
    (3) The lease shall clearly specify the conditions under which 
deductions for cargo or property damage may be made from the lessor's 
settlements. The lease shall further specify that the authorized carrier 
must provide the lessor with a written explanation and itemization of 
any deductions for cargo or property damage made from any compensation 
of money owed to the lessor. The written explanation and itemization 
must be delivered to the lessor before any deductions are made.
    (k) Escrow funds. If escrow funds are required, the lease shall 
specify:
    (1) The amount of any escrow fund or performance bond required to be 
paid by the lessor to the authorized carrier or to a third party.
    (2) The specific items to which the escrow fund can be applied.
    (3) That while the escrow fund is under the control of the 
authorized carrier, the authorized carrier shall provide an accounting 
to the lessor of any transactions involving such fund. The carrier shall 
perform this accounting in one of the following ways:
    (i) By clearly indicating in individual settlement sheets the amount 
and description of any deduction or addition made to the escrow fund; or
    (ii) By providing a separate accounting to the lessor of any 
transactions involving the escrow fund. This separate accounting shall 
be done on a monthly basis.
    (4) The right of the lessor to demand to have an accounting for 
transactions involving the escrow fund at any time.
    (5) That while the escrow fund is under the control of the carrier, 
the carrier shall pay interest on the escrow fund on at least a 
quarterly basis. For purposes of calculating the balance of the escrow 
fund on which interest must be paid, the carrier may deduct a sum equal 
to the average advance made to the individual lessor during the period 
of time for which interest is paid. The interest rate shall be 
established on the date the interest period begins and shall be at least 
equal to the average yield or equivalent coupon issue yield on 91-day, 
13-week Treasury bills as established in the weekly auction by the 
Department of Treasury.
    (6) The conditions the lessor must fulfill in order to have the 
escrow fund returned. At the time of the return of the escrow fund, the 
authorized carrier may deduct monies for those obligations incurred by 
the lessor which have been previously specified in the lease, and shall 
provide a final accounting to the lessor of all such final deductions 
made to the escrow fund. The lease shall further specify that in no 
event shall the escrow fund be returned later

[[Page 873]]

than 45 days from the date of termination.
    (l) Copies of the lease. An original and two copies of each lease 
shall be signed by the parties. The authorized carrier shall keep the 
original and shall place a copy of the lease on the equipment during the 
period of the lease unless a statement as provided for in 
Sec. 376.11(c)(2) is carried on the equipment instead. The owner of the 
equipment shall keep the other copy of the lease.
    (m) This paragraph applies to owners who are not agents but whose 
equipment is used by an agent of an authorized carrier in providing 
transportation on behalf of that authorized carrier. In this situation, 
the authorized carrier is obligated to ensure that these owners receive 
all the rights and benefits due an owner under the leasing regulations, 
especially those set forth in paragraphs (d)-(k) of this section. This 
is true regardless of whether the lease for the equipment is directly 
between the authorized carrier and its agent rather than directly 
between the authorized carrier and each of these owners. The lease 
between an authorized carrier and its agent shall specify this 
obligation.

[44 FR 4681, Jan. 23, 1979, as amended at 45 FR 13092, Feb. 28, 1980; 47 
FR 28398, June 30, 1982; 47 FR 51140, Nov. 12, 1982; 47 FR 54083, Dec. 
1, 1982; 49 FR 47851, Dec. 7, 1984; 51 FR 37406, 37407, Oct. 22, 1986; 
52 FR 2412, Jan. 22, 1987; 57 FR 32905, July 24, 1992; 62 FR 15424, Apr. 
1, 1997]



            Subpart C--Exemptions for the Leasing Regulations



Sec. 376.21  General exemptions.

    Except for Sec. 376.11(c) which requires the identification of 
equipment, the leasing regulations in this part shall not apply to:
    (a) Equipment used in substituted motor-for-rail transportation of 
railroad freight moving between points that are railroad stations and on 
railroad billing.
    (b) Equipment used in transportation performed exclusively within 
any commercial zone as defined by the Secretary.
    (c) Equipment leased without drivers from a person who is 
principally engaged in such a business.
    (d) Any type of trailer not drawn by a power unit leased from the 
same lessor.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec. 376.22  Exemption for private carrier leasing and leasing between authorized carriers.

    Regardless of the leasing regulations set forth in this part, an 
authorized carrier may lease equipment to or from another authorized 
carrier, or a private carrier may lease equipment to an authorized 
carrier under the following conditions:
    (a) The identification of equipment requirements in Sec. 376.11(c) 
must be complied with;
    (b) The lessor must own the equipment or hold it under a lease;
    (c) There must be a written agreement between the authorized 
carriers or between the private carrier and authorized carrier, as the 
case may be, concerning the equipment as follows:
    (1) It must be signed by the parties or their authorized 
representatives.
    (2) It must provide that control and responsibility for the 
operation of the equipment shall be that of the lessee from the time 
possession is taken by the lessee and the receipt required under 
Sec. 376.11(b) is given to the lessor until: (i) Possession of the 
equipment is returned to the lessor and the receipt required under 
Sec. 376.11(b) is received by the authorized carrier; or (ii) in the 
event that the agreement is between authorized carriers, possession of 
the equipment is returned to the lessor or given to another authorized 
carrier in an interchange of equipment.
    (3) A copy of the agreement must be carried in the equipment while 
it is in the possession of the lessee.
    (4) Nothing in this section shall prohibit the use, by authorized 
carriers, private carriers, and all other entities conducting lease 
operations pursuant to this section, of a master lease if a copy of that 
master lease is carried in the equipment while it is in the possession 
of the lessee, and if the master lease complies with the provisions of 
this section and receipts are exchanged in accordance with 
Sec. 376.11(b), and if records of the equipment are prepared

[[Page 874]]

and maintained in accordance with Sec. 376.11(d).
    (d) Authorized and private carriers under common ownership and 
control may lease equipment to each other under this section without 
complying with the requirements of paragraph (a) of this section 
pertaining to identification of equipment, and the requirements of 
paragraphs (c)(2) and (c)(4) of this section pertaining to equipment 
receipts. The leasing of equipment between such carriers will be subject 
to all other requirements of this section.

[49 FR 9570, Mar. 14, 1984, as amended at 49 FR 47269, Dec. 3, 1984; 49 
FR 47851, Dec. 7, 1984; 62 FR 15424, Apr. 1, 1997; 63 FR 40838, July 31, 
1998]



Sec. 376.26  Exemption for leases between authorized carriers and their agents.

    The leasing regulations set forth in Sec. 376.12(e) through (l) do 
not apply to leases between authorized carriers and their agents.

[47 FR 28398, June 30, 1982, as amended at 62 FR 15424, Apr. 1, 1997]



                   Subpart D--Interchange Regulations



Sec. 376.31  Interchange of equipment.

    Authorized common carriers may interchange equipment under the 
following conditions:
    (a) Interchange agreement. There shall be a written contract, lease, 
or other arrangement providing for the interchange and specifically 
describing the equipment to be interchanged. This written agreement 
shall set forth the specific points of interchange, how the equipment is 
to be used, and the compensation for such use. The interchange agreement 
shall be signed by the parties or by their authorized representatives.
    (b) Operating authority. The carriers participating in the 
interchange shall be registered with the Secretary to provide the 
transportaiton of the commodities at the point where the physical 
exchange occurs.
    (c) Through bills of lading. The traffic transported in interchange 
service must move on through bills of lading issued by the originating 
carrier. The rates charged and the revenues collected must be accounted 
for in the same manner as if there had been no interchange. Charges for 
the use of the interchanged equipment shall be kept separate from 
divisions of the joint rates or the proportions of such rates accruing 
to the carriers by the application of local or proportional rates.
    (d) Identification of equipment. The authorized common carrier 
receiving the equipment shall identify equipment operated by it in 
interchange service as follows:
    (1) The authorized common carrier shall identify power units in 
accordance with the FMCSA's requirements in 49 CFR part 390 of this 
chapter (Identification of Vehicles). Before giving up possession of the 
equipment, the carrier shall remove all identification showing it as the 
operating carrier.
    (2) Unless a copy of the interchange agreement is carried on the 
equipment, the authorized common carrier shall carry a statement with 
each vehicle during interchange service certifying that it is operating 
the equipment. The statement shall also identify the equipment by 
company or State registration number and shall show the specific point 
of interchange, the date and time it assumes responsibility for the 
equipment, and the use to be made of the equipment. This statement shall 
be signed by the parties to the interchange agreement or their 
authorized representatives. The requirements of this paragraph shall not 
apply where the equipment to be operated in interchange service consists 
only of trailers or semitrailers.
    (3) Authorized carriers under common ownership and control may 
interchange equipment with each other without complying with the 
requirements of paragraph (d)(1) of this section pertaining to removal 
of identification from equipment.
    (e) Connecting carriers considered as owner--An authorized carrier 
receiving equipment in connection with a through movement shall be 
considered to the owner of the equipment for the purpose of leasing the 
equipment to other authorized carriers in furtherance of the movement to 
destination or

[[Page 875]]

the return of the equipment after the movement is completed.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997; 63 FR 40838, July 31, 1998]



                Subpart E--Private Carriers and Shippers



Sec. 376.42  Lease of equipment by regulated carriers.

    Authorized carriers may lease equipment and drivers from private 
carriers, for periods of less than 30 days, in the manner set forth in 
Sec. 376.22.

[49 FR 9570, Mar. 14, 1984, as amended at 51 FR 37034, Oct. 17, 1986; 62 
FR 15424, Apr. 1, 1997]



PART 377--PAYMENT OF TRANSPORTATION CHARGES--Table of Contents




                 Subpart A--Handling of C.O.D. Shipments

Sec.
377.101 Applicability.
377.103 Tariff requirements.
377.105 Collection and remittance.

  Subpart B--Extension of Credit to Shippers by Motor Common Carriers, 
      Water Common Carriers, and Household Goods Freight Forwarders

377.201 Scope.
377.203 Extension of credit to shippers.
377.205 Presentation of freight bills.
377.207 Effect of mailing freight bills or payments.
377.209 Additional charges.
377.211 Computation of time.
377.213--377.215 [Reserved]
377.217 Interline settlement of revenues.

    Authority: 49 U.S.C. 13101, 13301, 13701, 13702, 13706, 13707, and 
14101; and 49 CFR 1.73.

    Editorial Note: Nomenclature changes to part 377 appear at 66 FR 
49871, Oct. 1, 2001.



                 Subpart A--Handling of C.O.D. Shipments

    Source: 32 FR 20050, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec. 377.101  Applicability.

    The rules and regulations in this part apply to the transportation 
by motor vehicle of c.o.d. shipments by all common carriers of property 
subject to 49 U.S.C. 13702, except such transportation which is 
auxiliary to or supplemental of transportation by railroad and performed 
on railroad bills of lading, and except such transportation which is 
performed for freight forwarders and on freight forwarder bills of 
lading.

[32 FR 20050, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec. 377.103  Tariff requirements.

    No common carrier of property subject to the provisions of 49 U.S.C. 
13702, except as otherwise provided in Sec. 377.101, shall render any 
c.o.d. service unless such carrier has published, posted and filed 
tariffs which contain the rates, charges and rules governing such 
service, which rules shall conform to the regulations in this part.

[32 FR 20050, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec. 377.105  Collection and remittance.

    Every common carrier of property subject to 49 U.S.C. 13702, except 
as otherwise provided in Sec. 377.101, which chooses to provide c.o.d. 
service may publish and maintain, or cause to be published and 
maintained for its account, a tariff or tariffs which set forth 
nondiscriminatory rules governing c.o.d. service and the collection and 
remittance of c.o.d. funds. Alternatively, any carrier that provides 
c.o.d. service, but does not wish to publish and maintain, or cause to 
be published and maintained, its own nondiscriminatory tariff, may adopt 
a rule requiring remittance of each c.o.d. collection directly to the 
consignor or other person designated by the consignor as payee within 
fifteen (15) days after delivery of the c.o.d. shipment to the 
consignee.

[52 FR 45966, Dec. 3, 1987, as amended at 62 FR 15424, Apr. 1, 1997]

[[Page 876]]



  Subpart B--Extension of Credit to Shippers by Motor Common Carriers, 
      Water Common Carriers, and Household Goods Freight Forwarders

    Source: 50 FR 2290, Jan 16, 1985, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 377.201  Scope.

    (a) General. These regulations apply to the extension of credit in 
the transportation of property under Federal Motor Carrier Safety 
Administration regulation by motor carriers and household goods freight 
forwarders, except as otherwise provided.
    (b) Exceptions. These regulations do not apply to--
    (1) Contract carriage operations.
    (2) Transportation for--
    (i) The United States or any department, bureau, or agency thereof,
    (ii) Any State, or political subdivision thereof,
    (iii) The District of Columbia.
    (3) Property transportation incidental to passenger operations.

[50 FR 2290, Jan. 16, 1985, as amended at 51 FR 44297, Dec. 9, 1986; 62 
FR 15424, Apr. 1, 1997]



Sec. 377.203  Extension of credit to shippers.

    (a) Authorization to extend credit. (1) A carrier that meets the 
requirements in paragraph (a)(2) of this section may--
    (i) Relinquish possession of freight in advance of the payment of 
the tariff charges, and
    (ii) Extend credit in the amount of such charges to those who 
undertake to pay them (such persons are called shippers in this part).
    (2) For such authorization, the carrier shall take reasonable 
actions to assure payment of the tariff charges within the credit 
periods specified--
    (i) In this part, or
    (ii) In tariff provisions published pursuant to the regulations in 
paragraph (d) of this section.
    (b) When the credit period begins. The credit period shall begin on 
the day following presentation of the freight bill.
    (c) Length of credit period. Unless a different credit period has 
been established by tariff publication pursuant to paragraph (d) of this 
section, the credit period is 15 days. It includes Saturdays, Sundays, 
and legal holidays.
    (d) Carriers may establish different credit periods in tariff rules. 
Carriers may publish tariff rules establishing credit periods different 
from those in paragraph (c) of this section. Such credit periods shall 
not be longer than 30 calendar days.
    (e) Service charges. (1) Service charges shall not apply when credit 
is extended and payments are made within the standard credit period. The 
term standard credit period, as used in the preceding sentence, means--
    (i) The credit period prescribed in paragraph (c) of this section, 
or
    (ii) A substitute credit period published in a tariff rule pursuant 
to the authorization in paragraph (d) of this section.
    (2) Carriers may, by tariff rule, extend credit for an additional 
time period, subject if they wish to a service charge for that 
additional time. The combined length of the carrier's standard credit 
period (as defined in paragraph (e)(1) of this section) and its 
additional credit period shall not exceed the 30-day maximum credit 
period prescribed in paragraph (d) of this section. When such a tariff 
rule is in effect, shippers may elect to postpone payment until the end 
of the extended credit period if, in consideration therefor, they 
include any published service charges when making their payment.
    (3) Carriers may, by tariff rule, establish service charges for 
payments made after the expiration of an authorized credit period. Such 
a rule shall--
    (i) Institute such charges on the day following the last day of an 
authorized credit period, and
    (ii) Notify shippers--
    (A) That its only purpose is to prevent a shipper who does not pay 
on time from having free use of funds due to the carrier,
    (B) That it does not sanction payment delays, and
    (C) That failure to pay within the authorized credit period will, 
despite this provision for such charges, continue to require the 
carrier, before again extending credit, to determine in good faith 
whether the shipper will comply

[[Page 877]]

with the credit regulations in the future.
    (4) Tariff rules that establish charges pursuant to paragraph (e) 
(2) or (3) of this section may establish minimum charges.
    (f) Discounts. Carriers may, by tariff rule, authorize discounts for 
early freight bill payments when credit is extended.
    (g)(1) Collection expense charges. Carriers may, by tariff rule, 
assess reasonable and certain liquidated damages for all costs incurred 
in the collection of overdue freight charges. Carriers may use one of 
two methods in their tariffs:
    (i) The first method is to assess liquidated damages as a separate 
additional charge to the unpaid freight bill. In doing so, the tariff 
rule shall disclose the exact amount of the charges by stating either a 
dollar or specified percentage amount (or a combination of both) of the 
unpaid freight bill. The tariff shall further specify the time period 
(which shall at least allow for the authorized credit period) within 
which the shipper must pay to avoid such liquidated damages.
    (ii) The second method is to require payment of the full, 
nondiscounted rate instead of the discounted rate otherwise applicable. 
The difference between the discount and the full rate constitutes a 
carrier's liquidated damages for its collection effort. Under this 
method the tariff shall identify the discount rates that are subject to 
the condition precedent and which require the shipper to make payment by 
a date certain. The date certain may not be set to occur by the carrier 
until at least after the expiration of the carrier's authorized credit 
period.
    (2) The damages, the timing of their applicability, and the 
conditions, if any, as provided by the tariff-rule methods allowed under 
paragraphs (g)(1) (i) and (ii) of this section also:
    (i) Shall be clearly described in the tariff rule;
    (ii) Shall be applied without unlawful prejudice and/or unjust 
discrimination between similarly situated shippers and/or consignees;
    (iii) Shall be applied only to the nonpayment of original, separate 
and independent freight bills and shall not apply to aggregate balance-
due claims sought for collection on past shipments by a bankruptcy 
trustee, or any other person or agent;
    (iv) Shall not apply to instances of clear clerical or ministerial 
error such as non-receipt of a carrier's freight bill, or shipper's 
payment check lost in the mail, or carrier mailing of the freight bill 
to the wrong address;
    (v) Shall not apply in any way to a charge for a transportation 
service if the carrier's bill of lading independently provides that the 
shipper is liable for fees incurred by the carrier in the collection of 
freight charges on that same transportation service;
    (vi) shall be applied only after the authorized credit period, and 
when the carrier has issued a revised freight bill or notice of 
imposition of collection expense charges for late payment within 90 days 
after expiration of the authorized credit period.
    (3) As an alternative to the tariff-rule methods allowed under 
paragraphs (g)(1) (i) and (ii) of this section, a carrier may, wholly 
outside of its tariff, assess collection charges though contract terms 
in a bill of lading. By using the carrier and its bill of lading, the 
shipper accepts the bill of lading terms.
    (h) Discrimination prohibited. Tariff rules published pursuant to 
paragraphs (d), (e), and (f) of this section shall not result in 
unreasonable discrimination among shippers.

[50 FR 2290, Jan 16, 1985, as amended at 53 FR 6991, Mar. 4, 1988; 54 FR 
30748, July 24, 1989]



Sec. 377.205  Presentation of freight bills.

    (a) ``To be prepaid'' shipments. (1) On ``to be prepaid'' shipments, 
the carrier shall present its freight bill for all transportation 
charges within the time period prescribed in paragraph (a)(2) of this 
section, except--
    (i) As noted in paragraph (d) of this section, or
    (ii) As otherwise excepted in this part.
    (2) The time period for a carrier to present its freight bill for 
all transportation charges shall be 7 days, measured from the date the 
carrier received the shipment. This time period does not include 
Saturdays, Sundays, or legal holidays.

[[Page 878]]

    (b) ``Collect'' shipments. (1) On ``collect'' shipments, the carrier 
shall present its freight bill for all transportation charges within the 
time period prescribed in paragraph (b)(2) and of this section, except--
    (i) As noted in paragraph (d) of this section, or
    (ii) As otherwise excepted in this part.
    (2) The time period for a carrier to present its freight bill for 
all transportation charges shall be 7 days, measured from the date the 
shipment was delivered at its destination. This time period does not 
include Saturdays, Sundays, or legal holidays.
    (c) Bills or accompanying written notices shall state penalties for 
late payment, credit time limits and service charge and/or collection 
expense charge and discount terms. When credit is extended, freight 
bills or a separate written notice accompanying a freight bill or a 
group of freight bills presented at one time shall state that ``failure 
timely to pay freight charges may be subject to tariff penalties'' (or a 
statement of similar import). The bills or other notice shall also state 
the time by which payment must be made and any applicable service charge 
and/or collection expense charge and discount terms.
    (d) When the carrier lacks sufficient information to compute tariff 
charges. (1) When information sufficient to enable the carrier to 
compute the tariff charges is not then available to the carrier at its 
billing point, the carrier shall present its freight bill for payment 
within 7 days following the day upon which sufficient information 
becomes available at the billing point. This time period does not 
include Saturdays, Sundays, or legal holidays.
    (2) A carrier shall not extend further credit to any shipper which 
fails to furnish sufficient information to allow the carrier to render a 
freight bill within a reasonable time after the shipment is tendered to 
the origin carrier.
    (3) As used in this paragraph, the term ``shipper'' includes, but is 
not limited to, freight forwarders, and shippers' associations and 
shippers' agents.

[50 FR 2290, Jan 16, 1985, as amended at 54 FR 30748, July 24, 1989; 62 
FR 15424, Apr. 1, 1997]



Sec. 377.207  Effect of mailing freight bills or payments.

    (a) Presentation of freight bills by mail. When carriers present 
freight bills by mail, the time of mailing shall be deemed to be the 
time of presentation of the bills. The term freight bills, as used in 
this paragraph, includes both paper documents and billing by use of 
electronic media such as computer tapes or disks, when the mails are 
used to transmit them.
    (b) Payment by mail. Wnen shippers mail acceptable checks, drafts, 
or money orders in payment of freight charges, the act of mailing them 
within the credit period shall be deemed to be the collection of the 
tariff charges within the credit period for the purposes of the 
regulations in this part.
    (c) Disputes as to date of mailing. In case of dispute as to the 
date of mailing, the postmark shall be accepted as such date.



Sec. 377.209  Additional charges.

    When a carrier--
    (a) Has collected the amount of tariff charges represented in a 
freight bill presented by it as the total amount of such charges, and
    (b) Thereafter presents to the shipper another freight bill for 
additional charges--

the carrier may extend credit in the amount of such additional charges 
for a period of 30 calendar days from the date of the presentation of 
the freight bill for the additional charges.



Sec. 377.211  Computation of time.

    Time periods involving calendar days shall be calculated pursuant to 
49 CFR 386.32(a).

[50 FR 2290, Jan 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Secs. 377.213--377.215  [Reserved]



Sec. 377.217  Interline settlement of revenues.

    Nothing in this part shall be interpreted as affecting the interline 
settlement of revenues from traffic which is

[[Page 879]]

transported over through routes composed of lines of common carriers 
subject to the Secretary's jurisdiction under 49 U.S.C. subtitle IV, 
part B.

[50 FR 2290, Jan 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



PART 378--PROCEDURES GOVERNING THE PROCESSING, INVESTIGATION, AND DISPOSITION OF OVERCHARGE, DUPLICATE PAYMENT, OR OVERCOLLECTION CLAIMS--Table of Contents




Sec.
378.1 Applicability.
378.2 Definitions.
378.3 Filing and processing claims.
378.4 Documentation of claims.
378.5 Investigation of claims.
378.6 Claim records.
378.7 Acknowledgment of claims.
378.8 Disposition of claims.
378.9 Disposition of unidentified payments, overcharges, duplicate 
          payments, and overcollections not supported by claims.

    Authority: 49 U.S.C. 13321, 14101, 14704 and 14705; and 49 CFR 1.73.

    Source: 43 FR 41040, Sept. 14, 1978, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec. 378.1  Applicability.

    The regulations set forth in this part govern the processing of 
claims for overcharge, duplicate payment, or overcollection for the 
transportation of property in interstate or foreign commerce by motor 
common carriers and household goods freight forwarders subject to 49 
U.S.C. subtitle IV, part B.

[43 FR 41040, Sept. 14, 1978, as amended at 51 FR 44297, Dec. 9, 1986; 
62 FR 15424, Apr. 1, 1997]



Sec. 378.2  Definitions.

    (a) Carrier means a motor common carrier or household goods freight 
forwarder subject to 49 U.S.C. subtitle IV, part B.
    (b) Overcharge means an overcharge as defined in 49 U.S.C. 14704(b). 
It also includes duplicate payments as defined in paragraph (c) of this 
section and overcollections as defined in paragraph (d) of this section 
when a dispute exists between the parties concerning such charges.
    (c) Duplicate payment means two or more payments for transporting 
the same shipment. Where one or more payment is not in the exact amount 
of the applicable tariff rates and charges, refunds shall be made on the 
basis of the excess amount over the applicable tariff rates and charges.
    (d) Overcollection means the receipt by a household goods carrier of 
a payment in excess of the transportation and/or accessorial charges 
applicable to a particular shipment of household goods, as defined in 
part 375 of this chapter, under tariffs lawfully on file with the United 
States Department of Transportation's Surface Transportation Board.
    (e) Unidentified payment means a payment which a carrier has 
received but which the carrier is unable to match with its open accounts 
receivable or otherwise identify as being due for the performance of 
transportation services.
    (f) Claimant means any shipper or receiver, or its authorized agent, 
filing a request with a carrier for the refund of an overcharge, 
duplicate payment, or overcollection.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979; 
51 FR 34989, Oct. 1, 1986; 51 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 
1, 1997]



Sec. 378.3  Filing and processing claims.

    (a) A claim for overcharge, duplicate payment, or overcollection 
shall not be paid unless filed in writing or electronically communicated 
(when agreed to by the carrier and shipper or receiver involved) with 
the carrier that collected the transportation charges. The collecting 
carrier shall be the carrier to process all such claims. When a claim is 
filed with another carrier that participated in the transportation, that 
carrier shall transmit the claim to the collecting carrier within 15 
days after receipt of the claim. If the collecting carrier is unable to 
dispose of the claim for any reason, the claim may be filed with or 
transferred to any participating carrier for final disposition.
    (b) A single claim may include more than one shipment provided the 
claim on each shipment involves:
    (1) The same tariff issue or authority or circumstances,

[[Page 880]]

    (2) Single line service by the same carrier, or
    (3) Service by the same interline carriers.

[43 FR 41040, Sept 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982]



Sec. 378.4  Documentation of claims.

    (a) Claims for overcharge, duplicate payment, or overcollection 
shall be accompanied by sufficient information to allow the carriers to 
conduct an investigation and pay or decline the claim within the time 
limitations set forth in Sec. 378.8. Claims shall include the name of 
the claimant, its file number, if any, and the amount of the refund 
sought to be recovered, if known.
    (b) Except when the original freight bill is not a paper document 
but is electronically transmitted, claims for overcharge shall be 
accompanied by the original freight bill. Additional information may 
include, but is not limited to, the following:
    (1) The rate, classification, or commodity description or weight 
claimed to have been applicable.
    (2) Complete tariff authority for the rate, classification, or 
commodity description claimed.
    (3) Freight bill payment information.
    (4) Other documents or data which is believed by claimant to 
substantiate the basis for its claim.
    (c) Claims for duplicate payment and overcollection shall be 
accompanied by the original freight bill(s) for which charges were paid 
(except when the original freight bill is not a paper document but is 
electronically transmitted) and by freight bill payment information.
    (d) Regardless of the provisions of paragraphs (a), (b), and (c) of 
this section, the failure to provide sufficient information and 
documentation to allow a carrier to conduct an investigation and pay or 
decline the claim within the allowable time limitation shall not 
constitute grounds for disallowance of the claim. Rather, the carrier 
shall comply with Sec. 378.5(c) to obtain the additional information 
required.
    (e) A carrier shall accept copies instead of the orginal documents 
required to be submitted in this section where the carrier is furnished 
with an agreement entered into by the claimant which indemnifies the 
carrier for subsequent duplicate claims which might be filed and 
supported by the original documents.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 4679, Jan. 23, 1979; 
47 FR 12804, Mar. 25, 1982; 62 FR 15424, Apr. 1, 1997]



Sec. 378.5  Investigation of claims.

    (a) Upon receipt of a claim, whether written or otherwise, the 
processing carrier shall promptly initiate an investigation and 
establish a file, as required by Sec. 378.6.
    (b) If a carrier discovers an overcharge, duplicate payment, or 
overcollection which has not been the subject of a claim, it shall 
promptly initiate an investigation and comply with the provisions in 
Sec. 378.9.
    (c) In the event the carrier processing the claim requires 
information or documents in addition to that submitted with the claim, 
the carrier shall promptly notify the claimant and request the 
information required. This includes notifying the claimant that a 
written or electronically transmitted claim must be filed before the 
carrier becomes subject to the time limits for settling such a claim 
under Sec. 378.8.

[43 FR 41040, Sept. 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982; 
62 FR 15424, 15425, Apr. 1, 1997]



Sec. 378.6  Claim records.

    At the time a claim is received the carrier shall create a separate 
file and assign it a successive claim file number and note that number 
on all documents filed in support of the claim and all records and 
correspondence with respect to the claim, including the written or 
electronic acknowledgment of receipt required under Sec. 378.7. If 
pertinent to the disposition of the claim, the carrier shall also note 
that number on the shipping order and delivery receipt, if any, covering 
the shipment involved.

[47 FR 12804, Mar. 25, 1982, as amended at 62 FR 15425, Apr. 1, 1997]



Sec. 378.7  Acknowledgment of claims.

    Upon receipt of a written or electronically transmitted claim, the 
carrier shall acknowledge its receipt in

[[Page 881]]

writing or electronically to the claimant within 30 days after the date 
of receipt except when the carrier shall have paid or declined in 
writing or electronically within that period. The carrier shall include 
the date of receipt in its written or electronic claim which shall be 
placed in the file for that claim.

[47 FR 12804, Mar. 25, 1982]



Sec. 378.8  Disposition of claims.

    The processing carrier shall pay, decline to pay, or settle each 
written or electronically communicated claim within 60 days after its 
receipt by that carrier, except where the claimant and the carrier agree 
in writing or electronically to a specific extension based upon 
extenuating circumstances. If the carrier declines to pay a claim or 
makes settlement in an amount different from that sought, the carrier 
shall notify the claimant in writing or electronically, of the reason(s) 
for its action, citing tariff authority or other pertinent information 
developed as a result of its investigation.

[47 FR 12804, Mar. 25, 1982]



Sec. 378.9  Disposition of unidentified payments, overcharges, duplicate payments, and overcollections not supported by claims.

    (a)(1) Carriers shall establish procedures for identifying and 
properly applying all unidentified payments. If a carrier does not have 
sufficient information with which properly to apply such a payment, the 
carrier shall notify the payor of the unidentified payment within 60 
days of receipt of the payment and request information which will enable 
it to identify the payment. If the carrier does not receive the 
information requested within 90 days from the date of the notice, the 
carrier may treat the unidentified payment as a payment in fact of 
freight charges owing to it. Following the 90-day period, the regular 
claims procedure under this part shall be applicable.
    (2) Notice shall be in writing and clearly indicate that it is a 
final notice and not a bill. Notice shall include: The check number, 
amount, and date; the payor's name; and any additional basic information 
the carrier is able to provide. The final notice also must inform payor 
that: (i) Applicable regulations allow the carrier to conditionally 
retain the payment as revenue in the absence of a timely response by the 
payor; and (ii) following the 90-day period the regular claims procedure 
shall be applicable.
    (3) Upon a carrier's receipt of information from the payor, the 
carrier shall, within 14 days: (i) Make a complete refund of such funds 
to the payor; or (ii) notify the payor that the information supplied is 
not sufficient to identify the unapplied payment and request additional 
information; or (iii) notify the payor of the carrier's determination 
that such payment was applicable to particular freight charges lawfully 
due the carrier. Where no refund is made by the carrier, the carrier 
shall advise the payor of its right to file a formal claim for refund 
with the carrier in accordance with the regular claims procedure under 
this part.
    (b) When a carrier which participates in a transportation movement, 
but did not collect the transporation charges, finds that an overpayment 
has been made, that carrier shall immediately notify the collecting 
carrier. When the collecting carrier (when single or joint line haul) 
discovers or is notified by such a participating carrier that an 
overcharge, duplicate payment, or overcollection exists for any 
tranportation charge which has not been the subject of a claim, the 
carrier shall create a file as if a claim had been submitted and shall 
record in the file the date it discovered or was notified of the 
overpayment. The carrier that collected the charges shall then refund 
the amount of the overpayment to the person who paid the transportation 
charges or to the person that made duplicate payment within 30 days from 
the date of such discovery or notification.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979]



PART 379--PRESERVATION OF RECORDS--Table of Contents




Sec.
379.1 Applicability.
379.3 Records required to be retained.

[[Page 882]]

379.5 Protection and storage of records.
379.7 Preservation of records.
379.9 Companies going out of business.
379.11 Waiver of requirements of the regulations in this part.
379.13 Disposition and retention of records.

Appendix A to Part 379--Schedule of Records and Periods of Retention

    Authority: 49 U.S.C. 13301, 14122 and 14123; and 49 CFR 1.73.

    Source: 62 FR 32044, June 12, 1997, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 379 appear at 66 FR 
49871, Oct. 1, 2001.



Sec. 379.1  Applicability.

    (a) The preservation of record rules contained in this part shall 
apply to the following:
    (1) Motor carriers and brokers;
    (2) Water carriers; and
    (3) Household goods freight forwarders.
    (b) This part applies also to the preservation of accounts, records 
and memoranda of traffic associations, weighing and inspection bureaus, 
and other joint activities maintained by or on behalf of companies 
listed in paragraph (a) of this section.



Sec. 379.3  Records required to be retained.

    Companies subject to this part shall retain records for the minimum 
retention periods provided in appendix A to this part. After the 
required retention periods, the records may be destroyed at the 
discretion of each company's management. It shall be the obligation of 
the subject company to maintain records that adequately support 
financial and operational data required by the Secretary. The company 
may request a ruling from the Secretary on the retention of any record. 
The provisions of this part shall not be construed as excusing 
compliance with the lawful requirements of any other governmental body 
prescribing longer retention periods for any category of records.



Sec. 379.5  Protection and storage of records.

    (a) The company shall protect records subject to this part from 
fires, floods, and other hazards, and safeguard the records from 
unnecessary exposure to deterioration from excessive humidity, dryness, 
or lack of ventilation.
    (b) The company shall notify the Secretary if prescribed records are 
substantially destroyed or damaged before the term of the prescribed 
retention periods.



Sec. 379.7  Preservation of records.

    (a) All records may be preserved by any technology that is immune to 
alteration, modification, or erasure of the underlying data and will 
enable production of an accurate and unaltered paper copy.
    (b) Records not originally preserved on hard copy shall be 
accompanied by a statement executed by a person having personal 
knowledge of the facts indicating the type of data included within the 
records. One comprehensive statement may be executed in lieu of 
individual statements for multiple records if the type of data included 
in the multiple records is common to all such records. The records shall 
be indexed and retained in such a manner as will render them readily 
accessible. The company shall have facilities available to locate, 
identify and produce legible paper copies of the records.
    (c) Any significant characteristic, feature or other attribute that 
a particular medium will not preserve shall be clearly indicated at the 
beginning of the applicable records as appropriate.
    (d) The printed side of forms, such as instructions, need not be 
preserved for each record as long as the printed matter is common to all 
such forms and an identified specimen of the form is maintained on the 
medium for reference.



Sec. 379.9  Companies going out of business.

    The records referred to in the regulations in this part may be 
destroyed after business is discontinued and the company is completely 
liquidated. The records may not be destroyed until dissolution is final 
and all pending transactions and claims are completed. When a company is 
merged with another company under jurisdiction of the Secretary, the 
successor company shall preserve records of the merged

[[Page 883]]

company in accordance with the regulations in this part.



Sec. 379.11  Waiver of requirements of the regulations in this part.

    A waiver from any provision of the regulations in this part may be 
made by the Secretary upon his/her own initiative or upon submission of 
a written request by the company. Each request for waiver shall 
demonstrate that unusual circumstances warrant a departure from 
prescribed retention periods, procedures, or techniques, or that 
compliance with such prescribed requirements would impose an 
unreasonable burden on the company.



Sec. 379.13  Disposition and retention of records.

    The schedule in appendix A to this part shows periods that 
designated records shall be preserved. The descriptions specified under 
the various general headings are for convenient reference and 
identification, and are intended to apply to the items named regardless 
of what the records are called in individual companies and regardless of 
the record media. The retention periods represent the prescribed number 
of years from the date of the document and not calendar years. Records 
not listed in appendix A to this part shall be retained as determined by 
the management of each company.

  Appendix A to Part 379--Schedule of Records and Periods of Retention

------------------------------------------------------------------------
 Item and category of records               Retention period
------------------------------------------------------------------------
   A. Corporate and General
 
1. Incorporation and
 reorganization:
    (a) Charter or             Note A.
     certificate of
     incorporation and
     amendments.
    (b) Legal documents        Note A.
     related to mergers,
     consolidations,
     reorganization,
     receiverships and
     similar actions which
     affect the identity or
     organization of the
     company.
2. Minutes of Directors,       Note A.
 Executive Committees,
 Stockholders and other
 corporate meetings.
3. Titles, franchises and
 authorities:
    (a) Certificates of        Until expiration or cancellation.
     public convenience and
     necessity issued by
     regulating bodies.
    (b) Operating              Until expiration or cancellation.
     authorizations and
     exemptions to operate.
    (c) Copies of formal       Note A.
     orders of regulatory
     bodies served upon the
     company.
    (d) Deeds, charters, and   Until disposition of property.
     other title papers.
    (e) Patents and patent     Note A.
     records.
4. Annual reports or           3 years.
 statements to stockholders.
5. Contracts and agreements:
    (a) Service contracts,     Until expiration or termination plus 3
     such as for operational    years.
     management, accounting,
     financial or legal
     services, and agreements
     with agents.
    (b) Contracts and other    Until expiration or termination plus 3
     agreements relating to     years.
     the construction,
     acquisition or sale of
     real property and
     equipment except as
     otherwise provided in
     (a) above.
    (c) Contracts for the      Until expiration.
     purchase or sale of
     material and supplies
     except as provided in
     (a) above.
    (d) Shipping contracts     Until expiration.
     for transportation or
     caretakers of freight.
    (e) Contracts with         Until expiration.
     employees and employee
     bargaining groups.
    (f) Contracts, leases and  Until expiration or termination plus 1
     agreements, not            year.
     specifically provided
     for in this section.
6. Accountant's auditor's,
 and inspector's reports:
    (a) Certifications and     3 years.
     reports of examinations
     and audits conducted by
     public accountants.
    (b) Reports of             3 years.
     examinations and audits
     conducted by internal
     auditors, time
     inspectors, and others.
7. Other.....................  Note A.
 
         B. Treasury
 
1. Capital stock records:
    (a) Capital stock ledger.  Note A.
    (b) Capital stock          Note A.
     certificates, records of
     or stubs of.
    (c) Stock transfer         Note A.
     register.
2. Long-term debt records:
    (a) Bond indentures,       Until redemption plus 3 years.
     underwritings,
     mortgages, and other
     long-term credit
     agreements.
    (b) Registered bonds and   Until redemption plus 3 years.
     debenture ledgers.
    (c) Stubs or similar       Note A.
     records of bonds or
     other long-term debt
     issued.

[[Page 884]]

 
3. Authorizations from         Note A.
 regulatory bodies for
 issuance of securities
 including applications,
 reports, and supporting
 papers.
4. Records of securities       Until the securities are sold, redeemed
 owned, in treasury, or held    or otherwise disposed of.
 by custodians, detailed
 ledgers and journals, or
 their equivalent.
5. Other.....................  Note A.
 
 C. Financial and Accounting
 
1. Ledgers:
    (a) General and            Until discontinuance of use plus 3 years.
     subsidiary ledgers with
     indexes.
    (b) Balance sheets and     3 years.
     trial balance sheets of
     general and subsidiary
     ledgers.
2. Journals:
    (a) General journals.....  Until discontinuance of use plus 3 years.
    (b) Subsidiary journals    3 years.
     and any supporting data,
     except as otherwise
     provided for, necessary
     to explain journal
     entries.
3. Cash books:
    (a) General cash books...  Until discontinuance of use plus 3 years.
    (b) Subsidiary cash books  3 years.
4. Vouchers:
    (a) Voucher registers,     3 years.
     indexes, or equivalent.
    (b) Paid and canceled      3 years.
     vouchers, expenditure
     authorizations, detailed
     distribution sheets and
     other supporting data
     including original bills
     and invoices, if not
     provided for elsewhere.
    (c) Paid drafts, paid      3 years.
     checks, and receipts for
     cash paid out.
5. Accounts receivable:
    (a) Record or register of  3 years after settlement.
     accounts receivable,
     indexes thereto, and
     summaries of
     distribution.
    (b) Bills issued for       3 years after settlement.
     collection and
     supporting data.
    (c) Authorization for      1 year.
     writing off receivables.
    (d) Reports and            1 year.
     statements showing age
     and status of
     receivables.
6. Records of accounting       3 years after discontinuance.
 codes and instructions.
7. Other.....................  Note A.
 
  D. Property and Equipment
 
  Note.--All accounts, records, and memoranda necessary for making a
complete analysis of the cost or value of property shall be retained for
the periods shown. If any of the records elsewhere provided for in this
schedule are of this character, they shall be retained for the periods
shown below, regardless of any lesser retention period assigned.
 
1. Property records:
    (a) Records which          3 years after disposition of property.
     maintain complete
     information on cost or
     other value of all real
     and personal property or
     equipment.
    (b) Records of additions   3 years after disposition of property.
     and betterments made to
     property and equipment.
    (c) Records pertaining to  3 years after disposition of property.
     retirements and
     replacements of property
     and equipment.
    (d) Records pertaining to  3 years after disposition of property.
     depreciation.
    (e) Records of equipment   3 years after disposition of property.
     number changes.
    (f) Records of motor and   3 years after disposition of property.
     engine changes.
    (g) Records of equipment   Only current or latest records.
     lightweighed and
     stenciled.
2. Engineering records of      3 years after disposition of property.
 property changes actually
 made.
3. Other.....................  Note A.
 
   E. Personnel and Payroll
 
1. Personnel and payroll       1 year.
 records.
 
   F. Insurance and Claims
 
1. Insurance records:
    (a) Schedules of           Until expiration plus 1 year.
     insurance against fire,
     storms, and other
     hazards and records of
     premium payments.
    (b) Records of losses and  1 year after settlement.
     recoveries from
     insurance companies and
     supporting papers.
    (c) Insurance policies...  Until expiration of coverage plus 1 year.
2. Claims records:
    (a) Claim registers, card  1 year after settlement.
     or book indexes, and
     other records which
     record personal injury,
     fire and other claims
     against the company,
     together with all
     supporting data.
    (b) Claims registers,      1 year after settlement.
     card or book indexes,
     and other records which
     record overcharges,
     damages, and other
     claims filed by the
     company against others,
     together with all
     supporting data.
    (c) Records giving the     3 years.
     details of authorities
     issued to agents,
     carriers, and others for
     participation in freight
     claims.
    (d) Reports, statements    3 years.
     and other data
     pertaining to personal
     injuries or damage to
     property when not
     necessary to support
     claims or vouchers.
    (e) Reports, statements,   1 year.
     tracers, and other data
     pertaining to unclaimed,
     over, short, damaged,
     and refused freight,
     when not necessary to
     support claims or
     vouchers.
    (f) Authorities for        3 years.
     disposal of unclaimed,
     damaged, and refused
     freight.
3. Other.....................  Note A.
 

[[Page 885]]

 
           G. Taxes
 
1. Taxes.....................  Note A.
 
   H. Purchases and Stores
 
1. Purchases and stores......  Note A.
 
    I. Shipping and Agency
          Documents
 
1. Bills of lading and
 releases:
    (a) Consignors' shipping   1 year.
     orders, consignors'
     shipping tickets, and
     copies of bills of
     lading, freight bills
     from other carriers and
     other similar documents
     furnished the carrier
     for movement of freight.
    (b) Shippers' order-to-    1 year.
     notify bills of lading
     taken up and canceled.
2. Freight waybills:
    (a) Local waybills.......  1 year.
    (b) Interline waybills     1 year.
     received from and made
     to other carriers.
    (c) Company freight        1 year.
     waybills.
    (d) Express waybills.....  1 year.
3. Freight bills and
 settlements:
    (a) Paid copy of freight
     bill retained to support
     receipt of freight
     charges:
        (1) Bus express        1 year.
         freight bills
         provided no claim
         has been filed.
        (2) All other freight  1 year.
         bills.
    (b) Paid copy of freight
     bill retained to support
     payment of freight
     charges to other
     carriers:
        (1) Bus express        1 year.
         freight bills
         provided no claim
         has been filed.
        (2) All other freight  1 year.
         bills.
    (c) Records of unsettled   1 year after disposition.
     freight bills and
     supporting papers.
    (d) Records and reports    1 year.
     of correction notices.
4. Other freight records:
    (a) Records of freight     1 year.
     received, forwarded, and
     delivered.
    (b) Notice to consignees   1 year.
     of arrival of freight;
     tender of delivery.
5. Agency records (to include
 conductors, pursers,
 stewards, and others):
    (a) Cash books...........  1 year.
    (b) Remittance records,    1 year.
     bank deposit slips and
     supporting papers.
    (c) Balance sheets and     1 year.
     supporting papers.
    (d) Statements of          1 year.
     corrections in agents'
     accounts.
    (e) Other records and      1 year.
     reports pertaining to
     ticket sales, baggage
     handled, miscellaneous
     collections, refunds,
     adjustments, etc..
 
      J. Transportation
 
1. Records pertaining to
 transportation of household
 goods:
    (a) Estimate of charges..  1 year.
    (b) Order for service....  1 year.
    (c) Vehicle-load manifest  1 year.
    (d) Descriptive inventory  1 year.
2. Records and reports
 pertaining to operation of
 marine and floating
 equipment:
    (a) Ship log.............  3 years.
    (b) Ship articles........  3 years.
    (c) Passenger and room     3 years.
     list.
    (d) Floatmen's barge,      2 years.
     lighter, and escrow
     captain's reports,
     demurrage records,
     towing reports and
     checks sheets.
3. Dispatchers' sheets,        3 years.
 registers, and other records
 pertaining to movement of
 transportation equipment.
4. Import and export records   2 years.
 including bonded freight and
 steamship engagements.
5. Records, reports, orders    3 years.
 and tickets pertaining to
 weighting of freight.
6. Records of loading and      2 years.
 unloading of transportation
 equipment.
7. Records pertaining to the   2 years.
 diversion or reconsignment
 of freight, including
 requests, tracers, and
 correspondence.
8. Other.....................  Note A.
 
    K. Supporting Data for
    Reports and Statistics
 
1. Supporting data for
 reports filed with the
 Federal Motor Carrier Safety
 Administration, the Surface
 Transportation Board, the
 Department of
 Transportation's Bureau of
 Transportation Statistics
 and regulatory bodies:
    (a) Supporting data for    3 years.
     annual financial,
     operating and
     statistical reports.
    (b) Supporting data for    3 years.
     periodical reports of
     operating revenues,
     expenses, and income.
    (c) Supporting data for    3 years.
     reports detailing use of
     proceeds from issuance
     or sale of company
     securities.
    (d) Supporting data for    3 years after disposition of the
     valuation inventory        property.
     reports and records.
     This includes related
     notes, maps and
     sketches, underlying
     engineering, land, and
     accounting reports,
     pricing schedules,
     summary or collection
     sheets, yearly reports
     of changes and other
     miscellaneous data, all
     relating to the
     valuation of the
     company's property by
     the Federal Highway
     Administration, the
     Surface Transportation
     Board, the Department of
     Transportation's Bureau
     of Transportation
     Statistics or other
     regulatory body.

[[Page 886]]

 
2. Supporting data for         3 years.
 periodical reports of
 accidents, inspections,
 tests, hours of service,
 repairs, etc..
3. Supporting data for         3 years.
 periodical statistical of
 operating results or
 performance by tonnage,
 mileage, passengers carried,
 piggyback traffic,
 commodities, costs, analyses
 of increases and decreases,
 or otherwise.
 
       M. Miscellaneous
 
1. Index of records..........  Until revised as record structure
                                changes.
2. Statement listing records   For the remainder of the period as
 prematurely destroyed or       prescribed for records destroyed.
 lost.
------------------------------------------------------------------------
Note A.--Records referenced to this note shall be maintained as
  determined by the designated records supervisory official. Companies
  should be mindful of the record retention requirements of the Internal
  Revenue Service, Securities and Exchange Commission, State and local
  jurisdictions, and other regulatory agencies. Companies shall exercise
  reasonable care in choosing retention periods, and the choice of
  retention periods shall reflect past experiences, company needs,
  pending litigation, and regulatory requirements.



PART 381--WAIVERS, EXEMPTIONS, AND PILOT PROGRAMS--Table of Contents




                           Subpart A--General

Sec.
381.100 What is the purpose of this part?
381.105 Who is required to comply with the rules in this part?
381.110 What definitions are applicable to this part?

              Subpart B--Procedures for Requesting Waivers

381.200 What is a waiver?
381.205 How do I determine when I may request a waiver?
381.210 How do I request a waiver?
381.215 What will the FMCSA do after the agency receives my request for 
          a waiver?
381.220 How long will it take the agency to respond to my request for a 
          waiver?
381.225 Who should I contact if I have questions about the information I 
          am required to submit to the FMCSA or about the status of my 
          request for a waiver?

            Subpart C--Procedures for Applying for Exemptions

381.300 What is an exemption?
381.305 How do I determine when I may apply for an exemption?
381.310 How do I apply for an exemption?
381.315 What will the FMCSA do after the agency receives my application 
          for an exemption?
381.320 How long will it take the agency to respond to my application 
          for an exemption?
381.325 Who should I contact if I have questions about the information I 
          am required to submit to the FMCSA or about the status of my 
          application for an exemption?
381.330 What am I required to do if the FMCSA grants my application for 
          an exemption?

                 Subpart D--Initiation of Pilot Programs

381.400 What is a pilot program?
381.405 Who determines whether a pilot program should be initiated?
381.410 What may I do if I have an idea or suggestion for a pilot 
          program?
381.415 Who should I contact if I have questions about the information 
          to be included in my suggestion?
381.420 What will the FMCSA do after the agency receives my suggestion 
          for a pilot program?

         Subpart E--Administrative Procedures for Pilot Programs

381.500 What are the general requirements the agency must satisfy in 
          conducting a pilot program?
381.505 What are the minimum elements required for a pilot program?
381.510 May the FMCSA end a pilot program before its scheduled 
          completion date?
381.515 May the FMCSA remove approved participants from a pilot program?
381.520 What will the FMCSA do with the results from a pilot program?

                  Subpart F--Preemption of State Rules

381.600 Do waivers, exemptions, and pilot programs preempt State laws 
          and regulations?

    Authority: 49 U.S.C. 31136(e) and 31315; and 49 CFR 1.73.

    Source: 63 FR 67608, Dec. 8, 1998, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 381 appear at 66 FR 
49872, Oct. 1, 2001.



                           Subpart A--General



Sec. 381.100  What is the purpose of this part?

    This part prescribes the rules and procedures for requesting waivers 
and

[[Page 887]]

applying for exemptions from those provisions of the Federal Motor 
Carrier Safety Regulations (FMCSRs) which were issued on the authority 
of 49 U.S.C. 31136 or chapter 313, and the initiation and administration 
of pilot programs.



Sec. 381.105  Who is required to comply with the rules in this part?

    (a) You must comply with the rules in this part if you are going to 
request a waiver or apply for an exemption.
    (b) You should follow the instructions in subpart D of this part if 
you would like to recommend the agency initiate a pilot program.



Sec. 381.110  What definitions are applicable to this part?

    Commercial motor vehicle means any motor vehicle that meets the 
definition of ``commercial motor vehicle'' found at 49 CFR 382.107 
concerning controlled substances and alcohol use and testing, 49 CFR 
383.5 concerning commercial driver's license standards, or 49 CFR 390.5 
concerning parts 390 through 399 of the FMCSRs.
    Federal Motor Carrier Safety Administrator (the Administrator) means 
the chief executive of the Federal Motor Carrier Safety Administration, 
an agency within the Department of Transportation.
    FMCSRs means Federal Motor Carrier Safety Regulations (49 CFR parts 
382 and 383, Secs. 385.21 and 390.21, parts 391 through 393, 395, 396, 
and 399).
    You means an individual or motor carrier or other entity that is, or 
will be, responsible for the operation of a CMV(s). The term includes a 
motor carrier's agents, officers and representatives as well as 
employees responsible for hiring, supervising, training, assigning, or 
dispatching of drivers and employees concerned with the installation, 
inspection, and maintenance of motor vehicle equipment and/or 
accessories. You also includes any interested party who would like to 
suggest or recommend that the FMCSA initiate a pilot program.



              Subpart B--Procedures for Requesting Waivers



Sec. 381.200  What is a waiver?

    (a) A waiver is temporary regulatory relief from one or more FMCSR 
given to a person subject to the regulations, or a person who intends to 
engage in an activity that would be subject to the regulations.
    (b) A waiver provides the person with relief from the regulations 
for up to three months.
    (c) A waiver is intended for unique, non-emergency events and is 
subject to conditions imposed by the Administrator.
    (d) Waivers may only be granted from one or more of the requirements 
contained in the following parts and sections of the FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Sec. 390.19 Motor Carrier Identification Report;
    (4) Sec. 390.21 Marking of commercial motor vehicles;
    (5) Part 391--Qualifications of Drivers;
    (6) Part 392--Driving of Commercial Motor Vehicles;
    (7) Part 393--Parts and Accessories Necessary for Safe Operation;
    (8) Part 395--Hours of Service of Drivers;
    (9) Part 396--Inspection, Repair, and Maintenance (except 
Sec. 396.25); and
    (10) Part 399--Step, Handhold and Deck Requirements.



Sec. 381.205  How do I determine when I may request a waiver?

    (a) You may request a waiver if one or more FMCSR would prevent you 
from using or operating CMVs, or make it unreasonably difficult to do 
so, during a unique, non-emergency event that will take no more than 
three months to complete.
    (b) Before you decide to request a waiver, you should carefully 
review the regulation to determine whether there are any practical 
alternatives already

[[Page 888]]

available that would allow your use or operation of CMVs during the 
event. You should also determine whether you need a waiver from all of 
the requirements in one or more parts of the regulations, or whether a 
more limited waiver of certain sections within one or more of the parts 
of the regulations would provide an acceptable level of regulatory 
relief. For example, if you need relief from one of the recordkeeping 
requirements concerning driver qualifications, you should not request 
relief from all of the requirements of part 391.



Sec. 381.210  How do I request a waiver?

    (a) You must send a written request (for example, a typed or 
handwritten (printed) letter), which includes all of the information 
required by this section, to the Federal Motor Carrier Safety 
Administrator, U.S. Department of Transportation, 400 Seventh Street, 
SW., Washington, DC 20590.
    (b) You must identify the person who would be covered by the waiver. 
The application for a waiver must include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individual, motor carrier, or other entity that 
would be responsible for the use or operation of CMVs during the unique, 
non-emergency event;
    (3) Principal place of business for the motor carrier or other 
entity (street address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier, if 
applicable.
    (c) You must provide a written statement that:
    (1) Describes the unique, non-emergency event for which the waiver 
would be used, including the time period during which the waiver is 
needed;
    (2) Identifies the regulation that you believe needs to be waived;
    (3) Provides an estimate of the total number of drivers and CMVs 
that would be operated under the terms and conditions of the waiver; and
    (4) Explains how you would ensure that you could achieve a level of 
safety that is equivalent to, or greater than, the level of safety that 
would be obtained by complying with the regulation.



Sec. 381.215  What will the FMCSA do after the agency receives my request for a waiver?

    (a) The Federal Motor Carrier Safety Administration will review your 
request and make a recommendation to the Administrator. The final 
decision whether to grant or deny the application for a waiver will be 
made by the Administrator.
    (b) After a decision is signed by the Administrator, you will be 
sent a copy of the document, which will include the terms and conditions 
for the waiver or the reason for denying the application for a waiver.



Sec. 381.220  How long will it take the agency to respond to my request for a waiver?

    You should receive a response from the agency within 60 calendar 
days from the date the Administrator receives your request. However, 
depending on the complexity of the issues discussed in your application, 
and the availability of staff to review the material, a final decision 
may take up to 120 days.



Sec. 381.225  Who should I contact if I have questions about the information I am required to submit to the FMCSA or about the status of my request for a 
          waiver?

    You should contact the Office of Bus and Truck Standards and 
Operations, Federal Motor Carrier Safety Administration, 400 Seventh 
Street, SW., Washington, DC 20590. The telephone number is (202) 366-
1790.



            Subpart C--Procedures for Applying for Exemptions



Sec. 381.300  What is an exemption?

    (a) An exemption is temporary regulatory relief from one or more 
FMCSR given to a person or class of persons subject to the regulations, 
or who intend to engage in an activity that would make them subject to 
the regulations.
    (b) An exemption provides the person or class of persons with relief 
from the regulations for up to two years, and may be renewed.
    (c) Exemptions may only be granted from one or more of the 
requirements

[[Page 889]]

contained in the following parts and sections of the FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Part 391--Qualifications of Drivers;
    (4) Part 392--Driving of Commercial Motor Vehicles;
    (5) Part 393--Parts and Accessories Necessary for Safe Operation;
    (6) Part 395--Hours of Service of Drivers;
    (7) Part 396--Inspection, Repair, and Maintenance (except for 
Sec. 396.25); and
    (8) Part 399--Step, Handhold and Deck Requirements.



Sec. 381.305  How do I determine when I may apply for an exemption?

    (a) You may apply for an exemption if one or more FMCSR prevents you 
from implementing more efficient or effective operations that would 
maintain a level of safety equivalent to, or greater than, the level 
achieved without the exemption.
    (b) Before you decide to apply for an exemption you should carefully 
review the regulation to determine whether there are any practical 
alternatives already available that would allow you to conduct your 
motor carrier operations. You should also determine whether you need an 
exemption from all of the requirements in one or more parts of the 
regulations, or whether a more limited exemption from certain sections 
within one or more parts of the regulations would provide an acceptable 
level of regulatory relief. For example, if you need regulatory relief 
from one of the recordkeeping requirements concerning driver 
qualifications, you should not request regulatory relief from all of the 
requirements of part 391.



Sec. 381.310  How do I apply for an exemption?

    (a) You must send a written request (for example, a typed or 
handwritten (printed) letter), which includes all of the information 
required by this section, to the Federal Motor Carrier Safety 
Administrator, U.S. Department of Transportation, Federal Motor Carrier 
Safety Administration, 400 Seventh Street, SW., Washington, DC 20590.
    (b) You must identify the person or class of persons who would be 
covered by the exemption. The application for an exemption must include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individual or motor carrier that would be 
responsible for the use or operation of CMVs;
    (3) Principal place of business for the motor carrier (street 
address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier.
    (c) You must provide a written statement that:
    (1) Describes the reason the exemption is needed, including the time 
period during which it is needed;
    (2) Identifies the regulation from which you would like to be 
exempted;
    (3) Provides an estimate of the total number of drivers and CMVs 
that would be operated under the terms and conditions of the exemption;
    (4) Assesses the safety impacts the exemption may have;
    (5) Explains how you would ensure that you could achieve a level a 
safety that is equivalent to, or greater than, the level of safety that 
would be obtained by complying with the regulation; and
    (6) Describes the impacts (e.g., inability to test innovative safety 
management control systems, etc.) you could experience if the exemption 
is not granted by the FMCSA.
    (d) Your application must include a copy of all research reports, 
technical papers, and other publications and documents you reference.



Sec. 381.315  What will the FMCSA do after the agency receives my application for an exemption?

    (a) The Federal Motor Carrier Safety Administration will review your 
application and prepare, for the Administrator's signature, a Federal 
Register notice requesting public comment on your application for an 
exemption. The notice will give the public an opportunity to review your 
request and your safety assessment or analysis (required

[[Page 890]]

by Sec. 381.310) and any other relevant information known to the agency.
    (b) After a review of the comments received in response to the 
Federal Register notice described in paragraph (a) of this section, the 
Federal Motor Carrier Safety Administration will make a 
recommendation(s) to the Administrator to either to grant or deny the 
exemption. Notice of the Administrator's decision will be published in 
the Federal Register.
    (c)(1) If the exemption is granted, the notice will identify the 
provisions of the FMCSRs from which you will be exempt, the effective 
period, and all terms and conditions of the exemption.
    (2) If the exemption is denied, the notice will explain the reason 
for the denial.
    (d) A copy of your application for an exemption and all comments 
received in response to the Federal Register notice will be included in 
a public docket and be available for review by interested parties.
    (1) Interested parties may view the information contained in the 
docket by visiting the Department of Transportation, U.S. DOT Dockets, 
Room PL-401, 400 Seventh Street, SW., Washington DC. All information in 
the exemption docket will be available for examination at this address 
from 10 a.m. to 5 p.m., e.t., Monday through Friday, except Federal 
holidays.
    (2) Internet users can access all information received by the U.S. 
DOT Dockets, Room PL-401, by using the universal resources locator 
(URL): http://dms.dot.gov. It is available 24 hours each day, 365 days 
each year. Please follow the instructions online for more information 
and help.



Sec. 381.320  How long will it take the agency to respond to my application for an exemption?

    The agency will attempt to issue a final decision within 180 days of 
the date it receives your application. However, if you leave out 
important details or other information necessary for the FMCSA to 
prepare a meaningful request for public comments, the agency will 
attempt to issue a final decision within 180 days of the date it 
receives the additional information.



Sec. 381.325  Who should I contact if I have questions about the information I am required to submit to the FMCSA or about the status of my application for an 
          exemption?

    You should contact the Office of Bus and Truck Standards and 
Operations, Federal Motor Carrier Safety Administration, 400 Seventh 
Street, SW., Washington, DC 20590. The telephone number is (202) 366-
1790.



Sec. 381.330  What am I required to do if the FMCSA grants my application for an exemption?

    (a) You must comply with all the terms and conditions of the 
exemption.
    (b) The FMCSA will immediately revoke your exemption if:
    (1) You fail to comply with the terms and conditions of the 
exemption;
    (2) The exemption has resulted in a lower level of safety than was 
maintained before the exemption was granted; or
    (3) Continuation of the exemption is determined by the FMCSA to be 
inconsistent with the goals and objectives of the FMCSRs.



                 Subpart D--Initiation of Pilot Programs



Sec. 381.400  What is a pilot program?

    (a) A pilot program is a study in which temporary regulatory relief 
from one or more FMCSR is given to a person or class of persons subject 
to the regulations, or a person or class of persons who intend to engage 
in an activity that would be subject to the regulations.
    (b) During a pilot program, the participants would be given an 
exemption from one or more sections or parts of the regulations for a 
period of up to three years.
    (c) A pilot program is intended for use in collecting specific data 
for evaluating alternatives to the regulations or innovative approaches 
to safety while ensuring that the safety performance goals of the 
regulations are satisfied.
    (d) The number of participants in the pilot program must be large 
enough to ensure statistically valid findings.

[[Page 891]]

    (e) Pilot programs must include an oversight plan to ensure that 
participants comply with the terms and conditions of participation, and 
procedures to protect the health and safety of study participants and 
the general public.
    (f) Exemptions for pilot programs may be granted only from one or 
more of the requirements contained in the following parts and sections 
of the FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Part 391--Qualifications of Drivers;
    (4) Part 392--Driving of Commercial Motor Vehicles;
    (5) Part 393--Parts and Accessories Necessary for Safe Operation;
    (6) Part 395--Hours of Service of Drivers;
    (7) Part 396--Inspection, Repair, and Maintenance (except for 
Sec. 396.25); and
    (8) Part 399--Step, Handhold and Deck Requirements.



Sec. 381.405  Who determines whether a pilot program should be initiated?

    (a) Generally, pilot programs are initiated by the FMCSA when the 
agency determines that there may be an effective alternative to one or 
more of the requirements in the FMCSRs, but does not have sufficient 
research data to support the development of a notice of proposed 
rulemaking to change the regulation.
    (b) You may request the FMCSA to initiate a pilot program. However, 
the decision of whether to propose a pilot program will be made at the 
discretion of the FMCSA. The FMCSA is not required to publish a notice 
in the Federal Register requesting public comment on your ideas or 
suggestions for pilot programs.



Sec. 381.410  What may I do if I have an idea or suggestion for a pilot program?

    (a) You may send a written statement (for example, a typed or 
handwritten (printed) letter) to the Federal Motor Carrier Safety 
Administrator, U.S. Department of Transportation, 400 Seventh Street, 
SW., Washington, DC 20590.
    (b) You should identify the persons or class of persons who would be 
covered by the pilot program exemptions. Your letter should include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individuals or motor carrier that would be 
responsible for the use or operation of CMVs covered by the pilot 
program, if there are motor carriers that have expressed an interest in 
participating in the program;
    (3) Principal place of business for the motor carrier (street 
address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier.
    (c) You should provide a written statement that:
    (1) Presents your estimate of the potential benefits to the motor 
carrier industry, the FMCSA, and the general public if the pilot program 
is conducted, and describes how you developed your estimate;
    (2) Estimates of the amount of time that would be needed to conduct 
the pilot program (e.g., the time needed to complete the collection and 
analysis of data);
    (3) Identifies the regulation from which the participants would need 
to be exempted;
    (4) Recommends a reasonable number of participants necessary to 
yield statistically valid findings;
    (5) Provides ideas or suggestions for a monitoring plan to ensure 
that participants comply with the terms and conditions of participation;
    (6) Provides ideas or suggestions for a plan to protect the health 
and safety of study participants and the general public.
    (7) Assesses the safety impacts the pilot program exemption may 
have; and
    (8) Provides recommendations on how the safety measures in the pilot 
project would be designed to achieve a level a safety that is equivalent 
to, or greater than, the level of safety that would be obtained by 
complying with the regulation.
    (d) Your recommendation should include a copy of all research 
reports,

[[Page 892]]

technical papers, publications and other documents you reference.



Sec. 381.415  Who should I contact if I have questions about the information to be included in my suggestion?

    You should contact the Office of Bus and Truck Standards and 
Operations, Federal Motor Carrier Safety Administration, 400 Seventh 
Street, SW., Washington, DC 20590. The telephone number is (202) 366-
1790.



Sec. 381.420  What will the FMCSA do after the agency receives my suggestion for a pilot program?

    (a) The Federal Motor Carrier Safety Administration will review your 
suggestion for a pilot program and make a recommendation to the 
Administrator. The final decision whether to propose the development of 
a pilot program based upon your recommendation will be made by the 
Administrator.
    (b) You will be sent a copy of the Administrator's decision. If the 
pilot program is approved, the agency will follow the administrative 
procedures contained in subpart E of this part.



         Subpart E--Administrative Procedures for Pilot Programs



Sec. 381.500  What are the general requirements the agency must satisfy in conducting a pilot program?

    (a) The FMCSA may conduct pilot programs to evaluate alternatives to 
regulations, or innovative approaches, concerning motor carrier, CMV, 
and driver safety.
    (b) Pilot programs may include exemptions from the regulations 
listed in Sec. 381.400(f) of this part.
    (c) Pilot programs must, at a minimum, include all of the program 
elements listed in Sec. 381.505.
    (d) The FMCSA will publish in the Federal Register a detailed 
description of each pilot program, including the exemptions to be 
considered, and provide notice and an opportunity for public comment 
before the effective date of the pilot program.



Sec. 381.505  What are the minimum elements required for a pilot program?

    (a) Safety measures. Before granting exemptions for a pilot program, 
the FMCSA will ensure that the safety measures in a pilot program are 
designed to achieve a level of safety that is equivalent to, or greater 
than, the level of safety that would be achieved by complying with the 
regulations.
    (b) Pilot program plan. Before initiating a pilot program, the FMCSA 
will ensure that there is a pilot program plan which includes the 
following elements:
    (1) A scheduled duration of three years or less;
    (2) A specific data collection and safety analysis plan that 
identifies a method of comparing the safety performance for motor 
carriers, CMVs, and drivers operating under the terms and conditions of 
the pilot program, with the safety performance of motor carriers, CMVs, 
and drivers that comply with the regulation;
    (3) A reasonable number of participants necessary to yield 
statistically valid findings;
    (4) A monitoring plan to ensure that participants comply with the 
terms and conditions of participation in the pilot program;
    (5) Adequate safeguards to protect the health and safety of study 
participants and the general public; and
    (6) A plan to inform the States and the public about the pilot 
program and to identify approved participants to enforcement personnel 
and the general public.



Sec. 381.510  May the FMCSA end a pilot program before its scheduled completion date?

    The FMCSA will immediately terminate a pilot program if there is 
reason to believe the program is not achieving a level of safety that is 
at least equivalent to the level of safety that would be achieved by 
complying with the regulations.



Sec. 381.515  May the FMCSA remove approved participants from a pilot program?

    The Administrator will immediately revoke participation in a pilot 
program of a motor carrier, CMV, or driver for

[[Page 893]]

failure to comply with the terms and conditions of the pilot program, or 
if continued participation is inconsistent with the goals and objectives 
of the safety regulations.



Sec. 381.520  What will the FMCSA do with the results from a pilot program?

    At the conclusion of each pilot program, the FMCSA will report to 
Congress the findings and conclusions of the program and any 
recommendations it considers appropriate, including suggested amendments 
to laws and regulations that would enhance motor carrier, CMV, and 
driver safety and improve compliance with the FMCSRs.



                  Subpart F--Preemption of State Rules



Sec. 381.600  Do waivers, exemptions, and pilot programs preempt State laws and regulations?

    Yes. During the time period that a waiver, exemption, or pilot 
program authorized by this part is in effect, no State shall enforce any 
law or regulation that conflicts with or is inconsistent with the 
waiver, exemption, or pilot program with respect to a person operating 
under the waiver or exemption or participating in the pilot program.



PART 382--CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING--Table of Contents




                           Subpart A--General

Sec.
382.101 Purpose
382.103 Applicability.
382.105 Testing procedures.
382.107 Definitions.
382.109 Preemption of State and local laws.
382.111 Other requirements imposed by employers.
382.113 Requirements for notice.
382.115 Starting date for testing programs.
382.117 Public interest exclusion.
382.119 Stand-down waiver provision.
382.121 Employee admission of alcohol and controlled substances use.

                         Subpart B--Prohibitions

382.201 Alcohol concentration.
382.205 On-duty use.
382.207 Pre-duty use.
382.209 Use following an accident.
382.211 Refusal to submit to a required alcohol or controlled substances 
          test.
382.213 Controlled substances use.
382.215 Controlled substances testing.

                        Subpart C--Tests Required

382.301 Pre-employment testing.
382.303 Post-accident testing.
382.305 Random testing.
382.307 Reasonable suspicion testing.
382.309 Return-to-duty testing.
382.311 Follow-up testing.

       Subpart D--Handling of Test Results, Record Retention, and 
                             Confidentiality

382.401 Retention of records.
382.403 Reporting of results in a management information system.
382.405 Access to facilities and records.
382.407 Medical review officer notifications to the employer.
382.409 Medical review officer record retention for controlled 
          substances.
382.411 Employer notifications.
382.413 Inquiries for alcohol and controlled substances information from 
          previous employers.

 Subpart E--Consequences for Drivers Engaging in Substance Use-Related 
                                 Conduct

382.501 Removal from safety-sensitive function.
382.503 Required evaluation and testing.
382.505 Other alcohol-related conduct.
382.507 Penalties.

  Subpart F--Alcohol Misuse and Controlled Substances Use Information, 
                         Training, and Referral

382.601 Employer obligation to promulgate a policy on the misuse of 
          alcohol and use of controlled substances.
382.603 Training for supervisors.
382.605 Referral, evaluation, and treatment.

    Authority: 49 U.S.C. 31133, 31136, 31301 et seq., 31502; and 49 CFR 
1.73.

    Source: 66 FR 43103, Aug. 17, 2001, unless otherwise noted.



                           Subpart A--General



Sec. 382.101  Purpose.

    The purpose of this part is to establish programs designed to help 
prevent accidents and injuries resulting from the misuse of alcohol or 
use of controlled substances by drivers of commercial motor vehicles.

[[Page 894]]



Sec. 382.103  Applicability.

    (a) This part applies to every person and to all employers of such 
persons who operate a commercial motor vehicle in commerce in any State, 
and is subject to:
    (1) The commercial driver's license requirements of part 383 of this 
subchapter;
    (2) The Licencia Federal de Conductor (Mexico) requirements; or
    (3) The commercial drivers license requirements of the Canadian 
National Safety Code.
    (b) An employer who employs himself/herself as a driver must comply 
with both the requirements in this part that apply to employers and the 
requirements in this part that apply to drivers. An employer who employs 
only himself/herself as a driver shall implement a random alcohol and 
controlled substances testing program of two or more covered employees 
in the random testing selection pool.
    (c) The exceptions contained in Sec. 390.3(f) of this subchapter do 
not apply to this part. The employers and drivers identified in 
Sec. 390.3(f) of this subchapter must comply with the requirements of 
this part, unless otherwise specifically provided in paragraph (d) of 
this section.
    (d) Exceptions. This part shall not apply to employers and their 
drivers:
    (1) Required to comply with the alcohol and/or controlled substances 
testing requirements of part 655 of this title (Federal Transit 
Administration alcohol and controlled substances testing regulations); 
or
    (2) Who a State must waive from the requirements of part 383 of this 
subchapter. These individuals include active duty military personnel; 
members of the reserves; and members of the national guard on active 
duty, including personnel on full-time national guard duty, personnel on 
part-time national guard training and national guard military 
technicians (civilians who are required to wear military uniforms), and 
active duty U.S. Coast Guard personnel; or
    (3) Who a State has, at its discretion, exempted from the 
requirements of part 383 of this subchapter. These individuals may be:
    (i) Operators of a farm vehicle which is:
    (A) Controlled and operated by a farmer;
    (B) Used to transport either agricultural products, farm machinery, 
farm supplies, or both to or from a farm;
    (C) Not used in the operations of a common or contract motor 
carrier; and
    (D) Used within 241 kilometers (150 miles) of the farmer's farm.
    (ii) Firefighters or other persons who operate commercial motor 
vehicles which are necessary for the preservation of life or property or 
the execution of emergency governmental functions, are equipped with 
audible and visual signals, and are not subject to normal traffic 
regulation.



Sec. 382.105  Testing procedures.

    Each employer shall ensure that all alcohol or controlled substances 
testing conducted under this part complies with the procedures set forth 
in part 40 of this title. The provisions of part 40 of this title that 
address alcohol or controlled substances testing are made applicable to 
employers by this part.



Sec. 382.107  Definitions.

    Words or phrases used in this part are defined in Secs. 386.2 and 
390.5 of this subchapter, and Sec. 40.3 of this title, except as 
provided in this section--
    Actual knowledge for the purpose of subpart B of this part, means 
actual knowledge by an employer that a driver has used alcohol or 
controlled substances based on the employer's direct observation of the 
employee, information provided by the driver's previous employer(s), a 
traffic citation for driving a CMV while under the influence of alcohol 
or controlled substances or an employee's admission of alcohol or 
controlled substance use, except as provided in Sec. 382.121. Direct 
observation as used in this definition means observation of alcohol or 
controlled substances use and does not include observation of employee 
behavior or physical characteristics sufficient to warrant reasonable 
suspicion testing under Sec. 382.307.
    Alcohol means the intoxicating agent in beverage alcohol, ethyl 
alcohol, or other low molecular weight alcohols including methyl and 
isopropyl alcohol.

[[Page 895]]

    Alcohol concentration (or content) means the alcohol in a volume of 
breath expressed in terms of grams of alcohol per 210 liters of breath 
as indicated by an evidential breath test under this part.
    Alcohol use means the drinking or swallowing of any beverage, liquid 
mixture or preparation (including any medication), containing alcohol.
    Commerce means:
    (1) Any trade, traffic or transportation within the jurisdiction of 
the United States between a place in a State and a place outside of such 
State, including a place outside of the United States; and
    (2) Trade, traffic, and transportation in the United States which 
affects any trade, traffic, and transportation described in paragraph 
(1) of this definition.
    Commercial motor vehicle means a motor vehicle or combination of 
motor vehicles used in commerce to transport passengers or property if 
the vehicle--
    (1) Has a gross combination weight rating of 11,794 or more 
kilograms (26,001 or more pounds) inclusive of a towed unit with a gross 
vehicle weight rating of more than 4,536 kilograms (10,000 pounds); or
    (2) Has a gross vehicle weight rating of 11,794 or more kilograms 
(26,001 or more pounds); or
    (3) Is designed to transport 16 or more passengers, including the 
driver; or
    (4) Is of any size and is used in the transportation of materials 
found to be hazardous for the purposes of the Hazardous Materials 
Transportation Act (49 U.S.C. 5103(b)) and which require the motor 
vehicle to be placarded under the Hazardous Materials Regulations (49 
CFR part 172, subpart F).
    Confirmation (or confirmatory) drug test means a second analytical 
procedure performed on a urine specimen to identify and quantify the 
presence of a specific drug or drug metabolite.
    Confirmation (or confirmatory) validity test means a second test 
performed on a urine specimen to further support a validity test result.
    Confirmed drug test means a confirmation test result received by an 
MRO from a laboratory.
    Consortium/Third party administrator (C/TPA) means a service agent 
that provides or coordinates one or more drug and/or alcohol testing 
services to DOT-regulated employers. C/TPAs typically provide or 
coordinate the provision of a number of such services and perform 
administrative tasks concerning the operation of the employers' drug and 
alcohol testing programs. This term includes, but is not limited to, 
groups of employers who join together to administer, as a single entity, 
the DOT drug and alcohol testing programs of its members (e.g., having a 
combined random testing pool). C/TPAs are not ``employers'' for purposes 
of this part.
    Controlled substances mean those substances identified in Sec. 40.85 
of this title.
    Designated employer representative (DER) is an individual identified 
by the employer as able to receive communications and test results from 
service agents and who is authorized to take immediate actions to remove 
employees from safety-sensitive duties and to make required decisions in 
the testing and evaluation processes. The individual must be an employee 
of the company. Service agents cannot serve as DERs.
    Disabling damage means damage which precludes departure of a motor 
vehicle from the scene of the accident in its usual manner in daylight 
after simple repairs.
    (1) Inclusions. Damage to motor vehicles that could have been 
driven, but would have been further damaged if so driven.
    (2) Exclusions. (i) Damage which can be remedied temporarily at the 
scene of the accident without special tools or parts.
    (ii) Tire disablement without other damage even if no spare tire is 
available.
    (iii) Headlight or taillight damage.
    (iv) Damage to turn signals, horn, or windshield wipers which make 
them inoperative.
    DOT Agency means an agency (or ``operating administration'') of the 
United States Department of Transportation administering regulations 
requiring alcohol and/or drug testing (14 CFR parts 61, 63, 65, 121, and 
135; 49 CFR

[[Page 896]]

parts 199, 219, 382, and 655), in accordance with part 40 of this title.
    Driver means any person who operates a commercial motor vehicle. 
This includes, but is not limited to: Full time, regularly employed 
drivers; casual, intermittent or occasional drivers; leased drivers and 
independent owner-operator contractors.
    Employer means a person or entity employing one or more employees 
(including an individual who is self-employed) that is subject to DOT 
agency regulations requiring compliance with this part. The term, as 
used in this part, means the entity responsible for overall 
implementation of DOT drug and alcohol program requirements, including 
individuals employed by the entity who take personnel actions resulting 
from violations of this part and any applicable DOT agency regulations. 
Service agents are not employers for the purposes of this part.
    Licensed medical practitioner means a person who is licensed, 
certified, and/or registered, in accordance with applicable Federal, 
State, local, or foreign laws and regulations, to prescribe controlled 
substances and other drugs.
    Performing (a safety-sensitive function) means a driver is 
considered to be performing a safety-sensitive function during any 
period in which he or she is actually performing, ready to perform, or 
immediately available to perform any safety-sensitive functions.
    Positive rate means the number of positive results for random 
controlled substances tests conducted under this part plus the number of 
refusals of random controlled substances tests required by this part, 
divided by the total of random controlled substances tests conducted 
under this part plus the number of refusals of random tests required by 
this part.
    Refuse to submit (to an alcohol or controlled substances test) means 
that a driver:
    (1) Fail to appear for any test (except a pre-employment test) 
within a reasonable time, as determined by the employer, consistent with 
applicable DOT agency regulations, after being directed to do so by the 
employer. This includes the failure of an employee (including an owner-
operator) to appear for a test when called by a C/TPA (see Sec. 40.61(a) 
of this title);
    (2) Fail to remain at the testing site until the testing process is 
complete. Provided, that an employee who leaves the testing site before 
the testing process commences (see Sec. 40.63(c) of this title) a pre-
employment test is not deemed to have refused to test;
    (3) Fail to provide a urine specimen for any drug test required by 
this part or DOT agency regulations. Provided, that an employee who does 
not provide a urine specimen because he or she has left the testing site 
before the testing process commences (see Sec. 40.63(c) of this title) 
for a pre-employment test is not deemed to have refused to test;
    (4) In the case of a directly observed or monitored collection in a 
drug test, fails to permit the observation or monitoring of the driver's 
provision of a specimen (see Secs. 40.67(l) and 40.69(g) of this title);
    (5) Fail to provide a sufficient amount of urine when directed, and 
it has been determined, through a required medical evaluation, that 
there was no adequate medical explanation for the failure (see 
Sec. 40.193(d)(2) of this title);
    (6) Fail or declines to take a second test the employer or collector 
has directed the driver to take;
    (7) Fail to undergo a medical examination or evaluation, as directed 
by the MRO as part of the verification process, or as directed by the 
DER under Sec. 40.193(d) of this title. In the case of a pre-employment 
drug test, the employee is deemed to have refused to test on this basis 
only if the pre-employment test is conducted following a contingent 
offer of employment;
    (8) Fail to cooperate with any part of the testing process (e.g., 
refuse to empty pockets when so directed by the collector, behave in a 
confrontational way that disrupts the collection process); or
    (9) Is reported by the MRO as having a verified adulterated or 
substituted test result.
    Safety-sensitive function means all time from the time a driver 
begins to work or is required to be in readiness to work until the time 
he/she is relieved from work and all responsibility

[[Page 897]]

for performing work. Safety-sensitive functions shall include:
    (1) All time at an employer or shipper plant, terminal, facility, or 
other property, or on any public property, waiting to be dispatched, 
unless the driver has been relieved from duty by the employer;
    (2) All time inspecting equipment as required by Secs. 392.7 and 
392.8 of this subchapter or otherwise inspecting, servicing, or 
conditioning any commercial motor vehicle at any time;
    (3) All time spent at the driving controls of a commercial motor 
vehicle in operation;
    (4) All time, other than driving time, in or upon any commercial 
motor vehicle except time spent resting in a sleeper berth (a berth 
conforming to the requirements of Sec. 393.76 of this subchapter);
    (5) All time loading or unloading a vehicle, supervising, or 
assisting in the loading or unloading, attending a vehicle being loaded 
or unloaded, remaining in readiness to operate the vehicle, or in giving 
or receiving receipts for shipments loaded or unloaded; and
    (6) All time repairing, obtaining assistance, or remaining in 
attendance upon a disabled vehicle.
    Screening test (or initial test) means:
    (1) In drug testing, a test to eliminate ``negative'' urine 
specimens from further analysis or to identify a specimen that requires 
additional testing for the presence of drugs.
    (2) In alcohol testing, an analytical procedure to determine whether 
an employee may have a prohibited concentration of alcohol in a breath 
or saliva specimen.
    Stand-down means the practice of temporarily removing an employee 
from the performance of safety-sensitive functions based only on a 
report from a laboratory to the MRO of a confirmed positive test for a 
drug or drug metabolite, an adulterated test, or a substituted test, 
before the MRO has completed verification of the test results.
    Violation rate means the number of drivers (as reported under 
Sec. 382.305) found during random tests given under this part to have an 
alcohol concentration of 0.04 or greater, plus the number of drivers who 
refuse a random test required by this part, divided by the total 
reported number of drivers in the industry given random alcohol tests 
under this part plus the total reported number of drivers in the 
industry who refuse a random test required by this part.



Sec. 382.109  Preemption of State and local laws.

    (a) Except as provided in paragraph (b) of this section, this part 
preempts any State or local law, rule, regulation, or order to the 
extent that:
    (1) Compliance with both the State or local requirement in this part 
is not possible; or
    (2) Compliance with the State or local requirement is an obstacle to 
the accomplishment and execution of any requirement in this part.
    (b) This part shall not be construed to preempt provisions of State 
criminal law that impose sanctions for reckless conduct leading to 
actual loss of life, injury, or damage to property, whether the 
provisions apply specifically to transportation employees, employers, or 
the general public.



Sec. 382.111  Other requirements imposed by employers.

    Except as expressly provided in this part, nothing in this part 
shall be construed to affect the authority of employers, or the rights 
of drivers, with respect to the use of alcohol, or the use of controlled 
substances, including authority and rights with respect to testing and 
rehabilitation.



Sec. 382.113  Requirement for notice.

    Before performing each alcohol or controlled substances test under 
this part, each employer shall notify a driver that the alcohol or 
controlled substances test is required by this part. No employer shall 
falsely represent that a test is administered under this part.



Sec. 382.115  Starting date for testing programs.

    (a) All domestic-domiciled employers must implement the requirements 
of this part on the date the employer begins commercial motor vehicle 
operations.
    (b) All foreign-domiciled employers must implement the requirements 
of

[[Page 898]]

this part on the date the employer begins commercial motor vehicle 
operations in the United States.



Sec. 382.117  Public interest exclusion.

    No employer shall use the services of a service agent who is subject 
to public interest exclusion in accordance with 49 CFR part 40, Subpart 
R.



Sec. 382.119  Stand-down waiver provision.

    (a) Employers are prohibited from standing employees down, except 
consistent with a waiver from the Federal Motor Carrier Safety 
Administration as required under this section.
    (b) An employer subject to this part who seeks a waiver from the 
prohibition against standing down an employee before the MRO has 
completed the verification process shall follow the procedures in 49 CFR 
40.21. The employer must send a written request, which includes all of 
the information required by that section to the Federal Motor Carrier 
Safety Administrator (or the Administrator's designee), U.S. Department 
of Transportation, 400 Seventh Street, SW., Washington, DC 20590.
    (c) The final decision whether to grant or deny the application for 
a waiver will be made by the Administrator or the Administrator's 
designee.
    (d) After a decision is signed by the Administrator or the 
Administrator's designee, the employer will be sent a copy of the 
decision, which will include the terms and conditions for the waiver or 
the reason for denying the application for a waiver.
    (e) Questions regarding waiver applications should be directed to 
the Office of Enforcement and Compliance, Federal Motor Carrier Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590. The 
telephone number is (202) 366-5720.



Sec. 382.121  Employee admission of alcohol and controlled substances use.

    (a) Employees who admit to alcohol misuse or controlled substances 
use are not subject to the referral, evaluation and treatment 
requirements of this part and part 40 of this title, provided that:
    (1) The admission is in accordance with a written employer-
established voluntary self-identification program or policy that meets 
the requirements of paragraph (b) of this section;
    (2) The driver does not self-identify in order to avoid testing 
under the requirements of this part;
    (3) The driver makes the admission of alcohol misuse or controlled 
substances use prior to performing a safety sensitive function (i.e., 
prior to reporting for duty); and
    (4) The driver does not perform a safety sensitive function until 
the employer is satisfied that the employee has been evaluated and has 
successfully completed education or treatment requirements in accordance 
with the self-identification program guidelines.
    (b) A qualified voluntary self-identification program or policy must 
contain the following elements:
    (1) It must prohibit the employer from taking adverse action against 
an employee making a voluntary admission of alcohol misuse or controlled 
substances use within the parameters of the program or policy and 
paragraph (a) of this section;
    (2) It must allow the employee sufficient opportunity to seek 
evaluation, education or treatment to establish control over the 
employee's drug or alcohol problem;
    (3) It must permit the employee to return to safety sensitive duties 
only upon successful completion of an educational or treatment program, 
as determined by a drug and alcohol abuse evaluation expert, i.e., 
employee assistance professional, substance abuse professional, or 
qualified drug and alcohol counselor;
    (4) It must ensure that:
    (i) Prior to the employee participating in a safety sensitive 
function, the employee shall undergo a return to duty test with a result 
indicating an alcohol concentration of less than 0.02; and/or
    (ii) Prior to the employee participating in a safety sensitive 
function, the employee shall undergo a return to duty controlled 
substance test with a verified negative test result for controlled 
substances use; and

[[Page 899]]

    (5) It may incorporate employee monitoring and include non-DOT 
follow-up testing.



                         Subpart B--Prohibitions



Sec. 382.201  Alcohol concentration.

    No driver shall report for duty or remain on duty requiring the 
performance of safety-sensitive functions while having an alcohol 
concentration of 0.04 or greater. No employer having actual knowledge 
that a driver has an alcohol concentration of 0.04 or greater shall 
permit the driver to perform or continue to perform safety-sensitive 
functions.



Sec. 382.205  On-duty use.

    No driver shall use alcohol while performing safety-sensitive 
functions. No employer having actual knowledge that a driver is using 
alcohol while performing safety-sensitive functions shall permit the 
driver to perform or continue to perform safety-sensitive functions.



Sec. 382.207  Pre-duty use.

    No driver shall perform safety-sensitive functions within four hours 
after using alcohol. No employer having actual knowledge that a driver 
has used alcohol within four hours shall permit a driver to perform or 
continue to perform safety-sensitive functions.



Sec. 382.209  Use following an accident.

    No driver required to take a post-accident alcohol test under 
Sec. 382.303 shall use alcohol for eight hours following the accident, 
or until he/she undergoes a post-accident alcohol test, whichever occurs 
first.



Sec. 382.211  Refusal to submit to a required alcohol or controlled substances test.

    No driver shall refuse to submit to a post-accident alcohol or 
controlled substances test required under Sec. 382.303, a random alcohol 
or controlled substances test required under Sec. 382.305, a reasonable 
suspicion alcohol or controlled substances test required under 
Sec. 382.307, or a follow-up alcohol or controlled substances test 
required under Sec. 382.311. No employer shall permit a driver who 
refuses to submit to such tests to perform or continue to perform 
safety-sensitive functions.



Sec. 382.213  Controlled substances use.

    (a) No driver shall report for duty or remain on duty requiring the 
performance of safety-sensitive functions when the driver uses any 
controlled substance, except when the use is pursuant to the 
instructions of a licensed medical practitioner, as defined in 
Sec. 382.107, who has advised the driver that the substance will not 
adversely affect the driver's ability to safely operate a commercial 
motor vehicle.
    (b) No employer having actual knowledge that a driver has used a 
controlled substance shall permit the driver to perform or continue to 
perform a safety-sensitive function.
    (c) An employer may require a driver to inform the employer of any 
therapeutic drug use.



Sec. 382.215  Controlled substances testing.

    No driver shall report for duty, remain on duty or perform a safety-
sensitive function, if the driver tests positive or has adulterated or 
substituted a test specimen for controlled substances. No employer 
having actual knowledge that a driver has tested positive or has 
adulterated or substituted a test specimen for controlled substances 
shall permit the driver to perform or continue to perform safety-
sensitive functions.



                        Subpart C--Tests Required



Sec. 382.301  Pre-employment testing.

    (a) Prior to the first time a driver performs safety-sensitive 
functions for an employer, the driver shall undergo testing for 
controlled substances as a condition prior to being used, unless the 
employer uses the exception in paragraph (b) of this section. No 
employer shall allow a driver, who the employer intends to hire or use, 
to perform safety-sensitive functions unless the employer has received a 
controlled substances test result from the MRO or C/TPA indicating a 
verified negative test result for that driver.
    (b) An employer is not required to administer a controlled 
substances test

[[Page 900]]

required by paragraph (a) of this section if:
    (1) The driver has participated in a controlled substances testing 
program that meets the requirements of this part within the previous 30 
days; and
    (2) While participating in that program, either:
    (i) Was tested for controlled substances within the past 6 months 
(from the date of application with the employer), or
    (ii) Participated in the random controlled substances testing 
program for the previous 12 months (from the date of application with 
the employer); and
    (3) The employer ensures that no prior employer of the driver of 
whom the employer has knowledge has records of a violation of this part 
or the controlled substances use rule of another DOT agency within the 
previous six months.
    (c)(1) An employer who exercises the exception in paragraph (b) of 
this section shall contact the controlled substances testing program(s) 
in which the driver participates or participated and shall obtain and 
retain from the testing program(s) the following information:
    (i) Name(s) and address(es) of the program(s).
    (ii) Verification that the driver participates or participated in 
the program(s).
    (iii) Verification that the program(s) conforms to part 40 of this 
title.
    (iv) Verification that the driver is qualified under the rules of 
this part, including that the driver has not refused to be tested for 
controlled substances.
    (v) The date the driver was last tested for controlled substances.
    (vi) The results of any tests taken within the previous six months 
and any other violations of subpart B of this part.
    (2) An employer who uses, but does not employ a driver more than 
once a year to operate commercial motor vehicles must obtain the 
information in paragraph (c)(1) of this section at least once every six 
months. The records prepared under this paragraph shall be maintained in 
accordance with Sec. 382.401. If the employer cannot verify that the 
driver is participating in a controlled substances testing program in 
accordance with this part and part 40 of this title, the employer shall 
conduct a pre-employment controlled substances test.
    (d) An employer may, but is not required to, conduct pre-employment 
alcohol testing under this part. If an employer chooses to conduct pre-
employment alcohol testing, it must comply with the following 
requirements:
    (1) It must conduct a pre-employment alcohol test before the first 
performance of safety-sensitive functions by every covered employee 
(whether a new employee or someone who has transferred to a position 
involving the performance of safety-sensitive functions).
    (2) It must treat all safety-sensitive employees performing safety-
sensitive functions the same for the purpose of pre-employment alcohol 
testing (i.e., it must not test some covered employees and not others).
    (3) It must conduct the pre-employment tests after making a 
contingent offer of employment or transfer, subject to the employee 
passing the pre-employment alcohol test.
    (4) It must conduct all pre-employment alcohol tests using the 
alcohol testing procedures of 49 CFR part 40 of this title.
    (5) It must not allow a covered employee to begin performing safety-
sensitive functions unless the result of the employee's test indicates 
an alcohol concentration of less than 0.04.



Sec. 382.303  Post-accident testing.

    (a) As soon as practicable following an occurrence involving a 
commercial motor vehicle operating on a public road in commerce, each 
employer shall test for alcohol for each of its surviving drivers:
    (1) Who was performing safety-sensitive functions with respect to 
the vehicle, if the accident involved the loss of human life; or
    (2) Who receives a citation within 8 hours of the occurrence under 
State or local law for a moving traffic violation arising from the 
accident, if the accident involved:
    (i) Bodily injury to any person who, as a result of the injury, 
immediately

[[Page 901]]

receives medical treatment away from the scene of the accident; or
    (ii) One or more motor vehicles incurring disabling damage as a 
result of the accident, requiring the motor vehicle to be transported 
away from the scene by a tow truck or other motor vehicle.
    (b) As soon as practicable following an occurrence involving a 
commercial motor vehicle operating on a public road in commerce, each 
employer shall test for controlled substances for each of its surviving 
drivers:
    (1) Who was performing safety-sensitive functions with respect to 
the vehicle, if the accident involved the loss of human life; or
    (2) Who receives a citation within thirty-two hours of the 
occurrence under State or local law for a moving traffic violation 
arising from the accident, if the accident involved:
    (i) Bodily injury to any person who, as a result of the injury, 
immediately receives medical treatment away from the scene of the 
accident; or
    (ii) One or more motor vehicles incurring disabling damage as a 
result of the accident, requiring the motor vehicle to be transported 
away from the scene by a tow truck or other motor vehicle.
    (c) The following table notes when a post-accident test is required 
to be conducted by paragraphs (a)(1), (a)(2), (b)(1), and (b)(2) of this 
section:

                                       Table for Sec.  382.303(a) and (b)
----------------------------------------------------------------------------------------------------------------
       Type of accident involved         Citation issued to the CMV driver    Test must be performed by employer
----------------------------------------------------------------------------------------------------------------
i. Human fatality.....................  YES................................  YES.
                                        NO.................................  YES.
ii. Bodily injury with immediate        YES................................  YES.
 medical treatment away from the scene. NO.................................  NO.
iii. Disabling damage to any motor      YES................................  YES.
 vehicle requiring tow away.            NO.................................  NO.
----------------------------------------------------------------------------------------------------------------

    (d)(1) Alcohol tests. If a test required by this section is not 
administered within two hours following the accident, the employer shall 
prepare and maintain on file a record stating the reasons the test was 
not promptly administered. If a test required by this section is not 
administered within eight hours following the accident, the employer 
shall cease attempts to administer an alcohol test and shall prepare and 
maintain the same record. Records shall be submitted to the FMCSA upon 
request.
    (2) Controlled substance tests. If a test required by this section 
is not administered within 32 hours following the accident, the employer 
shall cease attempts to administer a controlled substances test, and 
prepare and maintain on file a record stating the reasons the test was 
not promptly administered. Records shall be submitted to the FMCSA upon 
request.
    (e) A driver who is subject to post-accident testing shall remain 
readily available for such testing or may be deemed by the employer to 
have refused to submit to testing. Nothing in this section shall be 
construed to require the delay of necessary medical attention for 
injured people following an accident or to prohibit a driver from 
leaving the scene of an accident for the period necessary to obtain 
assistance in responding to the accident, or to obtain necessary 
emergency medical care.
    (f) An employer shall provide drivers with necessary post-accident 
information, procedures and instructions, prior to the driver operating 
a commercial motor vehicle, so that drivers will be

[[Page 902]]

able to comply with the requirements of this section.
    (g)(1) The results of a breath or blood test for the use of alcohol, 
conducted by Federal, State, or local officials having independent 
authority for the test, shall be considered to meet the requirements of 
this section, provided such tests conform to the applicable Federal, 
State or local alcohol testing requirements, and that the results of the 
tests are obtained by the employer.
    (2) The results of a urine test for the use of controlled 
substances, conducted by Federal, State, or local officials having 
independent authority for the test, shall be considered to meet the 
requirements of this section, provided such tests conform to the 
applicable Federal, State or local controlled substances testing 
requirements, and that the results of the tests are obtained by the 
employer.
    (h) Exception. This section does not apply to:
    (1) An occurrence involving only boarding or alighting from a 
stationary motor vehicle; or
    (2) An occurrence involving only the loading or unloading of cargo; 
or
    (3) An occurrence in the course of the operation of a passenger car 
or a multipurpose passenger vehicle (as defined in Sec. 571.3 of this 
title) by an employer unless the motor vehicle is transporting 
passengers for hire or hazardous materials of a type and quantity that 
require the motor vehicle to be marked or placarded in accordance with 
Sec. 177.823 of this title.



Sec. 382.305  Random testing.

    (a) Every employer shall comply with the requirements of this 
section. Every driver shall submit to random alcohol and controlled 
substance testing as required in this section.
    (b)(1) Except as provided in paragraphs (c) through (e) of this 
section, the minimum annual percentage rate for random alcohol testing 
shall be 10 percent of the average number of driver positions.
    (2) Except as provided in paragraphs (f) through (h) of this 
section, the minimum annual percentage rate for random controlled 
substances testing shall be 50 percent of the average number of driver 
positions.
    (c) The FMCSA Administrator's decision to increase or decrease the 
minimum annual percentage rate for alcohol testing is based on the 
reported violation rate for the entire industry. All information used 
for this determination is drawn from the alcohol management information 
system reports required by Sec. 382.403. In order to ensure reliability 
of the data, the FMCSA Administrator considers the quality and 
completeness of the reported data, may obtain additional information or 
reports from employers, and may make appropriate modifications in 
calculating the industry violation rate. In the event of a change in the 
annual percentage rate, the FMCSA Administrator will publish in the 
Federal Register the new minimum annual percentage rate for random 
alcohol testing of drivers. The new minimum annual percentage rate for 
random alcohol testing will be applicable starting January 1 of the 
calendar year following publication in the Federal Register.
    (d)(1) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or more, the FMCSA Administrator may lower this 
rate to 10 percent of all driver positions if the FMCSA Administrator 
determines that the data received under the reporting requirements of 
Sec. 382.403 for two consecutive calendar years indicate that the 
violation rate is less than 0.5 percent.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 50 percent, the FMCSA Administrator may lower this rate to 25 
percent of all driver positions if the FMCSA Administrator determines 
that the data received under the reporting requirements of Sec. 382.403 
for two consecutive calendar years indicate that the violation rate is 
less than 1.0 percent but equal to or greater than 0.5 percent.
    (e)(1) When the minimum annual percentage rate for random alcohol 
testing is 10 percent, and the data received under the reporting 
requirements of Sec. 382.403 for that calendar year indicate that the 
violation rate is equal to or greater than 0.5 percent, but less than 
1.0 percent, the FMCSA Administrator

[[Page 903]]

will increase the minimum annual percentage rate for random alcohol 
testing to 25 percent for all driver positions.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or less, and the data received under the reporting 
requirements of Sec. 382.403 for that calendar year indicate that the 
violation rate is equal to or greater than 1.0 percent, the FMCSA 
Administrator will increase the minimum annual percentage rate for 
random alcohol testing to 50 percent for all driver positions.
    (f) The FMCSA Administrator's decision to increase or decrease the 
minimum annual percentage rate for controlled substances testing is 
based on the reported positive rate for the entire industry. All 
information used for this determination is drawn from the controlled 
substances management information system reports required by 
Sec. 382.403. In order to ensure reliability of the data, the FMCSA 
Administrator considers the quality and completeness of the reported 
data, may obtain additional information or reports from employers, and 
may make appropriate modifications in calculating the industry positive 
rate. In the event of a change in the annual percentage rate, the FMCSA 
Administrator will publish in the Federal Register the new minimum 
annual percentage rate for controlled substances testing of drivers. The 
new minimum annual percentage rate for random controlled substances 
testing will be applicable starting January 1 of the calendar year 
following publication in the Federal Register.
    (g) When the minimum annual percentage rate for random controlled 
substances testing is 50 percent, the FMCSA Administrator may lower this 
rate to 25 percent of all driver positions if the FMCSA Administrator 
determines that the data received under the reporting requirements of 
Sec. 382.403 for two consecutive calendar years indicate that the 
positive rate is less than 1.0 percent.
    (h) When the minimum annual percentage rate for random controlled 
substances testing is 25 percent, and the data received under the 
reporting requirements of Sec. 382.403 for any calendar year indicate 
that the reported positive rate is equal to or greater than 1.0 percent, 
the FMCSA Administrator will increase the minimum annual percentage rate 
for random controlled substances testing to 50 percent of all driver 
positions.
    (i)(1) The selection of drivers for random alcohol and controlled 
substances testing shall be made by a scientifically valid method, such 
as a random number table or a computer-based random number generator 
that is matched with drivers' Social Security numbers, payroll 
identification numbers, or other comparable identifying numbers.
    (2) Each driver selected for random alcohol and controlled 
substances testing under the selection process used, shall have an equal 
chance of being tested each time selections are made.
    (3) Each driver selected for testing shall be tested during the 
selection period.
    (j) The employer shall randomly select a sufficient number of 
drivers for testing during each calendar year to equal an annual rate 
not less than the minimum annual percentage rate for random alcohol and 
controlled substances testing determined by the FMCSA Administrator. If 
the employer conducts random testing for alcohol and/or controlled 
substances through a C/TPA, the number of drivers to be tested may be 
calculated for each individual employer or may be based on the total 
number of drivers covered by the C/TPA who are subject to random alcohol 
and/or controlled substances testing at the same minimum annual 
percentage rate under this part.
    (k)(1) Each employer shall ensure that random alcohol and controlled 
substances tests conducted under this part are unannounced.
    (2) Each employer shall ensure that the dates for administering 
random alcohol and controlled substances tests conducted under this part 
are spread reasonably throughout the calendar year.
    (l) Each employer shall require that each driver who is notified of 
selection for random alcohol and/or controlled substances testing 
proceeds to the test site immediately; provided, however, that if the 
driver is performing a safety-sensitive function, other than driving a 
commercial motor vehicle, at the

[[Page 904]]

time of notification, the employer shall instead ensure that the driver 
ceases to perform the safety-sensitive function and proceeds to the 
testing site as soon as possible.
    (m) A driver shall only be tested for alcohol while the driver is 
performing safety-sensitive functions, just before the driver is to 
perform safety-sensitive functions, or just after the driver has ceased 
performing such functions.
    (n) If a given driver is subject to random alcohol or controlled 
substances testing under the random alcohol or controlled substances 
testing rules of more than one DOT agency for the same employer, the 
driver shall be subject to random alcohol and/or controlled substances 
testing at the annual percentage rate established for the calendar year 
by the DOT agency regulating more than 50 percent of the driver's 
function.
    (o) If an employer is required to conduct random alcohol or 
controlled substances testing under the alcohol or controlled substances 
testing rules of more than one DOT agency, the employer may--
    (1) Establish separate pools for random selection, with each pool 
containing the DOT-covered employees who are subject to testing at the 
same required minimum annual percentage rate; or
    (2) Randomly select such employees for testing at the highest 
minimum annual percentage rate established for the calendar year by any 
DOT agency to which the employer is subject.

[66 FR 43103, Aug. 17, 2001, as amended at 67 FR 61821, Oct. 2, 2002]



Sec. 382.307  Reasonable suspicion testing.

    (a) An employer shall require a driver to submit to an alcohol test 
when the employer has reasonable suspicion to believe that the driver 
has violated the prohibitions of subpart B of this part concerning 
alcohol. The employer's determination that reasonable suspicion exists 
to require the driver to undergo an alcohol test must be based on 
specific, contemporaneous, articulable observations concerning the 
appearance, behavior, speech or body odors of the driver.
    (b) An employer shall require a driver to submit to a controlled 
substances test when the employer has reasonable suspicion to believe 
that the driver has violated the prohibitions of subpart B of this part 
concerning controlled substances. The employer's determination that 
reasonable suspicion exists to require the driver to undergo a 
controlled substances test must be based on specific, contemporaneous, 
articulable observations concerning the appearance, behavior, speech or 
body odors of the driver. The observations may include indications of 
the chronic and withdrawal effects of controlled substances.
    (c) The required observations for alcohol and/or controlled 
substances reasonable suspicion testing shall be made by a supervisor or 
company official who is trained in accordance with Sec. 382.603. The 
person who makes the determination that reasonable suspicion exists to 
conduct an alcohol test shall not conduct the alcohol test of the 
driver.
    (d) Alcohol testing is authorized by this section only if the 
observations required by paragraph (a) of this section are made during, 
just preceding, or just after the period of the work day that the driver 
is required to be in compliance with this part. A driver may be directed 
by the employer to only undergo reasonable suspicion testing while the 
driver is performing safety-sensitive functions, just before the driver 
is to perform safety-sensitive functions, or just after the driver has 
ceased performing such functions.
    (e)(1) If an alcohol test required by this section is not 
administered within two hours following the determination under 
paragraph (a) of this section, the employer shall prepare and maintain 
on file a record stating the reasons the alcohol test was not promptly 
administered. If an alcohol test required by this section is not 
administered within eight hours following the determination under 
paragraph (a) of this section, the employer shall cease attempts to 
administer an alcohol test and shall state in the record the reasons for 
not administering the test.
    (2) Notwithstanding the absence of a reasonable suspicion alcohol 
test under this section, no driver shall report for duty or remain on 
duty requiring the

[[Page 905]]

performance of safety-sensitive functions while the driver is under the 
influence of or impaired by alcohol, as shown by the behavioral, speech, 
and performance indicators of alcohol misuse, nor shall an employer 
permit the driver to perform or continue to perform safety-sensitive 
functions, until:
    (i) An alcohol test is administered and the driver's alcohol 
concentration measures less than 0.02; or
    (ii) Twenty four hours have elapsed following the determination 
under paragraph (a) of this section that there is reasonable suspicion 
to believe that the driver has violated the prohibitions in this part 
concerning the use of alcohol.
    (3) Except as provided in paragraph (e)(2) of this section, no 
employer shall take any action under this part against a driver based 
solely on the driver's behavior and appearance, with respect to alcohol 
use, in the absence of an alcohol test. This does not prohibit an 
employer with independent authority of this part from taking any action 
otherwise consistent with law.
    (f) A written record shall be made of the observations leading to an 
alcohol or controlled substances reasonable suspicion test, and signed 
by the supervisor or company official who made the observations, within 
24 hours of the observed behavior or before the results of the alcohol 
or controlled substances tests are released, whichever is earlier.



Sec. 382.309  Return-to-duty testing.

    The requirements for return-to-duty testing must be performed in 
accordance with 49 CFR part 40, Subpart O.



Sec. 382.311  Follow-up testing.

    The requirements for follow-up testing must be performed in 
accordance with 49 CFR part 40, Subpart O.



      Subpart D--Handling of Test Results, Records Retention, and 
                             Confidentiality



Sec. 382.401  Retention of records.

    (a) General requirement. Each employer shall maintain records of its 
alcohol misuse and controlled substances use prevention programs as 
provided in this section. The records shall be maintained in a secure 
location with controlled access.
    (b) Period of retention. Each employer shall maintain the records in 
accordance with the following schedule:
    (1) Five years. The following records shall be maintained for a 
minimum of five years:
    (i) Records of driver alcohol test results indicating an alcohol 
concentration of 0.02 or greater,
    (ii) Records of driver verified positive controlled substances test 
results,
    (iii) Documentation of refusals to take required alcohol and/or 
controlled substances tests,
    (iv) Driver evaluation and referrals,
    (v) Calibration documentation,
    (vi) Records related to the administration of the alcohol and 
controlled substances testing programs, and
    (vii) A copy of each annual calendar year summary required by 
Sec. 382.403.
    (2) Two years. Records related to the alcohol and controlled 
substances collection process (except calibration of evidential breath 
testing devices).
    (3) One year. Records of negative and canceled controlled substances 
test results (as defined in part 40 of this title) and alcohol test 
results with a concentration of less than 0.02 shall be maintained for a 
minimum of one year.
    (4) Indefinite period. Records related to the education and training 
of breath alcohol technicians, screening test technicians, supervisors, 
and drivers shall be maintained by the employer while the individual 
performs the functions which require the training and for two years 
after ceasing to perform those functions.
    (c) Types of records. The following specific types of records shall 
be maintained. ``Documents generated'' are documents that may have to be 
prepared under a requirement of this part. If the record is required to 
be prepared, it must be maintained.
    (1) Records related to the collection process:
    (i) Collection logbooks, if used;
    (ii) Documents relating to the random selection process;
    (iii) Calibration documentation for evidential breath testing 
devices;
    (iv) Documentation of breath alcohol technician training;

[[Page 906]]

    (v) Documents generated in connection with decisions to administer 
reasonable suspicion alcohol or controlled substances tests;
    (vi) Documents generated in connection with decisions on post-
accident tests;
    (vii) Documents verifying existence of a medical explanation of the 
inability of a driver to provide adequate breath or to provide a urine 
specimen for testing; and
    (viii) Consolidated annual calendar year summaries as required by 
Sec. 382.403.
    (2) Records related to a driver's test results:
    (i) The employer's copy of the alcohol test form, including the 
results of the test;
    (ii) The employer's copy of the controlled substances test chain of 
custody and control form;
    (iii) Documents sent by the MRO to the employer, including those 
required by part 40, subpart G, of this title;
    (iv) Documents related to the refusal of any driver to submit to an 
alcohol or controlled substances test required by this part;
    (v) Documents presented by a driver to dispute the result of an 
alcohol or controlled substances test administered under this part; and
    (vi) Documents generated in connection with verifications of prior 
employers' alcohol or controlled substances test results that the 
employer:
    (A) Must obtain in connection with the exception contained in 
Sec. 382.301, and
    (B) Must obtain as required by Sec. 382.413.
    (3) Records related to other violations of this part.
    (4) Records related to evaluations:
    (i) Records pertaining to a determination by a substance abuse 
professional concerning a driver's need for assistance; and
    (ii) Records concerning a driver's compliance with recommendations 
of the substance abuse professional.
    (5) Records related to education and training:
    (i) Materials on alcohol misuse and controlled substance use 
awareness, including a copy of the employer's policy on alcohol misuse 
and controlled substance use;
    (ii) Documentation of compliance with the requirements of 
Sec. 382.601, including the driver's signed receipt of education 
materials;
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination concerning 
the need for alcohol and/or controlled substances testing based on 
reasonable suspicion;
    (iv) Documentation of training for breath alcohol technicians as 
required by Sec. 40.213(a) of this title; and
    (v) Certification that any training conducted under this part 
complies with the requirements for such training.
    (6) Administrative records related to alcohol and controlled 
substances testing:
    (i) Agreements with collection site facilities, laboratories, breath 
alcohol technicians, screening test technicians, medical review 
officers, consortia, and third party service providers;
    (ii) Names and positions of officials and their role in the 
employer's alcohol and controlled substances testing program(s);
    (iii) Semi-annual laboratory statistical summaries of urinalysis 
required by Sec. 40.111(a) of this title; and
    (iv) The employer's alcohol and controlled substances testing policy 
and procedures.
    (d) Location of records. All records required by this part shall be 
maintained as required by Sec. 390.31 of this subchapter and shall be 
made available for inspection at the employer's principal place of 
business within two business days after a request has been made by an 
authorized representative of the Federal Motor Carrier Safety 
Administration.
    (e) OMB control number. (1) The information collection requirements 
of this part have been reviewed by the Office of Management and Budget 
pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) 
and have been assigned OMB control number 2126-0012.
    (2) The information collection requirements of this part are found 
in the following sections: Sections 382.105, 382.113, 382.301, 382.303, 
382.305, 382.307,

[[Page 907]]

382.401, 382.403, 382.405, 382.409, 382.411, 382.601, 382.603.

[66 FR 43103, Aug. 17, 2001, as amended at 67 FR 61821, Oct. 2, 2002]



Sec. 382.403  Reporting of results in a management information system.

    (a) An employer shall prepare and maintain a summary of the results 
of its alcohol and controlled substances testing programs performed 
under this part during the previous calendar year, when requested by the 
Secretary of Transportation, any DOT agency, or any State or local 
officials with regulatory authority over the employer or any of its 
drivers.
    (b) If an employer is notified, during the month of January, of a 
request by the Federal Motor Carrier Safety Administration to report the 
employer's annual calendar year summary information, the employer shall 
prepare and submit the report to the FMCSA by March 15 of that year. The 
employer shall ensure that the annual summary report is accurate and 
received by March 15 at the location that the FMCSA specifies in its 
request. The report shall be in the form and manner prescribed by the 
FMCSA in its request. When the report is submitted to the FMCSA by mail 
or electronic transmission, the information requested shall be typed, 
except for the signature of the certifying official. Each employer shall 
ensure the accuracy and timeliness of each report submitted by the 
employer or a consortium.
    (c) Detailed summary. Each annual calendar year summary that 
contains information on a verified positive controlled substances test 
result, an alcohol screening test result of 0.02 or greater, or any 
other violation of the alcohol misuse provisions of subpart B of this 
part shall include the following informational elements:
    (1) Number of drivers subject to this part;
    (2) Number of drivers subject to testing under the alcohol misuse or 
controlled substances use rules of more than one DOT agency, identified 
by each agency;
    (3) Number of urine specimens collected by type of test (e.g., pre-
employment, random, reasonable suspicion, post-accident);
    (4) Number of positives verified by a MRO by type of test, and type 
of controlled substance;
    (5) Number of negative controlled substance tests verified by a MRO 
by type of test;
    (6) Number of persons denied a position as a driver following a pre-
employment verified positive controlled substances test and/or a pre-
employment alcohol test that indicates an alcohol concentration of 0.04 
or greater;
    (7) Number of drivers with tests verified positive by a medical 
review officer for multiple controlled substances;
    (8) Number of drivers who refused to submit to an alcohol or 
controlled substances test required under this subpart, including those 
who submitted substituted or adulterated specimens;
    (9)(i) Number of supervisors who have received required alcohol 
training during the reporting period; and
    (ii) Number of supervisors who have received required controlled 
substances training during the reporting period;
    (10)(i) Number of screening alcohol tests by type of test; and
    (ii) Number of confirmation alcohol tests, by type of test;
    (11) Number of confirmation alcohol tests indicating an alcohol 
concentration of 0.02 or greater but less than 0.04, by type of test;
    (12) Number of confirmation alcohol tests indicating an alcohol 
concentration of 0.04 or greater, by type of test;
    (13) Number of drivers who were returned to duty (having complied 
with the recommendations of a substance abuse professional as described 
in Sec. 382.503 and part 40, subpart O of this title), in this reporting 
period, who previously:
    (i) Had a verified positive controlled substance test result, or
    (ii) Engaged in prohibited alcohol misuse under the provisions of 
this part;
    (14) Number of drivers who were administered alcohol and drug tests 
at the same time, with both a verified positive drug test result and an 
alcohol test result indicating an alcohol concentration of 0.04 or 
greater; and

[[Page 908]]

    (15) Number of drivers who were found to have violated any non-
testing prohibitions of subpart B of this part, and any action taken in 
response to the violation.
    (d) Short summary. Each employer's annual calendar year summary that 
contains only negative controlled substance test results, alcohol 
screening test results of less than 0.02, and does not contain any other 
violations of subpart B of this part, may prepare and submit, as 
required by paragraph (b) of this section, either a standard report form 
containing all the information elements specified in paragraph (c) of 
this section, or an ``EZ'' report form. The ``EZ'' report shall include 
the following information elements:
    (1) Number of drivers subject to this part;
    (2) Number of drivers subject to testing under the alcohol misuse or 
controlled substance use rules of more than one DOT agency, identified 
by each agency;
    (3) Number of urine specimens collected by type of test (e.g., pre-
employment, random, reasonable suspicion, post-accident);
    (4) Number of negatives verified by a medical review officer by type 
of test;
    (5) Number of drivers who refused to submit to an alcohol or 
controlled substances test required under this subpart, including those 
who submitted substituted or adulterated specimens;
    (6)(i) Number of supervisors who have received required alcohol 
training during the reporting period; and
    (ii) Number of supervisors who have received required controlled 
substances training during the reporting period;
    (7) Number of screen alcohol tests by type of test; and
    (8) Number of drivers who were returned to duty (having complied 
with the recommendations of a substance abuse professional as described 
in Sec. 382.503 and part 40, subpart O, of this title), in this 
reporting period, who previously:
    (i) Had a verified positive controlled substance test result, or
    (ii) Engaged in prohibited alcohol misuse under the provisions of 
this part.
    (e) Each employer that is subject to more than one DOT agency 
alcohol or controlled substances rule shall identify each driver covered 
by the regulations of more than one DOT agency. The identification will 
be by the total number of covered functions. Prior to conducting any 
alcohol or controlled substances test on a driver subject to the rules 
of more than one DOT agency, the employer shall determine which DOT 
agency rule or rules authorizes or requires the test. The test result 
information shall be directed to the appropriate DOT agency or agencies.
    (f) A C/TPA may prepare annual calendar year summaries and reports 
on behalf of individual employers for purposes of compliance with this 
section. However, each employer shall sign and submit such a report and 
shall remain responsible for ensuring the accuracy and timeliness of 
each report prepared on its behalf by a C/TPA.



Sec. 382.405  Access to facilities and records.

    (a) Except as required by law or expressly authorized or required in 
this section, no employer shall release driver information that is 
contained in records required to be maintained under Sec. 382.401.
    (b) A driver is entitled, upon written request, to obtain copies of 
any records pertaining to the driver's use of alcohol or controlled 
substances, including any records pertaining to his or her alcohol or 
controlled substances tests. The employer shall promptly provide the 
records requested by the driver. Access to a driver's records shall not 
be contingent upon payment for records other than those specifically 
requested.
    (c) Each employer shall permit access to all facilities utilized in 
complying with the requirements of this part to the Secretary of 
Transportation, any DOT agency, or any State or local officials with 
regulatory authority over the employer or any of its drivers.
    (d) Each employer shall make available copies of all results for 
employer alcohol and/or controlled substances testing conducted under 
this part and any other information pertaining to the employer's alcohol 
misuse and/or controlled substances use prevention program, when 
requested by the Secretary of Transportation, any DOT

[[Page 909]]

agency, or any State or local officials with regulatory authority over 
the employer or any of its drivers.
    (e) When requested by the National Transportation Safety Board as 
part of an accident investigation, employers shall disclose information 
related to the employer's administration of a post-accident alcohol and/
or controlled substance test administered following the accident under 
investigation.
    (f) Records shall be made available to a subsequent employer upon 
receipt of a written request from a driver. Disclosure by the subsequent 
employer is permitted only as expressly authorized by the terms of the 
driver's request.
    (g) An employer may disclose information required to be maintained 
under this part pertaining to a driver to the decision maker in a 
lawsuit, grievance, or administrative proceeding initiated by or on 
behalf of the individual, and arising from a positive DOT drug or 
alcohol test or a refusal to test (including, but not limited to, 
adulterated or substituted test results) of this part (including, but 
not limited to, a worker's compensation, unemployment compensation, or 
other proceeding relating to a benefit sought by the driver). 
Additionally, an employer may disclose information in criminal or civil 
actions in accordance with Sec. 40.323(a)(2) of this title.
    (h) An employer shall release information regarding a driver's 
records as directed by the specific written consent of the driver 
authorizing release of the information to an identified person. Release 
of such information by the person receiving the information is permitted 
only in accordance with the terms of the employee's specific written 
consent as outlined in Sec. 40.321(b) of this title.



Sec. 382.407  Medical review officer notifications to the employer.

    Medical review officers shall report the results of controlled 
substances tests to employers in accordance with the requirements of 
part 40, Subpart G, of this title.



Sec. 382.409  Medical review officer record retention for controlled substances.

    (a) A medical review officer or third party administrator shall 
maintain all dated records and notifications, identified by individual, 
for a minimum of five years for verified positive controlled substances 
test results.
    (b) A medical review officer or third party administrator shall 
maintain all dated records and notifications, identified by individual, 
for a minimum of one year for negative and canceled controlled 
substances test results.
    (c) No person may obtain the individual controlled substances test 
results retained by a medical review officer or third party 
administrator, and no medical review officer or third party 
administrator shall release the individual controlled substances test 
results of any driver to any person, without first obtaining a specific, 
written authorization from the tested driver. Nothing in this paragraph 
(c) shall prohibit a medical review officer or third party administrator 
from releasing, to the employer or to officials of the Secretary of 
Transportation, any DOT agency, or any State or local officials with 
regulatory authority over the controlled substances testing program 
under this part, the information delineated in part 40, Subpart G, of 
this title.



Sec. 382.411  Employer notifications.

    (a) An employer shall notify a driver of the results of a pre-
employment controlled substances test conducted under this part, if the 
driver requests such results within 60 calendar days of being notified 
of the disposition of the employment application. An employer shall 
notify a driver of the results of random, reasonable suspicion and post-
accident tests for controlled substances conducted under this part if 
the test results are verified positive. The employer shall also inform 
the driver which controlled substance or substances were verified as 
positive.
    (b) The designated employer representative shall make reasonable 
efforts to contact and request each driver who submitted a specimen 
under the employer's program, regardless of the driver's employment 
status, to contact and discuss the results of the controlled substances 
test with a medical review officer who has been unable to contact the 
driver.

[[Page 910]]

    (c) The designated employer representative shall immediately notify 
the medical review officer that the driver has been notified to contact 
the medical review officer within 72 hours.



Sec. 382.413  Inquiries for alcohol and controlled substances information from previous employers.

    Employers shall request alcohol and controlled substances 
information from previous employers in accordance with the requirements 
of Sec. 40.25 of this title.



 Subpart E--Consequences for Drivers Engaging in Substance Use-Related 
                                 Conduct



Sec. 382.501  Removal from safety-sensitive function.

    (a) Except as provided in subpart F of this part, no driver shall 
perform safety-sensitive functions, including driving a commercial motor 
vehicle, if the driver has engaged in conduct prohibited by subpart B of 
this part or an alcohol or controlled substances rule of another DOT 
agency.
    (b) No employer shall permit any driver to perform safety-sensitive 
functions; including driving a commercial motor vehicle, if the employer 
has determined that the driver has violated this section.
    (c) For purposes of this subpart, commercial motor vehicle means a 
commercial motor vehicle in commerce as defined in Sec. 382.107, and a 
commercial motor vehicle in interstate commerce as defined in part 390 
of this subchapter.



Sec. 382.503  Required evaluation and testing.

    No driver who has engaged in conduct prohibited by subpart B of this 
part shall perform safety-sensitive functions, including driving a 
commercial motor vehicle, unless the driver has met the requirements of 
part 40, subpart O, of this title. No employer shall permit a driver who 
has engaged in conduct prohibited by subpart B of this part to perform 
safety-sensitive functions, including driving a commercial motor 
vehicle, unless the driver has met the requirements of part 40, subpart 
O, of this title.



Sec. 382.505  Other alcohol-related conduct.

    (a) No driver tested under the provisions of subpart C of this part 
who is found to have an alcohol concentration of 0.02 or greater but 
less than 0.04 shall perform or continue to perform safety-sensitive 
functions for an employer, including driving a commercial motor vehicle, 
nor shall an employer permit the driver to perform or continue to 
perform safety-sensitive functions, until the start of the driver's next 
regularly scheduled duty period, but not less than 24 hours following 
administration of the test.
    (b) Except as provided in paragraph (a) of this section, no employer 
shall take any action under this part against a driver based solely on 
test results showing an alcohol concentration less than 0.04. This does 
not prohibit an employer with authority independent of this part from 
taking any action otherwise consistent with law.



Sec. 382.507  Penalties.

    Any employer or driver who violates the requirements of this part 
shall be subject to the civil and/or criminal penalty provisions of 49 
U.S.C. 521(b). In addition, any employer or driver who violates the 
requirements of 49 CFR part 40 shall be subject to the civil and/or 
criminal penalty provisions of 49 U.S.C. 521(b).



  Subpart F--Alcohol Misuse and Controlled Substances Use Information, 
                         Training, and Referral



Sec. 382.601  Employer obligation to promulgate a policy on the misuse of alcohol and use of controlled substances.

    (a) General requirements. Each employer shall provide educational 
materials that explain the requirements of this part and the employer's 
policies and procedures with respect to meeting these requirements.
    (1) The employer shall ensure that a copy of these materials is 
distributed to each driver prior to the start of alcohol and controlled 
substances testing under this part and to each driver subsequently hired 
or transferred into a

[[Page 911]]

position requiring driving a commercial motor vehicle.
    (2) Each employer shall provide written notice to representatives of 
employee organizations of the availability of this information.
    (b) Required content. The materials to be made available to drivers 
shall include detailed discussion of at least the following:
    (1) The identity of the person designated by the employer to answer 
driver questions about the materials;
    (2) The categories of drivers who are subject to the provisions of 
this part;
    (3) Sufficient information about the safety-sensitive functions 
performed by those drivers to make clear what period of the work day the 
driver is required to be in compliance with this part;
    (4) Specific information concerning driver conduct that is 
prohibited by this part;
    (5) The circumstances under which a driver will be tested for 
alcohol and/or controlled substances under this part, including post-
accident testing under Sec. 382.303(d);
    (6) The procedures that will be used to test for the presence of 
alcohol and controlled substances, protect the driver and the integrity 
of the testing processes, safeguard the validity of the test results, 
and ensure that those results are attributed to the correct driver, 
including post-accident information, procedures and instructions 
required by Sec. 382.303(d);
    (7) The requirement that a driver submit to alcohol and controlled 
substances tests administered in accordance with this part;
    (8) An explanation of what constitutes a refusal to submit to an 
alcohol or controlled substances test and the attendant consequences;
    (9) The consequences for drivers found to have violated subpart B of 
this part, including the requirement that the driver be removed 
immediately from safety-sensitive functions, and the procedures under 
part 40, subpart O, of this title;
    (10) The consequences for drivers found to have an alcohol 
concentration of 0.02 or greater but less than 0.04;
    (11) Information concerning the effects of alcohol and controlled 
substances use on an individual's health, work, and personal life; signs 
and symptoms of an alcohol or a controlled substances problem (the 
driver's or a co-worker's); and available methods of intervening when an 
alcohol or a controlled substances problem is suspected, including 
confrontation, referral to any employee assistance program and or 
referral to management.
    (c) Optional provision. The materials supplied to drivers may also 
include information on additional employer policies with respect to the 
use of alcohol or controlled substances, including any consequences for 
a driver found to have a specified alcohol or controlled substances 
level, that are based on the employer's authority independent of this 
part. Any such additional policies or consequences must be clearly and 
obviously described as being based on independent authority.
    (d) Certificate of receipt. Each employer shall ensure that each 
driver is required to sign a statement certifying that he or she has 
received a copy of these materials described in this section. Each 
employer shall maintain the original of the signed certificate and may 
provide a copy of the certificate to the driver.



Sec. 382.603  Training for supervisors.

    Each employer shall ensure that all persons designated to supervise 
drivers receive at least 60 minutes of training on alcohol misuse and 
receive at least an additional 60 minutes of training on controlled 
substances use. The training will be used by the supervisors to 
determine whether reasonable suspicion exists to require a driver to 
undergo testing under Sec. 382.307. The training shall include the 
physical, behavioral, speech, and performance indicators of probable 
alcohol misuse and use of controlled substances. Recurrent training for 
supervisory personnel is not required.



Sec. 382.605  Referral, evaluation, and treatment.

    The requirements for referral, evaluation, and treatment must be 
performed in accordance with 49 CFR part 40, Subpart O.

[[Page 912]]



PART 383--COMMERCIAL DRIVER'S LICENSE STANDARDS; REQUIREMENTS AND PENALTIES--Table of Contents




                           Subpart A--General

Sec.
383.1 Purpose and scope.
383.3 Applicability.
383.5 Definitions.
383.7 XXX

                  Subpart B--Single License Requirement

383.21 Number of drivers' licenses.
383.23 Commercial driver's license.

   Subpart C--Notification Requirements and Employer Responsibilities

383.31 Notification of convictions for driver violations.
383.33 Notification of driver's license suspensions.
383.35 Notification of previous employment.
383.37 Employer responsibilities.

            Subpart D--Driver Disqualifications and Penalties

383.51 Disqualification of drivers.
383.52 Disqualification of drivers determined to constitute an imminent 
          hazard.
383.53 Penalties.

               Subpart E--Testing and Licensing Procedures

383.71 Driver application procedures.
383.72 Implied consent to alcohol testing.
383.73 State procedures.
383.75 Third party testing.
383.77 Substitute for driving skills tests.

               Subpart F--Vehicle Groups and Endorsements

383.91 Commercial motor vehicle groups.
383.93 Endorsements.
383.95 Air brake restrictions.

                Subpart G--Required Knowledge and Skills

383.110 General requirement.
383.111 Required knowledge.
383.113 Required skills.
383.115 Requirements for double/triple trailers endorsement.
383.117 Requirements for passenger endorsement.
383.119 Requirements for tank vehicle endorsement.
383.121 Requirements for hazardous materials endorsement.

Appendix to Subpart G--Required Knowledge and Skills--Sample Guidelines

                            Subpart H--Tests

383.131 Test procedures.
383.133 Testing methods.
383.135 Minimum passing scores.

   Subpart I--Requirement for Transportation Security Administration 
          approval of hazardous materials endorsement issuances

383.141 General.

             Subpart J--Commercial Driver's License Document

383.151 General.
383.153 Information on the document and application.
383.155 Tamperproofing requirements.

    Authority: 49 U.S.C. 521, 31136, 31301 et seq., 31502; Sec. 214 of 
Pub. L. 106-159, 113 Stat. 1766; Sec. 1012(b) of Pub. L. 107-56, 115 
Stat. 397; and 49 CFR 1.73.

    Source: 52 FR 20587, June 1, 1987, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 383 appear at 66 FR 
49872, Oct. 1, 2001.



                           Subpart A--General



Sec. 383.1  Purpose and scope.

    (a) The purpose of this part is to help reduce or prevent truck and 
bus accidents, fatalities, and injuries by requiring drivers to have a 
single commercial motor vehicle driver's license and by disqualifying 
drivers who operate commercial motor vehicles in an unsafe manner.
    (b) This part:
    (1) Prohibits a commercial motor vehicle driver from having more 
than one commercial motor vehicle driver's license;
    (2) Requires a driver to notify the driver's current employer and 
the driver's State of domicile of certain convictions;
    (3) Requires that a driver provide previous employment information 
when applying for employment as an operator of a commercial motor 
vehicle;
    (4) Prohibits an employer from allowing a person with a suspended 
license to operate a commercial motor vehicle;
    (5) Establishes periods of disqualification and penalties for those 
persons convicted of certain criminal and other offenses and serious 
traffic violations,

[[Page 913]]

or subject to any suspensions, revocations, or cancellations of certain 
driving privileges;
    (6) Establishes testing and licensing requirements for commercial 
motor vehicle operators;
    (7) Requires States to give knowledge and skills tests to all 
qualified applicants for commercial drivers' licenses which meet the 
Federal standard;
    (8) Sets forth commercial motor vehicle groups and endorsements;
    (9) Sets forth the knowledge and skills test requirements for the 
motor vehicle groups and endorsements;
    (10) Sets forth the Federal standards for procedures, methods, and 
minimum passing scores for States and others to use in testing and 
licensing commercial motor vehicle operators; and
    (11) Establishes requirements for the State issued commercial 
license documentation.

[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 54 
FR 40787, Oct. 3, 1989]



Sec. 383.3  Applicability.

    (a) The rules in this part apply to every person who operates a 
commercial motor vehicle (CMV) in interstate, foreign, or intrastate 
commerce, to all employers of such persons, and to all States.
    (b) The exceptions contained in Sec. 390.3(f) of this subchapter do 
not apply to this part. The employers and drivers identified in 
Sec. 390.3(f) must comply with the requirements of this part, unless 
otherwise provided in this section.
    (c) Exception for certain military drivers. Each State must exempt 
from the requirements of this part individuals who operate CMVs for 
military purposes. This exception is applicable to active duty military 
personnel; members of the military reserves; member of the national 
guard on active duty, including personnel on full-time national guard 
duty, personnel on part-time national guard training, and national guard 
military technicians (civilians who are required to wear military 
uniforms); and active duty U.S. Coast Guard personnel. This exception is 
not applicable to U.S. Reserve technicians.
    (d) Exception for farmers, firefighters, emergency response vehicle 
drivers, and drivers removing snow and ice. A State may, at its 
discretion, exempt individuals identified in paragraphs (d)(1), (d)(2), 
and (d)(3) of this section from the requirements of this part. The use 
of this waiver is limited to the driver's home State unless there is a 
reciprocity agreement with adjoining States.
    (1) Operators of a farm vehicle which is:
    (i) Controlled and operated by a farmer, including operation by 
employees or family members;
    (ii) Used to transport either agricultural products, farm machinery, 
farm supplies, or both to or from a farm;
    (iii) Not used in the operations of a common or contract motor 
carrier; and
    (iv) Used within 241 kilometers (150 miles) of the farmer's farm.
    (2) Firefighters and other persons who operate CMVs which are 
necessary to the preservation of life or property or the execution of 
emergency governmental functions, are equipped with audible and visual 
signals and are not subject to normal traffic regulation. These vehicles 
include fire trucks, hook and ladder trucks, foam or water transport 
trucks, police SWAT team vehicles, ambulances, or other vehicles that 
are used in response to emergencies.
    (3)(i) A driver, employed by an eligible unit of local government, 
operating a commercial motor vehicle within the boundaries of that unit 
for the purpose of removing snow or ice from a roadway by plowing, 
sanding, or salting, if
    (A) The properly licensed employee who ordinarily operates a 
commercial motor vehicle for these purposes is unable to operate the 
vehicle; or
    (B) The employing governmental entity determines that a snow or ice 
emergency exists that requires additional assistance.
    (ii) This exemption shall not preempt State laws and regulations 
concerning the safe operation of commercial motor vehicles.
    (e) Restricted commercial drivers license (CDL) for certain drivers 
in the State of Alaska. (1) The State of Alaska may, at its discretion, 
waive only the following requirements of this part and issue a

[[Page 914]]

CDL to each driver that meets the conditions set forth in paragraphs (e) 
(2) and (3) of this section:
    (i) The knowledge tests standards for testing procedures and methods 
of subpart H, but must continue to administer knowledge tests that 
fulfill the content requirements of subpart G for all applicants;
    (ii) All the skills test requirements; and
    (iii) The requirement under Sec. 383.153(a)(4) to have a photograph 
on the license document.
    (2) Drivers of CMVs in the State of Alaska must operate exclusively 
over roads that meet both of the following criteria to be eligible for 
the exception in paragraph (e)(1) of this section:
    (i) Such roads are not connected by land highway or vehicular way to 
the land-connected State highway system; and
    (ii) Such roads are not connected to any highway or vehicular way 
with an average daily traffic volume greater than 499.
    (3) Any CDL issued under the terms of this paragraph must carry two 
restrictions:
    (i) Holders may not operate CMVs over roads other than those 
specified in paragraph (e)(2) of this section; and
    (ii) The license is not valid for CMV operation outside the State of 
Alaska.
    (f) Restricted CDL for certain drivers in farm-related service 
industries. (1) A State may, at its discretion, waive the required 
knowledge and skills tests of subpart H of this part and issue 
restricted CDLs to employees of these designated farm-related service 
industries:
    (i) Agri-chemical businesses;
    (ii) Custom harvesters;
    (iii) Farm retail outlets and suppliers;
    (iv) Livestock feeders.
    (2) A restricted CDL issued pursuant to this paragraph shall meet 
all the requirements of this part, except subpart H of this part. A 
restricted CDL issued pursuant to this paragraph shall be accorded the 
same reciprocity as a CDL meeting all of the requirements of this part. 
The restrictions imposed upon the issuance of this restricted CDL shall 
not limit a person's use of the CDL in a non-CMV during either validated 
or non-validated periods, nor shall the CDL affect a State's power to 
administer its driver licensing program for operators of vehicles other 
than CMVs.
    (3) A State issuing a CDL under the terms of this paragraph must 
restrict issuance as follows:
    (i) Applicants must have a good driving record as defined in this 
paragraph. Drivers who have not held any motor vehicle operator's 
license for at least one year shall not be eligible for this CDL. 
Drivers who have between one and two years of driving experience must 
demonstrate a good driving record for their entire driving history. 
Drivers with more than two years of driving experience must have a good 
driving record for the two most recent years. For the purposes of this 
paragraph, the term good driving record means that an applicant:
    (A) Has not had more than one license (except in the instances 
specified in Sec. 383.21);
    (B) Has not had any license suspended, revoked, or canceled;
    (C) Has not had any conviction for any type of motor vehicle for the 
disqualifying offenses contained in Sec. 383.51(b);
    (D) Has not had any conviction for any type of motor vehicle for 
serious traffic violations; and
    (E) Has not had any conviction for a violation of State or local law 
relating to motor vehicle traffic control (other than a parking 
violation) arising in connection with any traffic accident, and has no 
record of an accident in which he/she was at fault.
    (ii) Restricted CDLs shall have the same renewal cycle as 
unrestricted CDLs, but shall be limited to the seasonal period or 
periods as defined by the State of licensure, provided that the total 
number of calendar days in any 12-month period for which the restricted 
CDL is valid does not exceed 180. If a State elects to provide for more 
than one seasonal period, the restricted CDL is valid for commercial 
motor vehicle operation only during the currently approved season, and 
must be revalidated for each successive season. Only one seasonal period 
of validity may appear on the license document at a time. The good 
driving

[[Page 915]]

record must be confirmed prior to any renewal or revalidation.
    (iii) Restricted CDL holders are limited to operating Group B and C 
vehicles, as described in subpart F of this part.
    (iv) Restricted CDLs shall not be issued with any endorsements on 
the license document. Only the limited tank vehicle and hazardous 
materials endorsement privileges that the restricted CDL automatically 
confers and are described in paragraph (f)(3)(v) of this section are 
permitted.
    (v) Restricted CDL holders may not drive vehicles carrying any 
placardable quantities of hazardous materials, except for diesel fuel in 
quantities of 3,785 liters (1,000 gallons) or less; liquid fertilizers 
(i.e., plant nutrients) in vehicles or implements of husbandry in total 
quantities of 11,355 liters (3,000 gallons) or less; and solid 
fertilizers (i.e., solid plant nutrients) that are not transported with 
any organic substance.
    (vi) Restricted CDL holders may not hold an unrestricted CDL at the 
same time.
    (vii) Restricted CDL holders may not operate a commercial motor 
vehicle beyond 241 kilometers (150 miles) from the place of business or 
the farm currently being served.
    (g) Restricted CDL for certain drivers in the pyrotechnic industry. 
(1) A State may, at its discretion, waive the required hazardous 
materials knowledge tests of subpart H of this part and issue restricted 
CDLs to part-time drivers operating commercial motor vehicles 
transporting less than 227 kilograms (500 pounds) of fireworks 
classified as DOT Class 1.3G explosives.
    (2) A State issuing a CDL under the terms of this paragraph must 
restrict issuance as follows:
    (i) The GVWR of the vehicle to be operated must be less than 4,537 
kilograms (10,001 pounds);
    (ii) If a State believes, at its discretion, that the training 
required by Sec. 172.704 of this title adequately prepares part-time 
drivers meeting the other requirements of this paragraph to deal with 
fireworks and the other potential dangers posed by fireworks 
transportation and use, the State may waive the hazardous materials 
knowledge tests of subpart H of this part. The State may impose any 
requirements it believes is necessary to ensure itself that a driver is 
properly trained pursuant to Sec. 172.704 of this title.
    (iii) A restricted CDL document issued pursuant to this paragraph 
shall have a statement clearly imprinted on the face of the document 
that is substantially similar as follows: ``For use as a CDL only during 
the period from June 30 through July 6 for purposes of transporting less 
than 227 kilograms (500 pounds) of fireworks classified as DOT Class 
1.3G explosives in a vehicle with a GVWR of less than 4,537 kilograms 
(10,001 pounds).
    (3) A restricted CDL issued pursuant to this paragraph shall meet 
all the requirements of this part, except those specifically identified. 
A restricted CDL issued pursuant to this paragraph shall be accorded the 
same reciprocity as a CDL meeting all of the requirements of this part. 
The restrictions imposed upon the issuance of this restricted CDL shall 
not limit a person's use of the CDL in a non-CMV during either validated 
or non-validated periods, nor shall the CDL affect a State's power to 
administer its driver licensing program for operators of vehicles other 
than CMVs.
    (4) Restricted CDLs shall have the same renewal cycle as 
unrestricted CDLs, but shall be limited to the seasonal period of June 
30 through July 6 of each year or a lesser period as defined by the 
State of licensure.
    (5) Persons who operate commercial motor vehicles during the period 
from July 7 through June 29 for purposes of transporting less than 227 
kilograms (500 pounds) of fireworks classified as DOT Class 1.3G 
explosives in a vehicle with a GVWR of less than 4,537 kilograms (10,001 
pounds) and who also operate such vehicles for the same purposes during 
the period June 30 through July 6 shall not be issued a restricted CDL 
pursuant to this paragraph.

[61 FR 9564, Mar. 8, 1996, as amended at 61 FR 14679, Apr. 3, 1996; 62 
FR 1296, Jan. 9, 1997; 67 FR 49755, July 31, 2002; 67 FR 61821, Oct. 2, 
2002]



Sec. 383.5  Definitions.

    As used in this part:

[[Page 916]]

    Administrator means the Federal Motor Carrier Safety Administrator, 
the chief executive of the Federal Motor Carrier Safety Administration, 
an agency within the Department of Transportation.
    Alcohol or alcoholic beverage means: (a) Beer as defined in 26 
U.S.C. 5052(a), of the Internal Revenue Code of 1954, (b) wine of not 
less than one-half of one per centum of alcohol by volume, or (c) 
distilled spirits as defined in section 5002(a)(8), of such Code.
    Alcohol concentration (AC) means the concentration of alcohol in a 
person's blood or breath. When expressed as a percentage it means grams 
of alcohol per 100 milliliters of blood or grams of alcohol per 210 
liters of breath.
    Alien means any person not a citizen or national of the United 
States.
    Commerce means (a) any trade, traffic or transportation within the 
jurisdiction of the United States between a place in a State and a place 
outside of such State, including a place outside of the United States 
and (b) trade, traffic, and transportation in the United States which 
affects any trade, traffic, and transportation described in paragraph 
(a) of this definition.
    Commercial driver's license (CDL) means a license issued by a State 
or other jurisdiction, in accordance with the standards contained in 49 
CFR part 383, to an individual which authorizes the individual to 
operate a class of a commercial motor vehicle.
    Commercial driver's license information system (CDLIS) means the 
CDLIS established by FMCSA pursuant to section 12007 of the Commercial 
Motor Vehicle Safety Act of 1986.
    Commercial motor vehicle (CMV) means a motor vehicle or combination 
of motor vehicles used in commerce to transport passengers or property 
if the motor vehicle--
    (a) Has a gross combination weight rating of 11,794 kilograms or 
more (26,001 pounds or more) inclusive of a towed unit(s) with a gross 
vehicle weight rating of more than 4,536 kilograms (10,000 pounds); or
    (b) Has a gross vehicle weight rating of 11,794 or more kilograms 
(26,001 pounds or more); or
    (c) Is designed to transport 16 or more passengers, including the 
driver; or
    (d) Is of any size and is used in the transportation of hazardous 
materials as defined in this section.
    Controlled substance has the meaning such term has under 21 U.S.C. 
802(6) and includes all substances listed on schedules I through V of 21 
CFR 1308 (Secs. 1308.11 through 1308.15), as they may be amended by the 
United States Department of Justice.
    Conviction means an unvacated adjudication of guilt, or a 
determination that a person has violated or failed to comply with the 
law in a court of original jurisdiction or by an authorized 
administrative tribunal, an unvacated forfeiture of bail or collateral 
deposited to secure the person's appearance in court, a plea of guilty 
or nolo contendere accepted by the court, the payment of a fine or court 
cost, or violation of a condition of release without bail, regardless of 
whether or not the penalty is rebated, suspended, or probated.''
    Disqualification means any of the following three actions:
    (a) The suspension, revocation, or cancellation of a CDL by the 
State or jurisdiction of issuance.
    (b) Any withdrawal of a person's privileges to drive a CMV by a 
State or other jurisdiction as the result of a violation of State or 
local law relating to motor vehicle traffic control (other than parking, 
vehicle weight or vehicle defect violations).
    (c) A determination by the FMCSA that a person is not qualified to 
operate a commercial motor vehicle under part 391 of this chapter.
    Driver applicant means an individual who applies to a State to 
obtain, transfer, upgrade, or renew a CDL.
    Driver's license means a license issued by a State or other 
jurisdiction, to an individual which authorizes the individual to 
operate a motor vehicle on the highways.
    Driving a commercial motor vehicle while under the influence of 
alcohol means committing any one or more of the following acts in a CMV-
-
    (a) Driving a CMV while the person's alcohol concentration is 0.04 
or more;

[[Page 917]]

    (b) Driving under the influence of alcohol, as prescribed by State 
law; or
    (c) Refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Sec. 383.51(b) or Sec. 392.5(a)(2) of 
this subchapter.
    Eligible unit of local government means a city, town, borough, 
county, parish, district, or other public body created by or pursuant to 
State law which has a total population of 3,000 individuals or less.
    Employee means any operator of a commercial motor vehicle, including 
full time, regularly employed drivers; casual, intermittent or 
occasional drivers; leased drivers and independent, owner-operator 
contractors (while in the course of operating a commercial motor 
vehicle) who are either directly employed by or under lease to an 
employer.
    Employer means any person (including the United States, a State, 
District of Columbia or a political subdivision of a State) who owns or 
leases a commercial motor vehicle or assigns employees to operate such a 
vehicle.
    Endorsement means an authorization to an individual's CDL required 
to permit the individual to operate certain types of commercial motor 
vehicles.
    Fatality means the death of a person as a result of a motor vehicle 
accident.
    Felony means an offense under State or Federal law that is 
punishable by death or imprisonment for a term exceeding 1 year.
    Foreign means outside the fifty United States and the District of 
Columbia.
    Gross combination weight rating (GCWR) means the value specified by 
the manufacturer as the loaded weight of a combination (articulated) 
vehicle. In the absence of a value specified by the manufacturer, GCWR 
will be determined by adding the GVWR of the power unit and the total 
weight of the towed unit and any load thereon.
    Gross vehicle weight rating (GVWR) means the value specified by the 
manufacturer as the loaded weight of a single vehicle.
    Hazardous materials means any material that has been designated as 
hazardous under 49 U.S.C. 5103 and is required to be placarded under 
subpart F of 49 CFR part 172 or any quantity of a material listed as a 
select agent or toxin in 42 CFR part 73.
    Imminent hazard means the existence of a condition that presents a 
substantial likelihood that death, serious illness, severe personal 
injury, or a substantial endangerment to health, property, or the 
environment may occur before the reasonably foreseeable completion date 
of a formal proceeding begun to lessen the risk of that death, illness, 
injury or endangerment.
    Motor vehicle means a vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power used on highways, 
except that such term does not include a vehicle, machine, tractor, 
trailer, semitrailer operated exclusively on a rail.
    Nonresident CDL means a CDL issued by a State under either of the 
following two conditions:
    (a) To an individual domiciled in a foreign country meeting the 
requirements of Sec. 383.23(b)(1).
    (b) To an individual domiciled in another State meeting the 
requirements of Sec. 383.23(b)(2).
    Non-CMV means a motor vehicle or combination of motor vehicles not 
defined by the term ``commercial motor vehicle (CMV)'' in this section.
    Out-of-service order means a declaration by an authorized 
enforcement officer of a Federal, State, Canadian, Mexican, or local 
jurisdiction that a driver, a commercial motor vehicle, or a motor 
carrier operation, is out-of-service pursuant to Secs. 386.72, 392.5, 
395.13, 396.9, or compatible laws, or the North American Uniform Out-of-
Service Criteria.
    Representative vehicle means a motor vehicle which represents the 
type of motor vehicle that a driver applicant operates or expects to 
operate.
    School bus means a CMV used to transport pre-primary, primary, or 
secondary school students from home to school, from school to home, or 
to and from school-sponsored events. School bus does not include a bus 
used as a common carrier.
    Serious traffic violation means conviction of any of the following 
offenses when operating a CMV, except weight, defect and parking 
violations:
    (a) Excessive speeding, involving any single offense for any speed 
of 15 miles

[[Page 918]]

per hour or more above the posted speed limit;
    (b) Reckless driving, as defined by State or local law or 
regulation, including but not limited to offenses of driving a CMV in 
willful or wanton disregard for the safety of persons or property;
    (c) Improper or erratic traffic lane changes;
    (d) Following the vehicle ahead too closely;
    (e) A violation, arising in connection with a fatal accident, of 
State or local law relating to motor vehicle traffic control;
    (f) Driving a CMV without obtaining a CDL;
    (g) Driving a CMV without a CDL in the driver's possession. Any 
individual who provides proof to the enforcement authority that issued 
the citation, by the date the individual must appear in court or pay any 
fine for such a violation, that the individual held a valid CDL on the 
date the citation was issued, shall not be guilty of this offense; or
    (h) Driving a CMV without the proper class of CDL and/or 
endorsements for the specific vehicle group being operated or for the 
passengers or type of cargo being transported.
    State means a State of the United States and the District of 
Columbia.
    State of domicile means that State where a person has his/her true, 
fixed, and permanent home and principal residence and to which he/she 
has the intention of returning whenever he/she is absent.
    Tank vehicle means any commercial motor vehicle that is designed to 
transport any liquid or gaseous materials within a tank that is either 
permanently or temporarily attached to the vehicle or the chassis. Such 
vehicles include, but are not limited to, cargo tanks and portable 
tanks, as defined in part 171 of this title. However, this definition 
does not include portable tanks having a rated capacity under 1,000 
gallons.
    United States the term United States means the 50 States and the 
District of Columbia.
    Vehicle means a motor vehicle unless otherwise specified.
    Vehicle group means a class or type of vehicle with certain 
operating characteristics.

[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 53 
FR 39050, Oct. 4, 1988; 54 FR 40787, Oct. 3, 1989; 59 FR 26028, May 18, 
1994; 61 FR 9566, Mar. 8, 1996; 61 FR 14679, Apr. 3, 1996; 62 FR 37151, 
July 11, 1997; 67 FR 49756, July 31, 2002; 68 FR 23849, May 5, 2003]



Sec. 383.7  Validity of CDL issued by decertified State.

    A CDL issued by a State prior to the date the State is notified by 
the Administrator, in accordance with the provisions of Sec. 384.405 of 
this subchapter, that the State is prohibited from issuing CDLs, will 
remain valid until its stated expiration date.

[67 FR 49756, July 31, 2002]



                  Subpart B--Single License Requirement



Sec. 383.21  Number of drivers' licenses.

    No person who operates a commercial motor vehicle shall at any time 
have more than one driver's license.

[64 FR 48110, Sept. 2, 1999]



Sec. 383.23  Commercial driver's license.

    (a) General rule. (1) Effective April 1, 1992, no person shall 
operate a commercial motor vehicle unless such person has taken and 
passed written and driving tests which meet the Federal standards 
contained in subparts F, G, and H of this part for the commercial motor 
vehicle that person operates or expects to operate.
    (2) Except as provided in paragraph (b) of this section, no person 
may legally operate a CMV unless such person possesses a CDL which meets 
the standards contained in subpart J of this part, issued by his/her 
State or jurisdiction of domicile.
    (b) Exception. (1) If a CMV operator is not domiciled in a foreign 
jurisdiction which the Administrator has determined tests drivers and 
issues CDLs in accordance with, or under standards similar to, the 
standards contained in subparts F, G, and H of this part, the person may 
obtain a Nonresident CDL from a State which does comply with the testing 
and licensing standards

[[Page 919]]

contained in such subparts F, G, and H of this part.\1\
---------------------------------------------------------------------------

    \1\ Effective December 29, 1988, the Administrator determined that 
commercial drivers' licensees issued by Canadian Provinces and 
Territories in conformity with the Canadian National Safety Code are in 
accordance with the standards of this part. Effective November 21, 1991, 
the Administrator determined that the new Licencias Federales de 
Conductor issued by the United Mexican States are in accordance with the 
standards of this part. Therefore, under the single license provision of 
Sec. 383.21, a driver holding a commercial driver's license issued under 
the Canadian National Safety Code or a new Licencia Federal de Conductor 
issued by Mexico is prohibited from obtaining nonresident CDL, or any 
other type of driver's license, from a State or other jurisdiction in 
the United States.
---------------------------------------------------------------------------

    (2) If an individual is domiciled in a State while that State is 
prohibited from issuing CDLs in accordance with Sec. 384.405 of this 
subchapter, that individual is eligible to obtain a Nonresident CDL from 
any State that elects to issue a Nonresident CDL and which complies with 
the testing and licensing standards contained in subparts F, G, and H of 
this part.
    (c) Learner's permit. State learners' permits, issued for limited 
time periods according to State requirements, shall be considered valid 
commercial drivers' licenses for purposes of behind-the-wheel training 
on public roads or highways, if the following minimum conditions are 
met:
    (1) The learner's permit holder is at all times accompanied by the 
holder of a valid CDL;
    (2) He/she either holds a valid automobile driver's license, or has 
passed such vision, sign/symbol, and knowledge tests as the State 
issuing the learner's permit ordinarily administers to applicants for 
automotive drivers' licenses; and
    (3) He/she does not operate a commercial motor vehicle transporting 
hazardous materials as defined in Sec. 383.5.

[53 FR 27649, July 21, 1988, as amended at 54 FR 22285, May 23, 1989; 57 
FR 31457, July 16, 1992; 67 FR 49756, July 31, 2002; 68 FR 23849, May 5, 
2003]



   Subpart C--Notification Requirements and Employer Responsibilities



Sec. 383.31  Notification of convictions for driver violations.

    (a) Each person who operates a commercial motor vehicle, who has a 
commercial driver's license issued by a State or jurisdiction, and who 
is convicted of violating, in any type of motor vehicle, a State or 
local law relating to motor vehicle traffic control (other than a 
parking violation) in a State or jurisdiction other than the one which 
issued his/her license, shall notify an official designated by the State 
or jurisdiction which issued such license, of such conviction. The 
notification must be made within 30 days after the date that the person 
has been convicted.
    (b) Each person who operates a commercial motor vehicle, who has a 
commercial driver's license issued by a State or jurisdiction, and who 
is convicted of violating, in any type of motor vehicle, a State or 
local law relating to motor vehicle traffic control (other than a 
parking violation), shall notify his/her current employer of such 
conviction. The notification must be made within 30 days after the date 
that the person has been convicted. If the driver is not currently 
employed, he/she must notify the State or jurisdiction which issued the 
license according to Sec. 383.31(a).
    (c) Notification. The notification to the State official and 
employer must be made in writing and contain the following information:
    (1) Driver's full name;
    (2) Driver's license number;
    (3) Date of conviction;
    (4) The specific criminal or other offense(s), serious traffic 
violation(s), and other violation(s) of State or local law relating to 
motor vehicle traffic control, for which the person was convicted and 
any suspension, revocation, or cancellation of certain driving 
privileges which resulted from such conviction(s);
    (5) Indication whether the violation was in a commercial motor 
vehicle;
    (6) Location of offense; and

[[Page 920]]

    (7) Driver's signature.

[52 FR 20587, June 1, 1987, as amended at 54 FR 40787, Oct. 3, 1989]



Sec. 383.33  Notification of driver's license suspensions.

    Each employee who has a driver's license suspended, revoked, or 
canceled by a State or jurisdiction, who loses the right to operate a 
commercial motor vehicle in a State or jurisdiction for any period, or 
who is disqualified from operating a commercial motor vehicle for any 
period, shall notify his/her current employer of such suspension, 
revocation, cancellation, lost privilege, or disqualification. The 
notification must be made before the end of the business day following 
the day the employee received notice of the suspension, revocation, 
cancellation, lost privilege, or disqualification.

[54 FR 40788, Oct. 3, 1989]



Sec. 383.35  Notification of previous employment.

    (a) Any person applying for employment as an operator of a 
commercial motor vehicle shall provide at the time of application for 
employment, the information specified in paragraph (c) of this section.
    (b) All employers shall request the information specified in 
paragraph (c) of this section from all persons applying for employment 
as a commercial motor vehicle operator. The request shall be made at the 
time of application for employment.
    (c) The following employment history information for the 10 years 
preceding the date the application is submitted shall be presented to 
the prospective employer by the applicant:
    (1) A list of the names and addresses of the applicant's previous 
employers for which the applicant was an operator of a commercial motor 
vehicle;
    (2) The dates the applicant was employed by these employers; and
    (3) The reason for leaving such employment.
    (d) The applicant shall certify that all information furnished is 
true and complete.
    (e) An employer may require an applicant to provide additional 
information.
    (f) Before an application is submitted, the employer shall inform 
the applicant that the information he/she provides in accordance with 
paragraph (c) of this section may be used, and the applicant's previous 
employers may be contacted for the purpose of investigating the 
applicant's work history.



Sec. 383.37  Employer responsibilities.

    No employer may knowingly allow, require, permit, or authorize a 
driver to operate a CMV in the United States:
    (a) During any period in which the driver has a CMV driver's license 
suspended, revoked, or canceled by a State, has lost the right to 
operate a CMV in a State, or has been disqualified from operating a CMV;
    (b) During any period in which the driver has more than one CMV 
driver's license;
    (c) During any period in which the driver, or the CMV he or she is 
driving, or the motor carrier operation, is subject to an out-of-service 
order; or
    (d) In violation of a Federal, State, or local law or regulation 
pertaining to railroad-highway grade crossings.

[64 FR 48110, Sept. 2, 1999]



            Subpart D--Driver Disqualifications and Penalties



Sec. 383.51  Disqualification of drivers.

    (a) General. (1) A driver or holder of a CDL who is disqualified 
must not drive a CMV.
    (2) An employer must not knowingly allow, require, permit, or 
authorize a driver who is disqualified to drive a CMV.
    (3) A driver is subject to disqualification sanctions designated in 
paragraphs (b) and (c) of this section, if the holder of a CDL drives a 
CMV or non-CMV and is convicted of the violations.
    (4) Determining first and subsequent violations. For purposes of 
determining first and subsequent violations of the offenses specified in 
this subpart, each conviction for any offense listed in Tables 1 through 
4 to this section resulting from a separate incident, whether committed 
in a CMV or non-CMV, must be counted.
    (5) Reinstatement after lifetime disqualification. A State may 
reinstate

[[Page 921]]

any driver disqualified for life for offenses described in paragraphs 
(b)(1) through (b)(8) of this section (Table 1 to Sec. 383.51) after 10 
years if that person has voluntarily entered and successfully completed 
an appropriate rehabilitation program approved by the State. Any person 
who has been reinstated in accordance with this provision and who is 
subsequently convicted of a disqualifying offense described in 
paragraphs (b)(1) through (b)(8) of this section (Table 1 to 
Sec. 383.51) must not be reinstated.
    (b) Disqualification for major offenses. Table 1 to Sec. 383.51 
contains a list of the offenses and periods for which a driver must be 
disqualified, depending upon the type of vehicle the driver is operating 
at the time of the violation, as follows:

[[Page 922]]



                                                                 Table 1 to Sec.  383.51
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                  For a first conviction
                                                                                     or refusal to be
                                                                                  tested while operating       For a second
                                                                                    a CMV transporting     conviction or refusal       For a second
                                 For a first conviction                             hazardous materials      to be tested in a     conviction or refusal
                                or refusal to be tested   For a first conviction      required to be       separate incident of      to be tested in a
                                 while operating a CMV,  or refusal to be tested    placarded under the     any combination of     separate incident of
 If a driver operates a motor     a person required to    while operating a non-    Hazardous Materials   offenses in this Table    any combination of
 vehicle and is convicted of:     have a CDL and a CDL    CMV, a CDL holder must    Regulations (49 CFR   while operating a CMV,  offenses in this Table
                                     holder must be        be disqualified from    part 172, subpart F),   a person required to   while operating a non-
                                   disqualified from     operating a CMV for . .   a person required to    have a CDL and a CDL   CMV, a CDL holder must
                                operating a CMV for . .             .               have a CDL and CDL        holder must be       be disqualified from
                                           .                                          holder must be         disqualified from     operating a CMV for .
                                                                                     disqualified from     operating a CMV for .            . .
                                                                                   operating a CMV for .            . .
                                                                                            . .
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) Being under the influence   1 year.................  1 year.................  3 years...............  Life..................  Life.
 of alcohol as prescribed by
 State law * * *.
-------------------------------
(2) Being under the influence   1 year.................  1 year.................  3 years...............  Life..................  Life.
 of a controlled substance * *
 *.
-------------------------------
(3) Having an alcohol           1 year.................  Not applicable.........  3 years...............  Life..................  Not applicable.
 concentration of 0.04 or
 greater while operating a CMV
 * * *.
-------------------------------
(4) Refusing to take an         1 year.................  1 year.................  3 years...............  Life..................  Life.
 alcohol test as required by a
 State or jurisdiction under
 its implied consent laws or
 regulations as defined in
 Sec.  383.72 of this part * *
 *.
-------------------------------
(5) Leaving the scene of an     1 year.................  1 year.................  3 years...............  Life..................  Life.
 accident * * *.
-------------------------------
(6) Using the vehicle to        1 year.................  1 year.................  3 years...............  Life..................  Life.
 commit a felony, other than a
 felony described in paragraph
 (b)(9) of this table * * *.
-------------------------------
(7) Driving a CMV when, as a    1 year.................  Not applicable.........  3 years...............  Life..................  Not applicable.
 result of prior violations
 committed operating a CMV,
 the driver's CDL is revoked,
 suspended, or canceled, or
 the driver is disqualified
 from operating a CMV.
-------------------------------
(8) Causing a fatality through  1 year.................  Not applicable.........  3 years...............  Life..................  Not applicable.
 the negligent operation of a
 CMV, including but not
 limited to the crimes of
 motor vehicle manslaughter,
 homicide by motor vehicle and
 negligent homicide.
-------------------------------
(9) Using the vehicle in the    Life-not eligible for    Life-not eligible for    Life-not eligible for   Life-not eligible for   Life-not eligible for
 commission of a felony          10-year reinstatement.   10-year reinstatement.   10-year reinstatement.  10-year reinstatement.  10-year reinstatement
 involving manufacturing,
 distributing, or dispensing a
 controlled substance * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 923]]

    (c) Disqualification for serious traffic violations. Table 2 to 
Sec. 383.51 contains a list of the offenses and the periods for which a 
driver must be disqualified, depending upon the type of vehicle the 
driver is operating at the time of the violation, as follows:

                                             Table 2 to Sec.  383.51
----------------------------------------------------------------------------------------------------------------
                                                                                                For a third or
                                                         For a second                             subsequent
                                                       conviction of any                       conviction of any
                                                        combination of                          combination of
                                                       offenses in this     For a third or     offenses in this
                                     For a second         Table in a          subsequent          Table in a
                                   conviction of any   separate incident   conviction of any   separate incident
                                    combination of      within a 3-year     combination of      within a 3-year
                                   offenses in this      period while      offenses in this      period while
                                      Table in a       operating a non-       Table in a       operating a non-
                                   separate incident   CMV, a CDL holder   separate incident   CMV, a CDL holder
 If the driver operates a motor     within a 3-year         must be         within a 3-year         must be
  vehicle and is convicted of:       period while      disqualified from     period while      disqualified from
                                  operating a CMV, a   operating a CMV,   operating a CMV, a   operating a CMV,
                                  person required to   if the conviction  person required to   if the conviction
                                   have a CDL and a     results in the     have a CDL and a     results in the
                                  CDL holder must be      revocation,     CDL holder must be      revocation,
                                   disqualified from   cancellation, or    disqualified from   cancellation, or
                                    operating a CMV    suspension of the    operating a CMV    suspension of the
                                       for . . .         CDL holder's          for . . .         CDL holder's
                                                      license or non-CMV                      license or non-CMV
                                                            driving                                 driving
                                                       privileges, for .                       privileges, for .
                                                              . .                                     . .
----------------------------------------------------------------------------------------------------------------
(1) Speeding excessively,         60 days...........  60 days...........  120 days..........  120 days.
 involving any speed of 24.1
 kmph (15 mph) or more above the
 posted speed limit.
(2) driving recklessly, as        60 days...........  60 days...........  120 days..........  120 days.
 defined by State or local law
 or regulation, including but,
 not limited to, offenses of
 driving a motor vehicle in
 willful or wanton disregard for
 the safety of persons or
 property.
(3) making improper or erratic    60 days...........  60 days...........  120 days..........  120 days.
 traffic lane changes.
(4) following the vehicle ahead   60 days...........  60 days...........  120 days..........  120 days.
 too closely.
(5) Violating State or local law  60 days...........  60 days...........  120 days..........  120 days.
 relating to motor vehicle
 traffic control (other than a
 parking violation) arising in
 connection with a fatal
 accident.
(6) driving a CMV without         60 days...........  Not applicable....  120 days..........  Not applicable.
 obtaining a CDL.
(7) driving a CMV without a CDL   60 days...........  Not applicable....  120 days..........  Not applicable.
 in the driver's possession\1\.
(8) driving a CMV without the     60 days...........  Not applicable....  120 days..........  Not applicable.
 proper class of CDL and/or
 endorsements for the specific
 vehicle group being operated or
 for the passengers or type of
 cargo being transported.
----------------------------------------------------------------------------------------------------------------
\1\Any individual who provides proof to the enforcement authority that issued the citation, by the date the
  individual must appear in court or pay any fine for such a violation, that the individual held a valid CDL on
  the date the citation was issued, shall not be guilty of this offense.


[[Page 924]]

    (d) Disqualification for railroad-highway grade crossing offenses. 
Table 3 to Sec. 383.51 contains a list of the offenses and the periods 
for which a driver must be disqualified, when the driver is operating a 
CMV at the time of the violation, as follows:

[[Page 925]]



                                                                 Table 3 to Sec.  383.51
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                For a second conviction of any      For a third or subsequent conviction
                                                                            combination of offenses in this Table    of any combination of offenses in
   If the driver is convicted of        For a first conviction a person       in a separate incident within a 3-     this Table in a separate incident
 operating a CMV in violation of a      required to have a CDL and a CDL      year period, a person required to       within a 3-year period, a person
Federal, State or local law because     holder must be disqualified from     have a CDL and a CDL holder must be      required to have a CDL and a CDL
               . . .                       operating a CMV for . . .        disqualified from operating a CMV for     holder must be disqualified from
                                                                                            . . .                        operating a CMV for . . .
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) The driver is not required to    No less than 60 days.................  No less than 120 days................  No less than 1 year.
 always stop, but fails to slow
 down and check that tracks are
 clear of an approaching train * *
 *.
------------------------------------
(2) The driver is not required to    No less than 60 days.................  No less than 120 days................  No less than 1 year.
 always stop, but fails to stop
 before reaching the crossing, if
 the tracks are not clear * * *.
------------------------------------
(3) The driver is always required    No less than 60 days.................  No less than 120 days................  No less than 1 year.
 to stop, but fails to stop before
 driving onto the crossing * * *.
------------------------------------
(4) The driver fails to have         No less than 60 days.................  No less than 120 days................  No less than 1 year.
 sufficient space to drive
 completely through the crossing
 without stopping * * *.
------------------------------------
(5) The driver fails to obey a       No less than 60 days.................  No less than 120 days................  No less than 1 year.
 traffic control device or the
 directions of an enforcement
 official at the crossing * * *.
------------------------------------
(6) The driver fails to negotiate a  No less than 60 days.................  No less than 120 days................  No less than 1 year.
 crossing because of insufficient
 undercarriage clearance * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 926]]

    (e) Disqualification for violating out-of-service orders. Table 4 to 
Sec. 383.51 contains a list of the offenses and periods for which a 
driver must be disqualified when the driver is operating a CMV at the 
time of the violation, as follows:

[[Page 927]]



                                                                 Table 4 to Sec.  383.51
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                            For a second conviction in a separate   For a third or subsequent conviction
                                          For a first conviction while         incident within a 10-year period     in a separate incident within a 10-
If the driver operates a CMV and is  operating a CMV, a person required to     while operating a CMV, a person      year period while operating a CMV, a
         convicted of . . .           have a CDL and a CDL holder must be      required to have a CDL and a CDL     person required to have a CDL and a
                                     disqualified from operating a CMV for     holder must be disqualified from     CDL holder must be disqualified from
                                                     . . .                        operating a CMV for . . .              operating a CMV for . . .
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) Violating a driver or vehicle    No less than 90 days or more than 1    No less than 1 year or more than 5     No less than 3 years or more than 5
 out-of-service order while           year.                                  years.                                 years.
 transporting nonhazardous
 materials . ..
------------------------------------
(2) Violating a driver or vehicle    No less than 180 days or more than 2   No less than 3 years or more than 5    No less than 3 years or more than 5
 out-of-service order while           years.                                 years.                                 years.
 transporting hazardous materials
 required to be placarded under
 part 172, subpart F of this title,
 or while operating a vehicle
 designed to transport 16 or more
 passengers, including the driver .
 ..
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 928]]


[67 FR 49756, July 31, 2002, as amended at 68 FR 4396, Jan. 29, 2003]



Sec. 383.52  Disqualification of drivers determined to constitute an imminent hazard.

    (a) The Assistant Administrator or his/her designee must disqualify 
from operating a CMV any driver whose driving is determined to 
constitute an imminent hazard, as defined in Sec. 383.5.
    (b) The period of the disqualification may not exceed 30 days unless 
the FMCSA complies with the provisions of paragraph (c) of this section.
    (c) The Assistant Administrator or his/her delegate may provide the 
driver an opportunity for a hearing after issuing a disqualification for 
a period of 30 days or less. The Assistant Administrator or his/her 
delegate must provide the driver notice of a proposed disqualification 
period of more than 30 days and an opportunity for a hearing to present 
a defense to the proposed disqualification. A disqualification imposed 
under this paragraph may not exceed one year in duration. The driver, or 
a representative on his/her behalf, may file an appeal of the 
disqualification issued by the Assistant Administrator's delegate with 
the Assistant Administrator, Adjudications Counsel, Federal Motor 
Carrier Safety Administration (Room 8217), 400 Seventh Street, SW., 
Washington, DC 20590.
    (d) Any disqualification imposed in accordance with the provisions 
of this section must be transmitted by the FMCSA to the jurisdiction 
where the driver is licensed and must become a part of the driver's 
record maintained by that jurisdiction.
    (e) A driver who is simultaneously disqualified under this section 
and under other provisions of this subpart, or under State law or 
regulation, shall serve those disqualification periods concurrently.

[67 FR 49759, July 31, 2002]



Sec. 383.53  Penalties.

    (a) General rule. Any person who violates the rules set forth in 
subparts B and C of this part may be subject to civil or criminal 
penalties as provided for in 49 U.S.C. 521(b).
    (b) Special penalties pertaining to violation of out-of-service 
orders--
    (b) Special penalties pertaining to violation of out-of-service 
orders--(1) Driver violations. A driver who is convicted of violating an 
out-of-service order shall be subject to a civil penalty of not less 
than $1,100 nor more than $2,750, in addition to disqualification under 
Sec. 383.51(e).
    (2) Employer violations. An employer who is convicted of a violation 
of Sec. 383.37(c) shall be subject to a civil penalty of not less than 
$2,750 nor more than $11,000.
    (c) Special penalties pertaining to railroad-highway grade crossing 
violations. An employer who is convicted of a violation of 
Sec. 383.37(d) must be subject to a civil penalty of not more than 
$10,000.

[59 FR 26028, May 18, 1994, as amended at 64 FR 48111, Sept. 2, 1999; 67 
FR 49759, July 31, 2002]



               Subpart E--Testing and Licensing Procedures

    Source: 53 FR 27649, July 21, 1988, unless otherwise noted.



Sec. 383.71  Driver application procedures.

    (a) Initial Commercial Driver's License. Prior to obtaining a CDL, a 
person must meet the following requirements:
    (1) A person who operates or expects to operate in interstate or 
foreign commerce, or is otherwise subject to part 391 of this title, 
shall certify that he/she meets the qualification requirements contained 
in part 391 of this title. A person who operates or expects to operate 
entirely in intrastate commerce and is not subject to part 391, is 
subject to State driver qualification requirements and must certify that 
he/she is not subject to part 391;
    (2) Pass a knowledge test in accordance with the standards contained 
in subparts G and H of this part for the type of motor vehicle the 
person operates or expects to operate;
    (3) Pass a driving or skills test in accordance with the standards 
contained in subparts G and H of this part taken in a motor vehicle 
which is representative of the type of motor vehicle the person operates 
or expects to operate; or provide evidence that he/she has successfully 
passed a driving test administered by an authorized third party;

[[Page 929]]

    (4) Certify that the motor vehicle in which the person takes the 
driving skills test is representative of the type of motor vehicle that 
person operates or expects to operate;
    (5) Provide to the State of issuance the information required to be 
included on the CDL as specified in subpart J of this part;
    (6) Certify that he/she is not subject to any disqualification under 
Sec. 383.51, or any license suspension, revocation, or cancellation 
under State law, and that he/she does not have a driver's license from 
more than one State or jurisdiction;
    (7) Surrender the applicant's non-CDL driver's licenses to the 
State; and
    (8) Provide the names of all States where the applicant has 
previously been licensed to drive any type of motor vehicle during the 
previous 10 years.
    (9) If applying for a hazardous materials endorsement, comply with 
Transportation Security Administration requirements codified in 49 CFR 
Part 1572, and provide proof of citizenship or immigration status as 
specified in Table 1 to this section. A lawful permanent resident of the 
United States requesting a hazardous materials endorsement must 
additionally provide his or her Bureau of Citizenship and Immigration 
Services (BCIS) Alien registration number.

  Table 1 to Sec.  383.71--List of Acceptable Proofs of Citizenship or
                               Immigration
------------------------------------------------------------------------
                 Status                           Proof of status
------------------------------------------------------------------------
U.S. Citizen............................  [sbull] U.S. Passport
                                          [sbull] Certificate of birth
                                           that bears an official seal
                                           and was issued by a State,
                                           county, municipal authority,
                                           or outlying possession of the
                                           United States
                                          [sbull] Certification of Birth
                                           Abroad issued by the U.S.
                                           Department of State (Form FS-
                                           545 or DS 1350)
                                          [sbull] Certificate of
                                           Naturalization (Form N-550 or
                                           N-570)
                                          [sbull] Certificate of U.S.
                                           Citizenship (Form N-560 or N-
                                           561)
Lawful Permanent Resident...............  [sbull] Permanent Resident
                                           Card, Alien Registration
                                           Receipt Card (Form I-551)
                                          [sbull] Temporary I-551 stamp
                                           in foreign passport
                                          [sbull] Temporary I-551 stamp
                                           on Form I-94, Arrival/
                                           Departure Record, with
                                           photograph of the bearer
                                          [sbull] Reentry Permit (Form I-
                                           327)
------------------------------------------------------------------------

    (b) License transfer. When applying to transfer a CDL from one State 
of domicile to a new State domicile, an applicant shall apply for a CDL 
from the new State of domicile within no more than 30 days after 
establishing his/her new domicile. The applicant shall:
    (1) Provide to the new State of domicile the certifications 
contained in Sec. 383.71(a) (1) and (6):
    (2) Provide to the new State of domicile updated information as 
specified in subpart J of this part;
    (3) If the applicant wishes to retain a hazardous materials 
endorsement, he/she must comply with the requirements for such 
endorsement specified in Sec. 383.71(a)(9) and State requirements as 
specified in Sec. 383.73(b)(4);
    (4) Surrender the CDL from the old State of domicile to the new 
State of domicile; and
    (5) Provide the names of all States where the applicant has 
previously been licensed to drive any type of motor vehicle during the 
previous 10 years.
    (c) License renewal. When applying for a renewal of a CDL, all 
applicants shall:
    (1) Provide certification contained in Sec. 383.71(a)(1);
    (2) Provide update information as specified in subpart J of this 
part; and
    (3) If a person wishes to retain a hazardous materials endorsement, 
he/she must comply with the requirements specified in Sec. 383.71(a)(9) 
and pass the test specified in Sec. 383.121 for such endorsement.
    (4) Provide the names of all States where the applicant has 
previously been licensed to drive any type of motor vehicle during the 
previous 10 years.
    (d) License upgrades. When applying to operate a commercial motor 
vehicle in a different group or endorsement from the group or 
endorsement in which the applicant already has a CDL, all persons shall:
    (1) Provide the necessary certifications as specified in 
Sec. 383.71(a)(1) and (a)(4);
    (2) Pass all tests specified in Sec. 383.71(a)(2) and (a)(3) for the 
new vehicle group and/or different endorsements; and

[[Page 930]]

    (3) To obtain a hazardous materials endorsement, comply with the 
requirements for such endorsement specified in Sec. 383.71(a)(9).
    (e) Nonresident CDL. When an applicant is domiciled in a foreign 
jurisdiction, as defined in Sec. 383.5, where the commercial motor 
vehicle operator testing and licensing standards do not meet the 
standards contained in subparts G and H of this part, as determined by 
the Administrator, such applicant shall obtain a Nonresident CDL from a 
State which meets such standards. Such applicant shall:
    (1) Complete the requirements to obtain a CDL contained in 
Sec. 383.71(a); and
    (2) After receipt of the CDL, and for as long as it is valid, notify 
the State which issued the CDL of any adverse action taken by any 
jurisdiction or governmental agency, foreign or domestic, against his/
her driving privileges. Such adverse actions would include but not be 
limited to license suspension or revocation, or disqualification from 
operating a commercial motor vehicle for the convictions described in 
Sec. 383.51. Notifications shall be made within the time periods 
specified in Sec. 383.33.
    (f) If a State uses the alternative method described in 
Sec. 383.73(i) to achieve the objectives of the certifications in 
Sec. 383.71(a), then the driver applicant shall satisfy such alternative 
methods as are applicable to him/her with respect to initial licensing, 
license transfer, license renewal, and license upgrades.

[53 FR 27649, July 21, 1988, as amended at 67 FR 49759, July 31, 2002; 
68 FR 23849, May 5, 2003]



Sec. 383.72  Implied consent to alcohol testing.

    Any person who holds a CDL is considered to have consented to such 
testing as is required by any State or jurisdiction in the enforcement 
of Sec. Sec. 383.51(b)(2)(i) and 392.5(a)(2) of this chapter. Consent is 
implied by driving a commercial motor vehicle.

[66 FR 49872, Oct. 1, 2001]



Sec. 383.73  State procedures.

    (a) Initial licensure. Prior to issuing a CDL to a person, a State 
shall:
    (1) Require the driver applicant to certify, pass tests, and provide 
information as described in Secs. 383.71(a) (1) through (6);
    (2) Check that the vehicle in which the applicant takes his/her test 
is representative of the vehicle group the applicant has certified that 
he/she operates or expects to operate;
    (3) Initiate and complete a check of the applicant's driving record 
to ensure that the person is not subject to any disqualification under 
Sec. 383.51, or any license suspension, revocation, or cancellation 
under State law, and that the person does not have a driver's license 
from more than one State or jurisdiction. The record check must include, 
but is not limited to, the following:
    (i) A check of the applicant's driving record as maintained by his/
her current State of licensure, if any;
    (ii) A check with the CDLIS to determine whether the driver 
applicant already has been issued a CDL, whether the applicant's license 
has been suspended, revoked, or canceled, or if the applicant has been 
disqualified from operating a commercial motor vehicle;
    (iii) A check with the National Driver Register (NDR) to determine 
whether the driver applicant has:
    (A) Been disqualified from operating a motor vehicle (other than a 
commercial motor vehicle);
    (B) Had a license (other than CDL) suspended, revoked, or canceled 
for cause in the 3-year period ending on the date of application; or
    (C) Been convicted of any offenses contained in section 205(a)(3) of 
the National Driver Register Act of 1982 (23 U.S.C. 401 note); and
    (iv) A request for the applicant's complete driving record from all 
States where the applicant was previously licensed over the last 10 
years to drive any type of motor vehicle. Exception: A State is only 
required to make the driving record check specified in this paragraph 
(a)(3) for drivers renewing a CDL for the first time after September 30, 
2002, provided a notation is made on the driver's record confirming that 
the driver record check required by this paragraph (a)(3) has been made 
and noting the date it was done; and
    (4) Require the driver applicant to surrender his/her driver's 
license issued

[[Page 931]]

by another State, if he/she has moved from another State.
    (5) For persons applying for a hazardous materials endorsement, 
require compliance with the standards for such endorsement specified in 
Sec. 383.71(a)(9).
    (b) License transfers. Prior to issuing a CDL to a person who has a 
CDL from another State, a State shall:
    (1) Require the driver applicant to make the certifications 
contained in Sec. 383.71(a);
    (2) Complete a check of the driver applicant's record as contained 
in Sec. 383.73(a)(3);
    (3) Request and receive updates of information specified in subpart 
J of this part;
    (4) If such applicant wishes to retain a hazardous materials 
endorsement, require compliance with standards for such endorsement 
specified in Sec. 383.71(a)(9) and ensure that the driver has, within 
the 2 years preceding the transfer, either:
    (i) Passed the test for such endorsement specified in Sec. 383.121; 
or
    (ii) Successfully completed a hazardous materials test or training 
that is given by a third party and that is deemed by the State to 
substantially cover the same knowledge base as that described in 
Sec. 383.121; and
    (5) Obtain the CDL issued by the applicant's previous State of 
domicile.
    (c) License Renewals. Prior to renewing any CDL a State shall:
    (1) Require the driver applicant to make the certifications 
contained in Sec. 383.71(a);
    (2) Complete a check of the driver applicant's record as contained 
in Sec. 383.73(a)(3);
    (3) Request and receive updates of information specified in subpart 
J of this part; and
    (4) If such applicant wishes to retain a hazardous materials 
endorsement, require the driver to pass the test specified in 
Sec. 383.121 and comply with the standards specified in 
Sec. 383.71(a)(9) for such endorsement.
    (d) License upgrades. Prior to issuing an upgrade of a CDL, a State 
shall:
    (1) Require such driver applicant to provide certifications, pass 
tests, and meet applicable hazardous materials standards specified in 
Sec. 383.71(d); and
    (2) Complete a check of the driver applicant's record as described 
in Sec. 383.73(a)(3).
    (e) Nonresident CDL. A State may issue a Nonresident CDL to a person 
domiciled in a foreign country if the Administrator has determined that 
the commercial motor vehicle testing and licensing standards in the 
foreign jurisdiction of domicile do not meet the standards contained in 
this part. State procedures for the issuance of a nonresident CDL, for 
any modifications thereto, and for notifications to the CDLIS shall at a 
minimum be identical to those pertaining to any other CDL, with the 
following exceptions:
    (1) If the applicant is requesting a transfer of his/her Nonresident 
CDL, the State shall obtain the Nonresident CDL currently held by the 
applicant and issued by another State;
    (2) The State shall add the word ``Nonresident'' to the face of the 
CDL, in accordance with Sec. 383.153(b); and
    (3) The State shall have established, prior to issuing any 
Nonresident CDL, the practical capability of disqualifying the holder of 
any Nonresident CDL, by withdrawing, suspending, canceling, and revoking 
his/her Nonresident CDL as if the Nonresident CDL were a CDL issued to a 
resident of the State.
    (f) License issuance. After the State has completed the procedures 
described in Sec. 383.73 (a), (b), (c), (d) or (e), it may issue a CDL 
to the driver applicant. The State shall notify the operator of the 
CDLIS of such issuance, transfer, renewal, or upgrade within the 10-day 
period beginning on the date of license issuance.
    (g) Penalties for false information. If a State determines, in its 
check of an applicant's license status and record prior to issuing a 
CDL, or at any time after the CDL is issued, that the applicant has 
falsified information contained in subpart J of this part or any of the 
certifications required in Sec. 383.71(a), the State shall at a minimum 
suspend, cancel, or revoke the person's CDL or his/her pending 
application, or disqualify the person from operating a commercial motor 
vehicle for a period of at least 60 consecutive days.

[[Page 932]]

    (h) Reciprocity. A State shall allow any person who has a valid CDL 
which is not suspended, revoked, or canceled, and who is not 
disqualified from operating a commercial motor vehicle, to operate a 
commercial motor vehicle in the State.
    (i) Alternative procedures. A State may implement alternative 
procedures to the certification requirements of Sec. 383.71(a) (1), (4), 
and (6), provided those procedures ensure that the driver meets the 
requirements of those paragraphs.

[53 FR 27649, July 21, 1988, as amended at 54 FR 40788, Oct. 3, 1989; 67 
FR 49760, July 31, 2002; 68 FR 23850, May 5, 2003]



Sec. 383.75  Third party testing.

    (a) Third party tests. A State may authorize a person (including 
another State, an employer, a private driver training facility or other 
private institution, or a department, agency or instrumentality of a 
local government) to administer the skills tests as specified in 
subparts G and H of this part, if the following conditions are met:
    (1) The tests given by the third party are the same as those which 
would otherwise be given by the State; and
    (2) The third party as an agreement with the State containing, at a 
minimum, provisions that:
    (i) Allow the FMCSA, or its representative, and the State to conduct 
random examinations, inspections and audits without prior notice;
    (ii) Require the State to conduct on-site inspections at least 
annually;
    (iii) Require that all third party examiners meet the same 
qualification and training standards as State examiners, to the extent 
necessary to conduct skills tests in compliance with subparts G and H;
    (iv) Require that, at least on an annual basis, State employees take 
the tests actually administered by the third party as if the State 
employee were a test applicant, or that States test a sample of drivers 
who were examined by the third party to compare pass/fail results; and
    (v) Reserve unto the State the right to take prompt and appropriate 
remedial action against the third-party testers in the event that the 
third-party fails to comply with State or Federal standards for the CDL 
testing program, or with any other terms of the third-party contract.
    (b) Proof of testing by a third party. A driver applicant who takes 
and passes driving tests administered by an authorized third party shall 
provide evidence to the State licensing agency that he/she has 
successfully passed the driving tests administered by the third party.



Sec. 383.77  Substitute for driving skills tests.

    At the discretion of a State, the driving skill test as specified in 
Sec. 383.113 may be waived for a CMV operator who is currently licensed 
at the time of his/her application for a CDL, and substituted with 
either an applicant's driving record and previous passage of an 
acceptable skills test, or an applicant's driving record in combination 
with certain driving experience. The State shall impose conditions and 
limitations to restrict the applicants from whom a State may accept 
alternative requirements for the skills test described in Sec. 383.113. 
Such conditions must require at least the following:
    (a) An applicant must certify that, during the two-year period 
immediately prior to applying for a CDL, he/she:
    (1) Has not had more than one license (except in the instances 
specified in Sec. 383.21(b));
    (2) Has not had any license suspended, revoked, or canceled;
    (3) Has not had any convictions for any type of motor vehicle for 
the disqualifying offenses contained in Sec. 383.51(b);
    (4) Has not had more than one conviction for any type of motor 
vehicle for serious traffic violations; and
    (5) Has not had any conviction for a violation of State or local law 
relating to motor vehicle traffic control (other than a parking 
violation) arising in connection with any traffic accident, and has no 
record of an accident in which he/she was at fault; and
    (b) An applicant must provide evidence and certify that:
    (1) He/she is regularly employed in a job requiring operation of a 
CMV, and that either:

[[Page 933]]

    (2) He/she has previously taken and passed a skills test given by a 
State with a classified licensing and testing system, and that the test 
was behind-the-wheel in a representative vehicle for that applicant's 
driver's license classification; or
    (3) He/she has operated, for at least 2 years immediately preceding 
application for a CDL, a vehicle representative of the commercial motor 
vehicle the driver applicant operates or expects to operate.

[53 FR 27649, July 21, 1988, as amended at 55 FR 25606, June 22, 1990; 
67 FR 49760, July 31, 2002]



               Subpart F--Vehicle Groups and Endorsements

    Source: 53 FR 27651, July 21, 1988, unless otherwise noted.



Sec. 383.91  Commercial motor vehicle groups.

    (a) Vehicle group descriptions. Each driver applicant must possess 
and be tested on his/her knowledge and skills, described in subpart G of 
this part, for the commercial motor vehicle group(s) for which he/she 
desires a CDL. The commercial motor vehicle groups are as follows:
    (1) Combination vehicle (Group A)--Any combination of vehicles with 
a gross combination weight rating (GCWR) of 11,794 kilograms or more 
(26,001 pounds or more) provided the GVWR of the vehicle(s) being towed 
is in excess of 4,536 kilograms (10,000 pounds).
    (2) Heavy Straight Vehicle (Group B)--Any single vehicle with a GVWR 
of 11,794 kilograms or more (26,001 pounds or more), or any such vehicle 
towing a vehicle not in excess of 4,536 kilograms (10,000 pounds) GVWR.
    (3) Small Vehicle (Group C)--Any single vehicle, or combination of 
vehicles, that meets neither the definition of Group A nor that of Group 
B as contained in this section, but that either is designed to transport 
16 or more passengers including the driver, or is used in the 
transportation of materials found to be hazardous for the purposes of 
the Hazardous Materials Transportation Act and which require the motor 
vehicle to be placarded under the Hazardous Materials Regulations (49 
CFR part 172, subpart F).
    (b) Representative vehicle. For purposes of taking the driving test 
in accordance with Sec. 383.113, a representative vehicle for a given 
vehicle group contained in Sec. 383.91(a), is any commercial motor 
vehicle which meets the definition of that vehicle group.
    (c) Relation between vehicle groups. Each driver applicant who 
desires to operate in a different commercial motor vehicle group from 
the one which his/her CDL authorizes shall be required to retake and 
pass all related tests, except the following:
    (1) A driver who has passed the knowledge and skills tests for a 
combination vehicle (Group A) may operate a heavy straight vehicle 
(Group B) or a small vehicle (Group C), provided that he/she possesses 
the requisite endorsement(s); and
    (2) A driver who has passed the knowledge and skills tests for a 
heavy straight vehicle (Group B) may operate any small vehicle (Group 
C), provided that he/she possesses the requisite endorsement(s).
    (d) Vehicle group illustration. Figure 1 illustrates typical 
vehicles within each of the vehicle groups defined in this section.

[[Page 934]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.039


[53 FR 27651, July 21, 1988, as amended at 54 FR 47989, Nov. 20, 1989; 
61 FR 9566, Mar. 8, 1996]

[[Page 935]]



Sec. 383.93  Endorsements.

    (a) General. In addition to taking and passing the knowledge and 
skills tests described in subpart G of this part, all persons who 
operate or expect to operate the type(s) of motor vehicles described in 
paragraph (b) of this section shall take and pass specialized tests to 
obtain each endorsement. The State shall issue CDL endorsements only to 
drivers who successfully complete the tests.
    (b) Endorsement descriptions. An operator must obtain State-issued 
endorsements to his/her CDL to operate commercial motor vehicles which 
are:
    (1) Double/triple trailers;
    (2) Passenger vehicles;
    (3) Tank vehicles;
    (4) Used to transport hazardous materials as defined in Sec. 383.5, 
or
    (5) School buses.
    (c) Endorsement testing requirements. The following tests are 
required for the endorsements contained in paragraph (b) of this 
section:
    (1) Double/Triple Trailers--a knowledge test;
    (2) Passenger--a knowledge and a skills test;
    (3) Tank vehicle--a knowledge test;
    (4) Hazardous Materials--a knowledge test; and
    (5) School bus--a knowledge and a skills test.

[53 FR 27651, July 21, 1988, as amended at 67 FR 49760, July 31, 2002; 
68 FR 23850, May 5, 2003]



Sec. 383.95  Air brake restrictions.

    (a) If an applicant either fails the air brake component of the 
knowledge test, or performs the skills test in a vehicle not equipped 
with air brakes, the State shall indicate on the CDL, if issued, that 
the person is restricted from operating a CMV equipped with air brakes.
    (b) For the purposes of the skills test and the restriction, air 
brakes shall include any braking system operating fully or partially on 
the air brake principle.



                Subpart G--Required Knowledge and Skills

    Source: 53 FR 27654, July 21, 1988, unless otherwise noted.



Sec. 383.110  General requirement.

    All drivers of commercial motor vehicles shall have knowledge and 
skills necessary to operate a commercial motor vehicle safely as 
contained in this subpart. A sample of the specific types of items which 
a State may wish to include in the knowledge and skills tests that it 
administers to CDL applicants is included in the appendix to this 
subpart G.



Sec. 383.111  Required knowledge.

    All commercial motor vehicle operators must have knowledge of the 
following general areas:
    (a) Safe operations regulations. Driver-related elements of the 
regulations contained in 49 CFR parts 382, 391, 392, 393, 395, 396, and 
397, such as: Motor vehicle inspection, repair, and maintenance 
requirements; procedures for safe vehicle operations; the effects of 
fatigue, poor vision, hearing, and general health upon safe commercial 
motor vehicle operation; the types of motor vehicles and cargoes subject 
to the requirements; and the effects of alcohol and drug use upon safe 
commercial motor vehicle operations.
    (b) Commercial motor vehicle safety control systems. Proper use of 
the motor vehicle's safety system, including lights, horns, side and 
rear-view mirrors, proper mirror adjustments, fire extinguishers, 
symptoms of improper operation revealed through instruments, motor 
vehicle operation characteristics, and diagnosing malfunctions. 
Commercial motor vehicle drivers shall have knowledge on the correct 
procedures needed to use these safety systems in an emergency situation, 
e.g., skids and loss of brakes.
    (c) Safe vehicle control--(1) Control systems The purpose and 
function of the controls and instruments commonly found on commercial 
motor vehicles.

[[Page 936]]

    (2) Basic control. The proper procedures for performing various 
basic maneuvers.
    (3) Shifting. The basic shifting rules and terms, as well as shift 
patterns and procedures for common transmissions.
    (4) Backing. The procedures and rules for various backing maneuvers.
    (5) Visual search. The importance of proper visual search, and 
proper visual search methods.
    (6) Communication. The principles and procedures for proper 
communications and the hazards of failure to signal properly.
    (7) Speed management. The importance of understanding the effects of 
speed.
    (8) Space management. The procedures and techniques for controlling 
the space around the vehicle.
    (9) Night operation. Preparations and procedures for night driving.
    (10) Extreme driving conditions. The basic information on operating 
in extreme driving conditions and the hazards that are encountered in 
extreme conditions.
    (11) Hazard perceptions. The basic information on hazard perception 
and clues for recognition of hazards.
    (12) Emergency maneuvers. The basic information concerning when and 
how to make emergency maneuvers.
    (13) Skid control and recovery. The information on the causes and 
major types of skids, as well as the procedures for recovering from 
skids.
    (d) Relationship of cargo to vehicle control. The principles and 
procedures for the proper handling of cargo.
    (e) Vehicle inspections: The objectives and proper procedures for 
performing vehicle safety inspections, as follows:
    (1) The importance of periodic inspection and repair to vehicle 
safety.
    (2) The effect of undiscovered malfunctions upon safety.
    (3) What safety-related parts to look for when inspecting vehicles.
    (4) Pre-trip/enroute/post-trip inspection procedures.
    (5) Reporting findings.
    (f) Hazardous materials knowledge, such as: What constitutes 
hazardous material requiring an endorsement to transport; classes of 
hazardous materials; labeling/placarding requirements; and the need for 
specialized training as a prerequisite to receiving the endorsement and 
transporting hazardous cargoes.
    (g) Air brake knowledge as follows:
    (1) Air brake system nomenclature;
    (2) The dangers of contaminated air supply;
    (3) Implications of severed or disconnected air lines between the 
power unit and the trailer(s);
    (4) Implications of low air pressure readings;
    (5) Procedures to conduct safe and accurate pre-trip inspections.
    (6) Procedures for conducting enroute and post-trip inspections of 
air actuated brake systems, including ability to detect defects which 
may cause the system to fail.
    (h) Operators for the combination vehicle group shall also have 
knowledge of:
    (1) Coupling and uncoupling--The procedures for proper coupling and 
uncoupling a tractor to semi-trailer.
    (2) Vehicle inspection--The objectives and proper procedures that 
are unique for performing vehicle safety inspections on combination 
vehicles.

[53 FR 27654, July 21, 1988, as amended at 62 FR 37151, July 11, 1997]



Sec. 383.113  Required skills.

    (a) Basic vehicle control skills. All applicants for a CDL must 
possess and demonstrate basic motor vehicle control skills for each 
vehicle group which the driver operates or expects to operate. These 
skills should include the ability to start, to stop, and to move the 
vehicle forward and backward in a safe manner.
    (b) Safe driving skills. All applicants for a CDL must possess and 
demonstrate the safe driving skills for their vehicle group. These 
skills should include proper visual search methods, appropriate use of 
signals, speed control for weather and traffic conditions, and ability 
to position the motor vehicle correctly when changing lanes or turning.
    (c) Air brake skills. Except as provided in Sec. 393.95, all 
applicants shall demonstrate the following skills with respect to 
inspection and operation of air brakes:

[[Page 937]]

    (1) Pre-trip inspection skills. Applicants shall demonstrate the 
skills necessary to conduct a pre-trip inspection which includes the 
ability to:
    (i) Locate and verbally identify air brake operating controls and 
monitoring devices;
    (ii) Determine the motor vehicle's brake system condition for proper 
adjustments and that air system connections between motor vehicles have 
been properly made and secured;
    (iii) Inspect the low pressure warning device(s) to ensure that they 
will activate in emergency situations;
    (iv) Ascertain, with the engine running, that the system maintains 
an adequate supply of compressed air;
    (v) Determine that required minimum air pressure build up time is 
within acceptable limits and that required alarms and emergency devices 
automatically deactivate at the proper pressure level; and
    (vi) Operationally check the brake system for proper performance.
    (2) Driving skills. Applicants shall successfully complete the 
skills tests contained in Sec. 383.113 in a representative vehicle 
equipped with air brakes.
    (d) Test area. Skills tests shall be conducted in on-street 
conditions or under a combination of on-street and off-street 
conditions.
    (e) Simulation technology. A State may utilize simulators to perform 
skills testing, but under no circumstances as a substitute for the 
required testing in on-street conditions.



Sec. 383.115  Requirements for double/triple trailers endorsement.

    In order to obtain a Double/Triple Trailers endorsement each 
applicant must have knowledge covering:
    (a) Procedures for assembly and hookup of the units;
    (b) Proper placement of heaviest trailer;
    (c) Handling and stability characteristics including off-tracking, 
response to steering, sensory feedback, braking, oscillatory sway, 
rollover in steady turns, yaw stability in steady turns; and
    (d) Potential problems in traffic operations, including problems the 
motor vehicle creates for other motorists due to slower speeds on steep 
grades, longer passing times, possibility for blocking entry of other 
motor vehicles on freeways, splash and spray impacts, aerodynamic 
buffeting, view blockages, and lateral placement.



Sec. 383.117  Requirements for passenger endorsement.

    An applicant for the passenger endorsement must satisfy both of the 
following additional knowledge and skills test requirements.
    (a) Knowledge test. All applicants for the passenger endorsement 
must have knowledge covering at least the following topics:
    (1) Proper procedures for loading/unloading passengers;
    (2) Proper use of emergency exits, including push-out windows;
    (3) Proper responses to such emergency situations as fires and 
unruly passengers;
    (4) Proper procedures at railroad crossings and drawbridges; and
    (5) Proper braking procedures.
    (b) Skills test. To obtain a passenger endorsement applicable to a 
specific vehicle group, an applicant must take his/her skills test in a 
passenger vehicle satisfying the requirements of that group as defined 
in Sec. 383.91.



Sec. 383.119  Requirements for tank vehicle endorsement.

    In order to obtain a Tank Vehicle Endorsement, each applicant must 
have knowledge covering the following:
    (a) Causes, prevention, and effects of cargo surge on motor vehicle 
handling;
    (b) Proper braking procedures for the motor vehicle when it is 
empty, full and partially full;
    (c) Differences in handling of baffled/compartmental tank interiors 
versus non-baffled motor vehicles;
    (d) Differences in tank vehicle type and construction;
    (e) Differences in cargo surge for liquids of varying product 
densities;
    (f) Effects of road grade and curvature on motor vehicle handling 
with filled, half-filled and empty tanks;
    (g) Proper use of emergency systems; and
    (h) For drivers of DOT specification tank vehicles, retest and 
marking requirements.

[[Page 938]]



Sec. 383.121  Requirements for hazardous materials endorsement.

    In order to obtain a Hazardous Material Endorsement each applicant 
must have such knowledge as is required of a driver of a hazardous 
materials laden vehicle, from information contained in 49 CFR parts 171, 
172, 173, 177, 178, and 397 on the following:
    (a) Hazardous materials regulations including:
    (1) Hazardous materials table;
    (2) Shipping paper requirements;
    (3) Marking;
    (4) Labeling;
    (5) Placarding requirements;
    (6) Hazardous materials packaging;
    (7) Hazardous materials definitions and preparation;
    (8) Other regulated material (e.g., ORM-D);
    (9) Reporting hazardous materials accidents; and
    (10) Tunnels and railroad crossings.
    (b) Hazardous materials handling including:
    (1) Forbidden Materials and Packages;
    (2) Loading and Unloading Materials;
    (3) Cargo Segregation;
    (4) Passenger Carrying Buses and Hazardous Materials;
    (5) Attendance of Motor Vehicles;
    (6) Parking;
    (7) Routes;
    (8) Cargo Tanks; and
    (9) ``Safe Havens.''
    (c) Operation of emergency equipment including:
    (1) Use of equipment to protect the public;
    (2) Special precautions for equipment to be used in fires;
    (3) Special precautions for use of emergency equipment when loading 
or unloading a hazardous materials laden motor vehicle; and
    (4) Use of emergency equipment for tank vehicles.
    (d) Emergency response procedures including:
    (1) Special care and precautions for different types of accidents;
    (2) Special precautions for driving near a fire and carrying 
hazardous materials, and smoking and carrying hazardous materials;
    (3) Emergency procedures; and
    (4) Existence of special requirements for transporting Class A and B 
explosives.



Sec. 383.123  Requirements for a school bus endorsement.

    (a) An applicant for a school bus endorsement must satisfy the 
following three requirements:
    (1) Qualify for passenger vehicle endorsement. Pass the knowledge 
and skills test for obtaining a passenger vehicle endorsement.
    (2) Knowledge test. Must have knowledge covering at least the 
following three topics:
    (i) Loading and unloading children, including the safe operation of 
stop signal devices, external mirror systems, flashing lights and other 
warning and passenger safety devices required for school buses by State 
or Federal law or regulation.
    (ii) Emergency exits and procedures for safely evacuating passengers 
in an emergency.
    (iii) State and Federal laws and regulations related to safely 
traversing highway rail grade crossings.
    (3) Skills test. Must take a driving skills test in a school bus of 
the same vehicle group (see Sec. 383.91(a)) as the school bus applicant 
will drive.
    (b) Substitute for driving skills test. (1) At the discretion of a 
State, the driving skills test required in paragraph (a)(3) of this 
section may be waived for an applicant who is currently licensed, has 
experience driving a school bus, has a good driving record, and meets 
the conditions set forth in paragraph (b)(2) of this section.
    (2) An applicant must certify and the State must verify that, during 
the two-year period immediately prior to applying for the school bus 
endorsement, the applicant:
    (i) Held a valid CDL with a passenger vehicle endorsement to operate 
a school bus representative of the group he or she will be driving;
    (ii) Has not had his or her driver's license or CDL suspended, 
revoked or canceled or been disqualified from operating a CMV;
    (iii) Has not been convicted of any of the disqualifying offenses in 
Sec. 383.51(b)

[[Page 939]]

while operating a CMV or of any offense in a non-CMV that would be 
disqualifying under Sec. 383.51(b) if committed in a CMV;
    (iv) Has not had more than one conviction of any of the serious 
traffic violations defined in Sec. 383.5, while operating any type motor 
vehicle;
    (v) Has not had any conviction for a violation of State or local law 
relating to motor vehicle traffic control (other than a parking 
violation) arising in connection with any traffic accident;
    (vi) Has not been convicted of any motor vehicle traffic violation 
that resulted in an accident; and
    (vii) Has been regularly employed as a school bus driver, has 
operated a school bus representative of the group the applicant seeks to 
drive, and provides evidence of such employment.
    (3) After September 30, 2005 the provisions in paragraph (b) of this 
section do not apply.

[67 FR 49760, July 31, 2002]

Appendix to Subpart G of Part 383--Required Knowledge and Skills--Sample 
                               Guidelines

    The following is a sample of the specific types of items which a 
State may wish to include in the knowledge and skills tests that it 
administers to CDL applicants. This appendix closely follows the 
framework of Secs. 383.111 and 383.113. It is intended to provide more 
specific guidance and suggestion to States. Additional detail in this 
appendix is not binding and States may depart from it at their 
discretion provided their CDL program tests for the general areas of 
knowledge and skill specified in Secs. 383.111 and 383.113.

                 Examples of specific knowledge elements

    (a) Safe operations regulations. Driver-related elements of the 
following regulations:
    (1) Motor vehicle inspection, repair, and maintenance requirements 
as contained in parts 393 and 396 of this title;
    (2) Procedures for safe vehicle operations as contained in part 392 
of this title;
    (3) The effects of fatigue, poor vision, hearing, and general health 
upon safe commercial motor vehicle operation as contained in parts 391, 
392, and 395 of this title;
    (4) The types of motor vehicles and cargoes subject to the 
requirements contained in part 397 of this title; and
    (5) The effects of alcohol and drug use upon safe commercial motor 
vehicle operations as contained in parts 391 and 395 of this title.
    (b) Commercial motor vehicle safety control systems. Proper use of 
the motor vehicle's safety system, including lights, horns, side and 
rear-view mirrors, proper mirror adjustments, fire extinguishers, 
symptoms of improper operation revealed through instruments, motor 
vehicle operation characteristics, and diagnosing malfunctions. 
Commercial motor vehicle drivers shall have knowledge on the correct 
procedures needed to use these safety systems in an emergency situation, 
e.g., skids and loss of brakes.
    (c) Safe vehicle control--(1) Control systems. The purpose and 
function of the controls and instruments commonly found on commercial 
motor vehicles.
    (2) Basic control. The proper procedures for performing various 
basic maneuvers, including:
    (i) Starting, warming up, and shutting down the engine;
    (ii) Putting the vehicle in motion and stopping;
    (iii) Backing in a straight line; and
    (iv) Turning the vehicle, e.g., basic rules, off-tracking, right/
left turns and right curves.
    (3) Shifting. The basic shifting rules and terms, as well as shift 
patterns and procedures for common transmissions, including:
    (i) Key elements of shifting, e.g., controls, when to shift and 
double clutching;
    (ii) Shift patterns and procedures; and
    (iii) Consequences of improper shifting.
    (4) Backing. The procedures and rules for various backing maneuvers, 
including:
    (i) Backing principles and rules; and
    (ii) Basic backing maneuvers, e.g., straight-line backing, and 
backing on a curved path.
    (5) Visual search. The importance of proper visual search, and 
proper visual search methods, including:
    (i) Seeing ahead and to the sides;
    (ii) Use of mirrors; and
    (iii) Seeing to the rear.
    (6) Communication. The principles and procedures for proper 
communications and the hazards of failure to signal properly, including:
    (i) Signaling intent, e.g., signaling when changing speed or 
direction in traffic;
    (ii) Communicating presence, e.g., using horn or lights to signal 
presence; and
    (iii) Misuse of communications.
    (7) Speed management. The importance of understanding the effects of 
speed, including:
    (i) Speed and stopping distance;
    (ii) Speed and surface conditions;
    (iii) Speed and the shape of the road;
    (iv) Speed and visibility; and
    (v) Speed and traffic flow.
    (8) Space management. The procedures and techniques for controlling 
the space around the vehicle, including:
    (i) The importance of space management;
    (ii) Space cushions, e.g., controlling space ahead/to the rear;
    (iii) Space to the sides; and

[[Page 940]]

    (iv) Space for traffic gaps.
    (9) Night operation. Preparations and procedures for night driving, 
including:
    (i) Night driving factors, e.g., driver factors, (vision, glare, 
fatigue, inexperience), roadway factors, (low illumination, variation in 
illumination, familiarity with roads, other road users, especially 
drivers exhibiting erratic or improper driving), vehicle factors 
(headlights, auxiliary lights, turn signals, windshields and mirrors); 
and
    (ii) Night driving procedures, e.g., preparing to drive at night and 
driving at night.
    (10) Extreme driving conditions. The basic information on operating 
in extreme driving conditions and the hazards that are encountered in 
extreme conditions, including:
    (i) Adverse weather;
    (ii) Hot weather; and
    (iii) Mountain driving.
    (11) Hazard perceptions. The basic information on hazard perception 
and clues for recognition of hazards, including:
    (i) Importance of hazards recognition;
    (ii) Road characteristics; and
    (iii) Road user activities.
    (12) Emergency maneuvers. The basic information concerning when and 
how to make emergency maneuvers, including:
    (i) Evasive steering;
    (ii) Emergency stop;
    (iii) Off-road recovery;
    (iv) Brake failure; and
    (v) Blowouts.
    (13) Skid control and recovery. The information on the causes and 
major types of skids, as well as the procedures for recovering from 
skids.
    (d) Relationship of cargo to vehicle control. The principles and 
procedures for the proper handling of cargo, including:
    (1) The importance of proper cargo handling, e.g., consequences of 
improperly secured cargo, drivers' responsibilities, Federal/State and 
local regulations.
    (2) Principles of weight distribution.
    (3) Principles and methods of cargo securement.
    (e) Vehicle inspections: The objectives and proper procedures for 
performing vehicle safety inspections, as follows:
    (1) The importance of periodic inspection and repair to vehicle 
safety and to prevention of enroute breakdowns.
    (2) The effect of undiscovered malfunctions upon safety.
    (3) What safety-related parts to look for when inspecting vehicles, 
e.g., fluid leaks, interference with visibility, bad tires, wheel and 
rim defects, braking system defects, steering system defects, suspension 
system defects, exhaust system defects, coupling system defects, and 
cargo problems.
    (4) Pre-trip/enroute/post-trip inspection procedures.
    (5) Reporting findings.
    (f) Hazardous materials knowledge, as follows:
    (1) What constitutes hazardous material requiring an endorsement to 
transport; and
    (2) Classes of hazardous materials, labeling/placarding 
requirements, and the need for specialized training as a prerequisite to 
receiving the endorsement and transporting hazardous cargoes.
    (g) Air brake knowledge as follows:
    (1) General air brake system nomenclature;
    (2) The dangers of contaminated air (dirt, moisture and oil) supply;
    (3) Implications of severed or disconnected air lines between the 
power unit and the trailer(s);
    (4) Implications of low air pressure readings;
    (5) Procedures to conduct safe and accurate pre-trip inspections, 
including knowledge about:
    (i) Automatic fail-safe devices;
    (ii) System monitoring devices; and
    (iii) Low pressure warning alarms.
    (6) Procedures for conducting enroute and post-trip inspections of 
air actuated brake systems, including ability to detect defects which 
may cause the system to fail, including:
    (i) Tests which indicate the amount of air loss from the braking 
system within a specified period, with and without the engine running; 
and
    (ii) Tests which indicate the pressure levels at which the low air 
pressure warning devices and the tractor protection valve should 
activate.
    (h) Operators for the combination vehicle group shall also have 
knowledge of:
    (1) Coupling and uncoupling. The procedures for proper coupling and 
uncoupling a tractor to semi-trailer.
    (2) Vehicle inspection--The objectives and proper procedures that 
are unique for performing vehicle safety inspections on combination 
vehicles.

                  Examples of Specific Skills Elements

    These examples relate to paragraphs (a) and (b) of Sec. 383.113 
only.
    (a) Basic vehicle control skills. All applicants for a CDL must 
possess and demonstrate the following basic motor vehicle control skills 
for each vehicle group which the driver operates or expects to operate. 
These skills shall include:
    (1) Ability to start, warm-up, and shut down the engine;
    (2) Ability to put the motor vehicle in motion and accelerate 
smoothly, forward and backward;
    (3) Ability to bring the motor vehicle to a smooth stop;
    (4) Ability to back the motor vehicle in a straight line, and check 
path and clearance while backing;

[[Page 941]]

    (5) Ability to position the motor vehicle to negotiate and then make 
left and right turns;
    (6) Ability to shift as required and select appropriate gear for 
speed and highway conditions;
    (7) Ability to back along a curved path; and
    (8) Ability to observe the road and the behavior of other motor 
vehicles, particularly before changing speed and direction.
    (b) Safe driving skills. All applicants for a CDL must possess and 
demonstrate the following safe driving skills for any vehicle group. 
These skills shall include:
    (1) Ability to use proper visual search methods.
    (2) Ability to signal appropriately when changing speed or direction 
in traffic.
    (3) Ability to adjust speed to the configuration and condition of 
the roadway, weather and visibility conditions, traffic conditions, and 
motor vehicle, cargo and driver conditions;
    (4) Ability to choose a safe gap for changing lanes, passing other 
vehicles, as well as for crossing or entering traffic;
    (5) Ability to position the motor vehicle correctly before and 
during a turn to prevent other vehicles from passing on the wrong side 
as well as to prevent problems caused by off-tracking;
    (6) Ability to maintain a safe following distance depending on the 
condition of the road, on visibility, and on vehicle weight; and
    (7) Ability to adjust operation of the motor vehicle to prevailing 
weather conditions including speed selection, braking, direction changes 
and following distance to maintain control.



                            Subpart H--Tests

    Source: 53 FR 27657, July 21, 1988, unless otherwise noted.



Sec. 383.131  Test procedures.

    (a) Driver information manuals. Information on how to obtain a CDL 
and endorsements shall be included in manuals and made available by 
States to CDL applicants. All information provided to the applicant 
shall include the following:
    (1) Information on the requirements described in Sec. 383.71, the 
implied consent to alcohol testing described in Sec. 383.72, the 
procedures and penalties, contained in Sec. 383.51(b) to which a CDL 
holder is exposed for refusal to comply with such alcohol testing, State 
procedures described in Sec. 383.73, and other appropriate driver 
information contained in subpart E of this part;
    (2) Information on vehicle groups and endorsements as specified in 
subpart F of this part;
    (3) The substance of the knowledge and skills which drivers shall 
have as outlined in subpart G of this part for the different vehicle 
groups and endorsements;
    (4) Details of testing procedures, including the purpose of the 
tests, how to respond, any time limits for taking the test, and any 
other special procedures determined by the State of issuance; and
    (5) Directions for taking the tests.
    (b) Examiner procedures. A State shall provide to test examiners 
details on testing and any other State-imposed requirements in the 
examiner's manual, and shall ensure that examiners are qualified to 
administer tests on the basis of training and/or other experience. 
States shall provide standardized scoring sheets for the skills tests, 
as well as standardized driving instructions for the applicants. Such 
examiners' manuals shall contain the following:
    (1) Information on driver application procedures contained in 
Sec. 383.71, State procedures described in Sec. 383.73, and other 
appropriate driver information contained in subpart E of this part;
    (2) Details on information which must be given to the applicant;
    (3) Details on how to conduct the tests;
    (4) Scoring procedures and minimum passing scores;
    (5) Information for selecting driving test routes;
    (6) List of the skills to be tested;
    (7) Instructions on where and how the skills will be tested;
    (8) How performance of the skills will be scored; and
    (9) Causes for automatic failure of skills tests.

[53 FR 27657, July 21, 1988, as amended at 53 FR 39051, Oct. 4, 1988]



Sec. 383.133  Testing methods.

    (a) All tests shall be constructed in such a way as to determine if 
the applicant possesses the required knowledge and skills contained in 
subpart G of this part for the type of motor vehicle

[[Page 942]]

or endorsement the applicant wishes to obtain.
    (b) States shall develop their own specifications for the tests for 
each vehicle group and endorsement which must be at least as stringent 
as the Federal standards.
    (c) States shall determine specific methods for scoring the 
knowledge and skills tests.
    (d) Passing scores must meet those standards contained in 
Sec. 383.135.
    (e) Knowledge and skills tests shall be based solely on the 
information contained in the driver manuals referred to in 
Sec. 383.131(a).
    (f) Each knowledge test shall be valid and reliable so as to assure 
that driver applicants possess the knowledge required under 
Sec. 383.111.
    (g) Each basic knowledge test, i.e., the test covering the areas 
referred to in Sec. 383.111 for the applicable vehicle group, shall 
contain at least 30 items, exclusive of the number of items testing air 
brake knowledge. Each endorsement knowledge test, and the air brake 
component of the basic knowledge test as described in Sec. 383.111(g), 
shall contain a number of questions that is sufficient to test the 
driver applicant's knowledge of the required subject matter with 
validity and reliability.
    (h) The skills tests shall have administrative procedures, designed 
to achieve interexaminer reliability, that are sufficient to ensure 
fairness of pass/fail rates.



Sec. 383.135  Minimum passing scores.

    (a) The driver applicant must correctly answer at least 80 percent 
of the questions on each knowledge test in order to achieve a passing 
score on such knowledge test.
    (b) To achieve a passing score on the skills test, the driver 
applicant must demonstrate that he/she can successfully perform all of 
the skills listed in Sec. 383.113.
    (c) If the driver applicant does not obey traffic laws, or causes an 
accident during the test, he/she shall automatically fail the test.
    (d) The scoring of the basic knowledge and skills tests shall be 
adjusted as follows to allow for the air brake restriction 
(Sec. 383.95):
    (1) If the applicant scores less than 80 percent on the air brake 
component of the basic knowledge test as described in Sec. 383.111(g), 
the driver will have failed the air brake component and, if the driver 
is issued a CDL, an air brake restriction shall be indicated on the 
license; and
    (2) If the applicant performs the skills test in a vehicle not 
equipped with air brakes, the driver will have omitted the air brake 
component as described in Sec. 383.113(c) and, if the driver is issued a 
CDL, the air brake restriction shall be indicated on the license.



   Subpart I--Requirement for Transportation Security Administration 
          approval of hazardous materials endorsement issuances



Sec. 383.141  General.

    (a) Applicability date. Beginning on November 3, 2003, this section 
applies to State agencies responsible for issuing hazardous materials 
endorsements for a CDL, and applicants for such endorsements.
    (b) Prohibition. A State may not issue, renew, upgrade, or transfer 
a hazardous materials endorsement for a CDL to any individual 
authorizing that individual to operate a commercial motor vehicle 
transporting a hazardous material in commerce unless the Transportation 
Security Administration has determined that the individual does not pose 
a security risk warranting denial of the endorsement.
    (c) Individual notification. At least 180 days prior to the 
expiration date of the CDL or hazardous materials endorsement, a State 
must notify the holder of a hazardous materials endorsement that the 
individual must pass a Transportation Security Administration security 
screening process as part of any application for renewal of the 
hazardous materials endorsement. Before November 3, 2003, a State must 
give the holder of a hazardous materials endorsement as much advance 
notice as practicable. The notice must advise a driver that, in order to 
expedite the security screening process, he or she should file a renewal 
application as soon as possible, but not later than 90

[[Page 943]]

days before the date of expiration of the endorsement. An individual who 
does not successfully complete the Transportation Security 
Administration security screening process referenced in paragraph (b) of 
this section may not be issued a hazardous materials endorsement.
    (d) Hazardous materials endorsement renewal cycle. Each State must 
require that hazardous materials endorsements be renewed every 5 years 
or less so that individuals are subject to a Transportation Security 
Administration security screening requirement referenced in paragraph 
(b) of this section at least every 5 years.

[68 FR 24850, May 5, 2003]



             Subpart J--Commercial Driver's License Document

    Source: 53 FR 27657, July 21, 1988, unless otherwise noted.



Sec. 383.151  General.

    The CDL shall be a document that is easy to recognize as a CDL. At a 
minimum, the document shall contain information specified in 
Sec. 383.153.



Sec. 383.153  Information on the document and application.

    (a) All CDLs shall contain the following information:
    (1) The prominent statement that the license is a ``Commercial 
Driver's License'' or ``CDL,'' except as specified in Sec. 383.153(b).
    (2) The full name, signature, and mailing address of the person to 
whom such license is issued;
    (3) Physical and other information to identify and describe such 
person including date of birth (month, day, and year), sex, and height;
    (4) Color photograph of the driver;
    (5) The driver's State license number;
    (6) The name of the State which issued the license;
    (7) The date of issuance and the date of expiration of the license;
    (8) The group or groups of commercial motor vehicle(s) that the 
driver is authorized to operate, indicated as follows:
    (i) A for Combination Vehicle;
    (ii) B for Heavy Straight Vehicle; and
    (iii) C for Small Vehicle.
    (9) The endorsement(s) for which the driver has qualified, if any, 
indicated as follows:
    (i) T for double/triple trailers;
    (ii) P for passenger;
    (iii) N for tank vehicle;
    (iv) H for hazardous materials;
    (v) X for a combination of tank vehicle and hazardous materials 
endorsements;
    (vi) S for school bus; and
    (vii) At the discretion of the State, additional codes for 
additional groupings of endorsements, as long as each such discretionary 
code is fully explained on the front or back of the CDL document.
    (b) If the CDL is a Nonresident CDL, it shall contain the prominent 
statement that the license is a ``Nonresident Commercial Driver's 
License'' or ``Nonresident CDL.'' The word ``Nonresident'' must be 
conspicuously and unmistakably displayed, but may be noncontiguous with 
the words ``Commercial Driver's License'' or ``CDL.''
    (c) If the State has issued the applicant an air brake restriction 
as specified in Sec. 383.95, that restriction must be indicated on the 
license.
    (d) Except in the case of a Nonresident CDL:
    (1) A driver applicant must provide his/her Social Security Number 
on the application of a CDL; and
    (2) The State must provide the Social Security Number to the CDLIS.

[53 FR 27657, July 21, 1988, as amended at 67 FR 49760, July 31, 2002]



Sec. 383.155  Tamperproofing requirements.

    States shall make the CDL tamperproof to the maximum extent 
practicable. At a minimum, a State shall use the same tamperproof method 
used for noncommercial drivers' licenses.



PART 384--STATE COMPLIANCE WITH COMMERCIAL DRIVER'S LICENSE PROGRAM--Table of Contents




                           Subpart A--General

Sec.
384.101 Purpose and scope.
384.103 Applicability.

[[Page 944]]

384.105 Definitions.
384.107 Matter incorporated by reference.

    Subpart B--Minimum Standards for Substantial Compliance by States

384.201 Testing program.
384.202 Test standards.
384.203 Driving while under the influence.
384.204 CDL issuance and information.
384.205 CDLIS information.
384.206 State record checks.
384.207 Notification of licensing.
384.208 Notification of disqualification.
384.209 Notification of traffic violations.
384.210 Limitation on licensing.
384.211 Return of old licenses.
384.212 Domicile requirement.
384.213 Penalties for driving without a proper CDL.
384.214 Reciprocity.
384.215 First offenses.
384.216 Second offenses.
384.217 Drug offenses.
384.218 Second serious traffic violation.
384.219 Third serious traffic violation.
384.220 National Driver Register information.
384.221 Out-of-service regulations (intoxicating beverage).
384.222 Violation of out-of-service orders.
384.223 Railroad-highway grade crossing violation.
384.224 Noncommercial motor vehicle violations.
384.225 Record of violations.
384.226 Prohibition on masking convictions.
384.227-384.230 [Reserved]
384.231 Satisfaction of State disqualification requirement.
384.232 Required timing of record checks.
384.233 Background records checks.

         Subpart C--Procedures for Determining State Compliance

384.301 Substantial compliance--general requirement.
384.303 [Reserved]
384.305 State certifications for Federal fiscal years after FY 1994.
384.307 FMCSA program reviews of State compliance.
384.309 Results of compliance determination.

             Subpart D--Consequences of State Noncompliance

384.401 Withholding of funds based on noncompliance.
384.403 Period of availability; effect of compliance and noncompliance.
384.405 Decertification of State CDL program.
384.407 Emergency CDL grants.

    Authority: 49 U.S.C. 31136, 31301 et seq., 31502; Sec. 103 of Pub. 
L. 106-159, 113 Stat. 1753; and 49 CFR 1.73.

    Source: 59 FR 26039, May 18, 1994, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 384 appear at 66 FR 
49872, Oct. 1, 2001.



                           Subpart A--General



Sec. 384.101  Purpose and scope.

    (a) Purpose. The purpose of this part is to ensure that the States 
comply with the provisions of section 12009(a) of the Commercial Motor 
Vehicle Safety Act of 1986 (49 U.S.C. 31311(a)).
    (b) Scope. This part:
    (1) Includes the minimum standards for the actions States must take 
to be in substantial compliance with each of the 22 requirements of 49 
U.S.C. 31311(a);
    (2) Establishes procedures for determinations to be made of such 
compliance by States; and
    (3) Specifies the consequences of State noncompliance.

[62 FR 37152, July 11, 1997]



Sec. 384.103  Applicability.

    The rules in this part apply to all States.



Sec. 384.105  Definitions.

    (a) The definitions in part 383 of this title apply to this part, 
except where otherwise specifically noted.
    (b) As used in this part:
    Issue and issuance mean initial licensure, license transfers, 
license renewals, license upgrades, and nonresident commercial driver's 
licenses (CDLs), as described in Sec. 383.73 of this title.
    Licensing entity means the agency of State government that is 
authorized to issue drivers' licenses.
    Year of noncompliance means any Federal fiscal year during which--
    (1) A State fails to submit timely certification as prescribed in 
subpart C of this part; or
    (2) The State does not meet one or more of the standards of subpart 
B of this part, based on a final determination by the FMCSA under 
Sec. 384.307(c) of this part.

[[Page 945]]



Sec. 384.107  Matter incorporated by reference.

    (a) Incorporation by reference. This part includes references to 
certain matter or materials. The text of the materials is not included 
in the regulations contained in this part. The materials are hereby made 
a part of the regulations in this part. The Director of the Office of 
the Federal Register has approved the materials incorporated by 
reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. For 
materials subject to change, only the specific version approved by the 
Director of the Office of the Federal Register and specified in the 
regulation are incorporated. Material is incorporated as it exists on 
the date of the approval and a notice of any change in these materials 
will be published in the Federal Register.
    (b) Materials incorporated. The AAMVAnet, Inc.'s ``Commercial Driver 
License Information System (CDLIS) State Procedures,'' Version 2.0, 
October 1998, IBR approved for Sec. 384.231(d).
    (c) Addresses. (1) All of the materials incorporated by reference 
are available for inspection at:
    (i) The Department of Transportation Library, 400 Seventh Street, 
SW, Washington, DC 20590 in Room 2200. These documents are also 
available for inspection and copying as provided in 49 CFR part 7.
    (ii) The Office of the Federal Register, 800 North Capitol Street, 
NW, Suite 700, Washington, DC.
    (2) Information and copies of all of the materials incorporated by 
reference may be obtained by writing to: American Association of Motor 
Vehicle Administrators, Inc., 4301 Wilson Blvd, Suite 400, Arlington, VA 
22203.

[67 FR 49761, July 31, 2002]



    Subpart B--Minimum Standards for Substantial Compliance by States



Sec. 384.201  Testing program.

    The State shall adopt and administer a program for testing and 
ensuring the fitness of persons to operate commercial motor vehicles 
(CMVs) in accordance with the minimum Federal standards contained in 
part 383 of this title.



Sec. 384.202  Test standards.

    No State shall authorize a person to operate a CMV unless such 
person passes a knowledge and driving skills test for the operation of a 
CMV in accordance with part 383 of this title.



Sec. 384.203  Driving while under the influence.

    (a) The State must have in effect and enforce through licensing 
sanctions the disqualifications prescribed in Sec. 383.51(b) of this 
subchapter for driving a CMV with a 0.04 alcohol concentration.
    (b) Nothing in this section shall be construed to require a State to 
apply its criminal or other sanctions for driving under the influence to 
a person found to have operated a CMV with an alcohol concentration of 
0.04, except licensing sanctions including suspension, revocation, or 
cancellation.
    (c) A State that enacts and enforces through licensing sanctions the 
disqualifications prescribed in Sec. 383.51(b) of this subchapter for 
driving a CMV with a 0.04 alcohol concentration and gives full faith and 
credit to the disqualification of CMV drivers by other States shall be 
deemed in substantial compliance with section 12009(a)(3) of the 
Commercial Motor Vehicle Safety Act of 1986 (49 U.S.C. 31311(a)(3)).

[67 FR 49761, July 31, 2002]



Sec. 384.204  CDL issuance and information.

    (a) General rule. The State shall authorize a person to operate a 
CMV only by issuance of a CDL, unless a waiver under the provisions of 
Sec. 383.7 applies, which contains, at a minimum, the information 
specified in part 383, subpart J, of this title.
    (b) Exceptions--(1) Training. The State may authorize a person, who 
does not hold a CDL valid in the type of vehicle in which training 
occurs, to undergo behind-the-wheel training in a CMV only by means of a 
learner's permit issued and used in accordance with Sec. 383.23(c) of 
this title.
    (2) Confiscation of CDL pending enforcement. A State may allow a CDL 
holder whose CDL is held in trust by that State or any other State in 
the

[[Page 946]]

course of enforcement of the motor vehicle traffic code, but who has not 
been convicted of a disqualifying offense under Sec. 383.51 based on 
such enforcement, to drive a CMV while holding a dated receipt for such 
CDL.



Sec. 384.205  CDLIS information.

    Before issuing a CDL to any person, the State shall, within the 
period of time specified in Sec. 384.232, perform the check of the 
Commercial Driver's License Information System (CDLIS) in accordance 
with Sec. 383.73(a)(3)(ii) of this title, and, based on that 
information, shall issue the license, or, in the case of adverse 
information, promptly implement the disqualifications, licensing 
limitations, denials, and/or penalties that are called for in any 
applicable section(s) of this subpart.



Sec. 384.206  State record checks.

    (a) Required checks--(1) Issuing State's records. Before issuing a 
CDL to any person, the State shall, within the period of time specified 
in Sec. 384.232, check its own driving record for such person in 
accordance with Sec. 383.73(a)(3) of this title.
    (2) Other States' records. Before the initial or transfer issuance 
of a CDL to a person, and before renewing a CDL held by any person, the 
issuing State must:
    (i) Require the applicant to provide the names of all States where 
the applicant has previously been licensed to operate any type of motor 
vehicle.
    (ii) Within the time period specified in Sec. 384.232, request the 
complete driving record from all States where the applicant was licensed 
within the previous 10 years to operate any type of motor vehicle.
    (iii) States receiving a request for the driving record of a person 
currently or previously licensed by the State must provide the 
information within 30 days.
    (b) Required action. Based on the findings of the State record 
checks prescribed in this section, the State shall issue the license, 
or, in the case of adverse information, promptly implement the 
disqualifications, licensing limitations, denials, and/or penalties that 
are called for in any applicable section(s) of this subpart.

[59 FR 26039, May 18, 1994, as amended at 67 FR 49761, July 31, 2002]



Sec. 384.207  Notification of licensing.

    Within the period defined in Sec. 383.73(f) of this title, the State 
shall:
    (a) Notify the operator of the CDLIS of each CDL issuance;
    (b) Notify the operator of the CDLIS of any changes in driver 
identification information; and
    (c) In the case of transfer issuances, implement the Change State of 
Record transaction, as specified by the operator of the CDLIS, in 
conjunction with the previous State of record and the operator of the 
CDLIS.



Sec. 384.208  Notification of disqualification.

    (a) No later than 10 days after disqualifying a CDL holder licensed 
by another State, or revoking, suspending, or canceling an out-of-State 
CDL holder's privilege to operate a commercial motor vehicle for at 
least 60 days, the State must notify the State that issued the license 
of the disqualification, revocation, suspension, or cancellation.
    (b) The notification must include both the disqualification and the 
violation that resulted in the disqualification, revocation, suspension, 
or cancellation. The notification and the information it provides must 
be recorded on the driver's record.

[67 FR 49761, July 31, 2002]



Sec. 384.209  Notification of traffic violations.

    (a) Required notification with respect to CDL holders. Whenever a 
person who holds a CDL from another State is convicted of a violation of 
any State or local law relating to motor vehicle traffic control (other 
than a parking violation), in any type of vehicle, the licensing entity 
of the State in which the conviction occurs must notify the licensing 
entity in the State where the driver is licensed of this conviction 
within the time period established in paragraph (c) of this section.
    (b) Required notification with respect to non-CDL holders. Whenever 
a person

[[Page 947]]

who does not hold a CDL, but who is licensed to drive by another State, 
is convicted of a violation in a CMV of any State or local law relating 
to motor vehicle traffic control (other than a parking violation), the 
licensing entity of the State in which the conviction occurs must notify 
the licensing entity in the State where the driver is licensed of this 
conviction within the time period established in paragraph (c) of this 
section.
    (c) Time period for notification of traffic violations. (1) 
Beginning on September 30, 2005, the notification must be made within 30 
days of the conviction.
    (2) Beginning on September 30, 2008, the notification must be made 
within 10 days of the conviction.

[67 FR 49761, July 31, 2002]



Sec. 384.210  Limitation on licensing.

    A State must not knowingly issue a CDL or a commercial special 
license or permit (including a provisional or temporary license) 
permitting a person to drive a CMV during a period in which:
    (a) A person is disqualified from operating a CMV, as 
disqualification is defined by Sec. 383.5 of this subchapter, or under 
the provisions of Sec. 383.73(g) or Sec. 384.231(b)(2) of this 
subchapter;
    (b) The CDL holder's noncommercial driving privilege has been 
revoked, suspended, or canceled; or
    (c) Any type of driver's license held by such person is suspended, 
revoked, or canceled by the State where the driver is licensed for any 
State or local law related to motor vehicle traffic control (other than 
parking violations).

[67 FR 49761, July 31, 2002]



Sec. 384.211  Return of old licenses.

    The State shall not issue a CDL to a person who possesses a driver's 
license issued by another State or jurisdiction unless such person first 
surrenders the driver's license issued by such other State or 
jurisdiction in accordance with Secs. 383.71(a)(7) and (b)(4) of this 
title.



Sec. 384.212  Domicile requirement.

    (a) The State shall issue CDLs only to those persons for whom such 
State is the State of domicile as defined in Sec. 383.5 of this title; 
except that the State may issue a nonresident CDL under the conditions 
specified in Secs. 383.23(b), 383.71(e), and 383.73(e) of this title.
    (b) The State shall require any person holding a CDL issued by 
another State to apply for a transfer CDL from the State within 30 days 
after establishing domicile in the State, as specified in Sec. 383.71(b) 
of this title.



Sec. 384.213  State penalties for drivers of CMVs.

    The State must impose on drivers of CMVs appropriate civil and 
criminal penalties that are consistent with the penalties prescribed 
under part 383, subpart D, of this subchapter.

[67 FR 49761, July 31, 2002]



Sec. 384.214  Reciprocity.

    The State shall allow any person to operate a CMV in the State who 
is not disqualified from operating a CMV and who holds a CDL which is--
    (a) Issued to him or her by any other State or jurisdiction in 
accordance with part 383 of this title;
    (b) Not suspended, revoked, or canceled; and
    (c) Valid, under the terms of part 383, subpart F, of this title, 
for the type of vehicle being driven.



Sec. 384.215  First offenses.

    (a) General rule. The State must disqualify from operating a CMV 
each person who is convicted, as defined in Sec. 383.5 of this 
subchapter, in any State or jurisdiction, of a disqualifying offense 
specified in items (1) through (8) of Table 1 to Sec. 383.51 of this 
subchapter, for no less than one year.
    (b) Special rule for hazardous materials offenses. If the offense 
under paragraph (a) of this section occurred while the driver was 
operating a vehicle transporting hazardous materials required to be 
placarded under the Hazardous Materials Transportation Act (implementing 
regulations at 49 CFR 177.823), the State shall disqualify the person 
for no less than three years.

[59 FR 26039, May 18, 1994, as amended at 67 FR 49762, July 31, 2002]

[[Page 948]]



Sec. 384.216  Second offenses.

    (a) General rule. The State must disqualify for life from operating 
a CMV each person who is convicted, as defined in Sec. 383.5 of this 
subchapter, in any State or jurisdiction, of a subsequent offense as 
described in Table 1 to Sec. 383.51 of this subchapter.
    (b) Special rule for certain lifetime disqualifications. A driver 
disqualified for life under Table 1 to Sec. 383.51 may be reinstated 
after 10 years by the driver's State of residence if the requirements of 
Sec. 383.51(a)(5) have been met.

[67 FR 49762, July 31, 2002]



Sec. 384.217  Drug offenses.

    The State must disqualify from operating a CMV for life each person 
who is convicted, as defined in Sec. 383.5 of this subchapter, in any 
State or jurisdiction of a first offense, of using a CMV in the 
commission of a felony described in item (9) of Table 1 to Sec. 383.51 
of this subchapter. The State shall not apply the special rule in 
Sec. 384.216(b) to lifetime disqualifications imposed for controlled 
substance felonies as detailed in item (9) of Table 1 to Sec. 383.51 of 
this subchapter.

[67 FR 49762, July 31, 2002]



Sec. 384.218  Second serious traffic violation.

    The State must disqualify from operating a CMV for a period of not 
less than 60 days each person who, in a three-year period, is convicted, 
as defined in Sec. 383.5 of this subchapter, in any State(s) or 
jurisdiction(s), of two serious traffic violations as specified in Table 
2 to Sec. 383.51.

[67 FR 49762, July 31, 2002]



Sec. 384.219  Third serious traffic violation.

    The State must disqualify from operating a CMV for a period of not 
less than 120 days each person who, in a three-year period, is 
convicted, as defined in Sec. 383.5 of this subchapter, in any State(s) 
or jurisdiction(s), of three serious traffic violations as specified in 
Table 2 to Sec. 383.51. This disqualification period must be in addition 
to any other previous period of disqualification.

[67 FR 49762, July 31, 2002]



Sec. 384.220  National Driver Register information.

    Before issuing a CDL to any person, the State shall, within the 
period of time specified in Sec. 384.232, perform the check of the 
National Driver Register in accordance with Sec. 383.73(a)(3)(iii) of 
this title, and, based on that information, promptly implement the 
disqualifications, licensing limitations, and/or penalties that are 
called for in any applicable section(s) of this subpart.



Sec. 384.221  Out-of-service regulations (intoxicating beverage).

    The State shall adopt, and enforce on operators of CMVs as defined 
in Secs. 383.5 and 390.5 of this title, the provisions of Sec. 392.5 (a) 
and (c) of this title in accordance with the Motor Carrier Safety 
Assistance Program as contained in 49 CFR part 350 and applicable policy 
and guidelines.



Sec. 384.222  Violation of out-of-service orders.

    The State must have and enforce laws and/or regulations applicable 
to drivers of CMVs and their employers, as defined in Sec. 383.5 of this 
subchapter, which meet the minimum requirements of Secs. 383.37(c), 
Table 4 to 383.51, and 383.53(b) of this subchapter.

[67 FR 49762, July 31, 2002]



Sec. 384.223  Railroad-highway grade crossing violation.

    The State must have and enforce laws and/or regulations applicable 
to CMV drivers and their employers, as defined in Sec. 383.5 of this 
subchapter, which meet the minimum requirements of Secs. 383.37(d), 
Table 3 to 383.51, and 383.53(c) of this subchapter.

[67 FR 49762, July 31, 2002]



Sec. 384.224  Noncommercial motor vehicle violations.

    The State must have and enforce laws and/or regulations applicable 
to drivers of non-CMVs, as defined in Sec. 383.5 of this subchapter, 
which meet the minimum requirements of Tables 1 and 2 to Sec. 383.51 of 
this subchapter.

[67 FR 49762, July 31, 2002]

[[Page 949]]



Sec. 384.225  Record of violations.

    The State must:
    (a) CDL holders. Record and maintain as part of the driver history 
all convictions, disqualifications and other licensing actions for 
violations of any State or local law relating to motor vehicle traffic 
control (other than a parking violation) committed in any type of 
vehicle.
    (b) A person required to have a CDL. Record and maintain as part of 
the driver history all convictions, disqualifications and other 
licensing actions for violations of any State or local law relating to 
motor vehicle traffic control (other than a parking violation) committed 
while the driver was operating a CMV.
    (c) Make driver history information required by this section 
available to the users designated in paragraph (e) of this section, or 
to their authorized agent, within 10 days of:
    (1) Receiving the conviction or disqualification information from 
another State; or
    (2) The date of the conviction, if it occurred in the same State.
    (d) Retain on the driver history record all convictions, 
disqualifications and other licensing actions for violations for at 
least 3 years or longer as required under Sec. 384.231(d).
    (e) Only the following users or their authorized agents may receive 
the designated information:
    (1) States--All information on all driver records.
    (2) Secretary of Transportation--All information on all driver 
records.
    (3) Driver--Only information related to that driver's record.
    (4) Motor Carrier or Prospective Motor Carrier--After notification 
to a driver, all information related to that driver's, or prospective 
driver's, record.

[67 FR 49762, July 31, 2002]



Sec. 384.226  Prohibition on masking convictions.

    The State must not mask, defer imposition of judgment, or allow an 
individual to enter into a diversion program that would prevent a CDL 
driver's conviction for any violation, in any type of motor vehicle, of 
a State or local traffic control law (except a parking violation) from 
appearing on the driver's record, whether the driver was convicted for 
an offense committed in the State where the driver is licensed or 
another State.

[67 FR 49762, July 31, 2002]



Secs. 384.227-384.230  [Reserved]



Sec. 384.231  Satisfaction of State disqualification requirement.

    (a) Applicability. The provisions of Secs. 384.203, 384.206(b), 
384.210, 384.213, 384.215 through 384.219, 384.221 through 384.224, and 
384.231 of this part apply to the State of licensure of the person 
affected by the provision. The provisions of Sec. 384.210 of this part 
also apply to any State to which a person makes application for a 
transfer CDL.
    (b) Required action. (1) CDL holders. A State must satisfy the 
requirement of this part that the State disqualify a person who holds a 
CDL by, at a minimum, suspending, revoking, or canceling the person's 
CDL for the applicable period of disqualification.
    (2) A person required to have a CDL. A State must satisfy the 
requirement of this subpart that the State disqualify a person required 
to have a CDL who is convicted of an offense or offenses necessitating 
disqualification under Sec. 383.51 of this subchapter. At a minimum, the 
State must implement the limitation on licensing provisions of 
Sec. 384.210 and the timing and recordkeeping requirements of paragraphs 
(c) and (d) of this section so as to prevent such a person from legally 
obtaining a CDL from any State during the applicable disqualification 
period(s) specified in this subpart.
    (c) Required timing. The State must disqualify a driver as 
expeditiously as possible.
    (d) Recordkeeping requirements. The State must conform to the 
requirements of the October 1998 edition of the AAMVAnet, Inc.'s 
``Commercial Driver License Information System (CDLIS) State 
Procedures,'' Version 2.0. (Incorporated by reference, see 
Sec. 384.107.) These requirements include the maintenance of such driver 
records and driver identification data on the CDLIS as the FMCSA finds 
are necessary to the implementation and enforcement of the 
disqualifications called for in

[[Page 950]]

Sec. Sec. 384.215 through 384.219, and 384.221 through 384.224 of this 
part.

[67 FR 49762, July 31, 2002]



Sec. 384.232  Required timing of record checks.

    The State shall perform the record checks prescribed in 
Secs. 384.205, 384.206, and 384.220, no earlier than 10 days prior to 
issuance for licenses issued before October 1, 1995. For licenses issued 
after September 30, 1995, the State shall perform the record checks no 
earlier than 24 hours prior to issuance if the license is issued to a 
driver who does not currently possess a valid CDL from the same State 
and no earlier than 10 days prior to issuance for all other drivers.



Sec. 384.233  Background records checks.

    (a) The State shall comply with Transportation Security 
Administration requirements concerning background records checks for 
drivers seeking to obtain, renew, transfer or upgrade a hazardous 
materials endorsement in 49 CFR Part 1572, to the extent those 
provisions impose requirements on the State.
    (b) The State shall comply with each requirement of 49 CFR 383.141.

[68 FR 23850, May 5, 2003]



         Subpart C--Procedures for Determining State Compliance



Sec. 384.301  Substantial compliance-general requirements

    (a) To be in substantial compliance with 49 U.S.C. 31311(a), a State 
must meet each and every standard of subpart B of this part by means of 
the demonstrable combined effect of its statutes, regulations, 
administrative procedures and practices, organizational structures, 
internal control mechanisms, resource assignments (facilities, 
equipment, and personnel), and enforcement practices.
    (b) A State shall come into substantial compliance with the 
requirements of subpart B of this part in effect as of September 30, 
2002 as soon as practical, but, unless otherwise specifically provided 
in this part, not later than three years after September 30, 2002.

[67 FR 49763, July 31, 2002]



Sec. 384.303  [Reserved]



Sec. 384.305  State certifications for Federal fiscal years after FY 1994.

    (a) Certification requirement. Prior to January 1 of each Federal 
fiscal year after FY 1994, each State shall review its compliance with 
this part and certify to the Federal Motor Carrier Safety Administrator 
as prescribed in paragraph (b) of this section. The certification shall 
be submitted as a signed original and four copies to the State Director 
or Officer-in-Charge, Federal Motor Carrier Safety Administration, 
located in that State.
    (b) Certification content. The certification shall consist of a 
statement signed by the Governor of the State, or by an official 
designated by the Governor, and reading as follows: ``I (name of 
certifying official), (position title), of the State (Commonwealth) of 
------, do hereby certify that the State (Commonwealth) has continuously 
been in substantial compliance with all requirements of 49 U.S.C. 
31311(a), as defined in 49 CFR 384.301, since [the first day of the 
current Federal fiscal year], and contemplates no changes in statutes, 
regulations, or administrative procedures, or in the enforcement 
thereof, which would affect such substantial compliance through [the 
last date of the current Federal fiscal year].''

(Approved by the Office of Management and Budget under control number 
2125-0542)

[59 FR 26039, May 18, 1994, as amended at 62 FR 37152, July 11, 1997]



Sec. 384.307  FMCSA program reviews of State compliance.

    (a) FMCSA Program Reviews. Each State's CDL program will be subject 
to review to determine whether or not the State meets the general 
requirement for substantial compliance in Sec. 384.301. The State must 
cooperate with the review and provide any information requested by the 
FMCSA.
    (b) Preliminary FMCSA determination and State response. If, after 
review, a

[[Page 951]]

preliminary determination is made either that the State has not 
submitted the required annual self-certification or that the State does 
not meet one or more of the minimum standards for substantial compliance 
under subpart B of this part, the State will be informed accordingly.
    (c) Reply. The State will have up to 30 calendar days to respond to 
the preliminary determination. The State's reply must explain what 
corrective action it either has implemented or intends to implement to 
correct the deficiencies cited in the notice or, alternatively, why the 
FMCSA preliminary determination is incorrect. The State must provide 
documentation of corrective action as required by the agency. Corrective 
action must be adequate to correct the deficiencies noted in the program 
review and be implemented on a schedule mutually agreed upon by the 
agency and the State. Upon request by the State, an informal conference 
will be provided during this time.
    (d) Final FMCSA determination. If, after reviewing a timely response 
by the State to the preliminary determination, a final determination is 
made that the State is not in compliance with the affected standard, the 
State will be notified of the final determination. In making its final 
determination, the FMCSA will take into consideration the corrective 
action either implemented or planned to be implemented in accordance 
with the mutually agreed upon schedule.
    (e) State's right to judicial review. Any State aggrieved by an 
adverse decision under this section may seek judicial review under 5 
U.S.C. Chapter 7.

[67 FR 49763, July 31, 2002]



Sec. 384.309  Results of compliance determination.

    (a) A State shall be determined not substantially in compliance with 
49 U.S.C. 31311(a) for any fiscal year in which it:
    (1) Fails to submit the certification as prescribed in this subpart; 
or
    (2) Does not meet one or more of the standards of subpart B of this 
part, as established in a final determination by the FMCSA under 
Sec. 384.307(c).
    (b) A State shall be in substantial compliance with 49 U.S.C. 
31311(a) for any fiscal year in which neither of the eventualities in 
paragraph (a) of this section occurs.

[62 FR 37152, July 11, 1997]



             Subpart D--Consequences of State Noncompliance



Sec. 384.401  Withholding of funds based on noncompliance.

    (a) Following the first year of noncompliance. A State is subject to 
both of the following sanctions:
    (1) An amount equal to five percent of the Federal-aid highway funds 
required to be apportioned to any State under each of sections 
104(b)(1), (b)(3), and (b)(4) of title 23, U.S.C., shall be withheld on 
the first day of the fiscal year following such State's first year of 
noncompliance under this part.
    (2) The Motor Carrier Safety Assistance Program (MCSAP) grant funds 
authorized under section 103(b)(1) of the Motor Carrier Safety 
Improvement Act of 1999 (Public Law 106-159, 113 Stat. 1754) shall be 
withheld from a State on the first day of the fiscal year following the 
fiscal year in which the FMCSA determined that the State was not in 
substantial compliance with subpart B of this part.
    (b) Following second and subsequent year(s) of noncompliance. A 
State is subject to both of the following sanctions:
    (1) An amount equal to ten percent of the Federal-aid funds required 
to be apportioned to any State under each of sections 104(b)(1), (b)(3), 
and (b)(4) of title 23, U.S.C., shall be withheld on the first day of 
the fiscal year following such State's second or subsequent year of 
noncompliance under this part.
    (2) The Motor Carrier Safety Assistance Program (MCSAP) grant funds 
authorized under section 103(b)(1) of the Motor Carrier Safety 
Improvement Act of 1999 (Public Law 106-159, 113 Stat. 1753) shall be 
withheld from a State on the first day of the fiscal year following the 
fiscal year in which the FMCSA determined that the State had not 
returned to substantial compliance with subpart B of this part.

[67 FR 49763, July 31, 2002]

[[Page 952]]



Sec. 384.403  Availability of funds withheld for noncompliance.

    (a) Federal-aid highway funds withheld from a State under 
Sec. 384.401(a)(1) or (b)(1) shall not thereafter be available for 
apportionment to the State.
    (b) MCSAP funds withheld from a State under Sec. 384.401(a)(2) or 
(b)(2) remain available until June 30 of the fiscal year in which they 
were withheld. If before June 30 the State submits a document signed by 
the Governor or his or her delegate certifying, and the FMCSA 
determines, that the State is now in substantial compliance with the 
standards of subpart B of this part, the withheld funds shall be 
restored to the State. After June 30, unrestored funds shall lapse and 
be allocated in accordance with Sec. 350.313 of this subchapter to all 
States currently in substantial compliance with subpart B of this part.

[67 FR 49763, July 31, 2002]



Sec. 384.405  Decertification of State CDL program.

    (a) Prohibition on CDL licensing activities. The Administrator may 
prohibit a State found to be in substantial noncompliance from 
performing any of the following four licensing transactions:
    (1) Issuance of initial CDLs.
    (2) Renewal of CDLs.
    (3) Transfer of out-of-State CDLs to the State.
    (4) Upgrade of CDLs.
    (b) Conditions considered in making decertification determination. 
The Administrator will consider, but is not limited to, the following 
five conditions in determining whether the CDL program of a State in 
substantial noncompliance should be decertified:
    (1) The State computer system does not check the Commercial Driver's 
License Information System (CDLIS) and/or National Driver Register (NDR) 
as required by Sec. 383.73 of this subchapter when processing CDL 
applicants, drivers transferring a CDL issued by another State, CDL 
renewals and/or upgrades.
    (2) The State does not disqualify drivers convicted of disqualifying 
offenses in commercial motor vehicles.
    (3) The State does not transmit convictions for out of State drivers 
to the State where the driver is licensed.
    (4) The State does not properly administer knowledge and/or skills 
tests to CDL applicants or drivers.
    (5) The State fails to submit a corrective action plan for a 
substantial compliance deficiency or fails to implement a corrective 
action plan within the agreed upon time frame.
    (c) Standard for considering deficiencies. The deficiencies 
described in paragraph (b) of this section must affect a substantial 
number of either CDL applicants or drivers.
    (d) Decertification: preliminary determination. If the Administrator 
finds that a State is in substantial noncompliance with subpart B of 
this part, as indicated by the factors specified in Sec. 384.405(b), 
among other things, the FMCSA will inform the State that it has made a 
preliminary determination of noncompliance and that the State's CDL 
program may therefore be decertified. Any response from the State, 
including factual or legal arguments or a plan to correct the 
noncompliance, must be submitted within 30 calendar days after receipt 
of the preliminary determination.
    (e) Decertification: final determination. If, after considering all 
material submitted by the State in response to the FMCSA preliminary 
determination, the Administrator decides that substantial noncompliance 
exists which warrants decertification of the CDL program, he or she will 
issue a decertification order prohibiting the State from issuing CDLs 
until such time as the Administrator determines that the condition(s) 
causing the decertification has (have) been corrected.
    (f) Recertification of a State. The Governor of the decertified 
State or his or her designated representative must submit a 
certification and documentation that the condition causing the 
decertification has been corrected. If the FMCSA determines that the 
condition causing the decertification has been satisfactorily corrected, 
the Administrator will issue a recertification order, including any 
conditions that must be met in order to begin issuing CDLs in the State.
    (g) State's right to judicial review. Any State aggrieved by an 
adverse decision under this section may seek judicial review under 5 
U.S.C. Chapter 7.

[[Page 953]]

    (h) Validity of previously issued CDLs. A CDL issued by a State 
prior to the date the State is prohibited from issuing CDLs in 
accordance with provisions of paragraph (a) of this section, will remain 
valid until its stated expiration date.

[67 FR 49763, July 31, 2002]



Sec. 384.407  Emergency CDL grants.

    The FMCSA may provide grants of up to $1,000,000 per State from 
funds made available under 49 U.S.C. 31107(a), to assist States whose 
CDL programs may fail to meet the compliance requirements of subpart B 
of this part, but which are determined by the FMCSA to be making a good 
faith effort to comply with these requirements.

[67 FR 49764, July 31, 2002]



PART 385--SAFETY FITNESS PROCEDURES--Table of Contents




Sec.

                           Subpart A--General

385.1 Purpose and scope.
385.3 Definitions and acronyms.
385.5 Safety fitness standard.
385.7 Factors to be considered in determining a safety rating.
385.9 Determination of a safety rating.
385.11 Notification of safety fitness determination.
385.13 Unsatisfactory rated motor carriers; prohibition on 
          transportation; ineligibility for Federal contracts.
385.14 Motor carriers, brokers, and freight forwarders delinquent in 
          paying civil penalties: prohibition on transportation.
385.15 Administrative review.
385.17 Change to safety rating based upon corrective actions.
385.19 Safety fitness information.

    Subpart B--Safety Monitoring System for Mexico-Domiciled Carriers

385.101 Definitons.
385.103 Safety monitoring system.
385.105 Expedited action.
385.107 The safety audit.
385.109 The compliance review.
385.111 Suspension and revocation of Mexico-domiciled carrier 
          registration.
385.113 Administrative review.
385.115 Reapplying for provisional registration.
385.117 Duration of safety monitoring system.
385.119 Applicability of safety fitness and enforcement procedures.

 Subpart C--Certification of Safety Auditors, Safety Investigators, and 
                            Safety Inspectors

Sec.
385.201 Who is qualified to perform a review of a motor carrier?
385.203 What are the requirements to obtain and maintain certification?
385.205 How can a person who has lost his or her certification be re-
          certified?

             Subpart D--New Entrant Safety Assurance Program

Sec.
385.301 What is a motor carrier required to do before beginning 
          interstate operations?
385.303 How does a motor carrier register with the FMCSA?
385.305 What happens after the FMCSA receives a request for new entrant 
          registration?
385.307 What happens after a motor carrier begins operations as a new 
          entrant?
385.309 What is the purpose of the safety audit?
385.311 What will the safety audit consist of?
385.313 Who will conduct the safety audit?
385.315 Where will the safety audit be conducted?
385.317 Will a safety audit result in a safety fitness determination by 
          the FMCSA?
385.319 What happens after the completion of the safety audit?
385.321 What failures of safety management practices disclosed by the 
          safety audit will result in a notice to a new entrant that its 
          DOT new entrant registration will be revoked?
385.323 May the FMCSA extend the period under Sec. 385.319(c) for a new 
          entrant to take corrective action to remedy its safety 
          management practices?
385.325 What happens after a new entrant has been notified under 
          385.319(c) to take corrective action to remedy its safety 
          management practices?
385.327 What happens when a new entrant receives a notice under 
          Sec. 385.319(c) that its new entrant registration will be 
          revoked and it believes the FMCSA made an error in its 
          determination?
385.329 May a new entrant that has had its U.S. DOT registration revoked 
          and its operations placed out of service (OOS) reapply?
385.331 What happens if a new entrant operates a CMV after having been 
          issued an order placing its interstate operations out of 
          service (OOS)?
385.333 What happens at the end of the 18-month safety monitoring 
          period?

[[Page 954]]

385.335 If the FMCSA conducts a compliance review on a new entrant, will 
          the new entrant also be subject to a safety audit?
385.337 What happens if a new entrant refuses to permit a safety audit 
          to be performed on its operations?

Appendix A to Part 385
Appendix B to Part 385--Explanation of Safety Rating Process

    Authority: 49 U.S.C. 113, 504, 521(b), 5113, 31136, 31144, 31148, 
and 31502; and 49 CFR 1.73.

    Source: 53 FR 50968, Dec. 19, 1988, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 385 appear at 66 FR 
49872, Oct. 1, 2001.



                           Subpart A--General



Sec. 385.1  Purpose and scope.

    (a) This part establishes the FMCSA's procedures to determine the 
safety fitness of motor carriers, to assign safety ratings, to direct 
motor carriers to take remedial action when required, and to prohibit 
motor carriers receiving a safety rating of ``unsatisfactory'' from 
operating a CMV.
    (b) This part establishes the safety assurance program for a new 
entrant motor carrier initially seeking to register with FMCSA to 
conduct interstate operations. It also describes the consequences that 
will occur if the new entrant fails to maintain adequate basic safety 
management controls.
    (c) The provisions of this part apply to all motor carriers subject 
to the requirements of this subchapter, except non-business private 
motor carriers of passengers.

[65 FR 50934, Aug. 22, 2000, as amended at 67 FR 31982, May 13, 2002]



Sec. 385.3  Definitions and acronyms.

    Applicable safety regulations or requirements means 49 CFR subtitle 
B, chapter III, Subchapter B--Federal Motor Carrier Safety Regulations; 
and 49 CFR subtitle B, chapter I, Subchapter C--Hazardous Materials 
Regulations.
    CMV means a commercial motor vehicle as defined in Sec. 390.5 of 
this subchapter.
    Commercial motor vehicle shall have the same meaning as described in 
Sec. 390.5 of this subchapter.
    FMCSA means the Federal Motor Carrier Safety Administration.
    FMCSRs mean Federal Motor Carrier Safety Regulations (49 CFR parts 
350-399).
    HMRs means the Hazardous Materials Regulations (49 CFR parts 100-
178).
    New entrant is a motor carrier not domiciled in Mexico that applies 
for a United States Department of Transportation (DOT) identification 
number in order to initiate operations in interstate commerce.
    New entrant registration is the registration (US DOT number) granted 
a new entrant before it can begin interstate operations in an 18-month 
monitoring period. A safety audit must be performed on a new entrant's 
operations within 18 months after receipt of its US DOT number and it 
must be found to have adequate basic safety management controls to 
continue operating in interstate commerce at the end of the 18-month 
period.
    Preventable accident on the part of a motor carrier means an 
accident (1) that involved a commercial motor vehicle, and (2) that 
could have been averted but for an act, or failure to act, by the motor 
carrier or the driver.
    Reviews. For the purposes of this part:
    (1) Compliance review means an on-site examination of motor carrier 
operations, such as drivers' hours of service, maintenance and 
inspection, driver qualification, commercial drivers license 
requirements, financial responsibility, accidents, hazardous materials, 
and other safety and transportation records to determine whether a motor 
carrier meets the safety fitness standard. A compliance review may be 
conducted in response to a request to change a safety rating, to 
investigate potential violations of safety regulations by motor 
carriers, or to investigate complaints or other evidence of safety 
violations. The compliance review may result in the initiation of an 
enforcement action.
    (2) Safety Audit means an examination of a motor carrier's 
operations to provide educational and technical assistance on safety and 
the operational requirements of the FMCSRs and applicable HMRs and to 
gather critical safety data needed to make an assessment of the 
carrier's safety performance and

[[Page 955]]

basic safety management controls. Safety audits do not result in safety 
ratings.
    (3) Safety management controls means the systems, policies programs, 
practices, and procedures used by a motor carrier to ensure compliance 
with applicable safety and hazardous materials regulations which ensure 
the safe movement of products and passengers through the transportation 
system, and to reduce the risk of highway accidents and hazardous 
materials incidents resulting in fatalities, injuries, and property 
damage.
    Safety ratings: (1) Satisfactory safety rating means that a motor 
carrier has in place and functioning adequate safety management controls 
to meet the safety fitness standard prescribed in Sec. 385.5. Safety 
management controls are adequate if they are appropriate for the size 
and type of operation of the particular motor carrier.
    (2) Conditional safety rating means a motor carrier does not have 
adequate safety management controls in place to ensure compliance with 
the safety fitness standard that could result in occurrences listed in 
Sec. 385.5 (a) through (k).
    (3) Unsatisfactory safety rating means a motor carrier does not have 
adequate safety management controls in place to ensure compliance with 
the safety fitness standard which has resulted in occurrences listed in 
Sec. 385.5 (a) through (k).
    (4) Unrated carrier means that a safety rating has not been assigned 
to the motor carrier by the FMCSA.

[53 FR 50968, Dec. 19, 1988, as amended at 56 FR 40805, Aug. 16, 1991; 
62 FR 60042, Nov. 6, 1997; 67 FR 12779, Mar. 19, 2002; 67 FR 31983, May 
13, 2002]



Sec. 385.5  Safety fitness standard.

    The satisfactory safety rating is based on the degree of compliance 
with the safety fitness standard for motor carriers. To meet the safety 
fitness standard, the motor carrier shall demonstrate that it has 
adequate safety management controls in place, which function effectively 
to ensure acceptable compliance with applicable safety requirements to 
reduce the risk associated with:
    (a) Commercial driver's license standard violations (part 383),
    (b) Inadequate levels of financial responsibility (part 387),
    (c) The use of unqualified drivers (part 391),
    (d) Improper use and driving of motor vehicles (part 392),
    (e) Unsafe vehicles operating on the highways (part 393),
    (f) Failure to maintain accident registers and copies of accident 
reports (part 390),
    (g) The use of fatigued drivers (part 395),
    (h) Inadequate inspection, repair, and maintenance of vehicles (part 
396),
    (i) Transportation of hazardous materials, driving and parking rule 
violations (part 397),
    (j) Violation of hazardous materials regulations (parts 170 through 
177), and
    (k) Motor vehicle accidents and hazardous materials incidents.

[53 FR 50968, Dec. 19, 1988, as amended at 58 FR 33776, June 21, 1993]



Sec. 385.7  Factors to be considered in determining a safety rating.

    The factors to be considered in determining the safety fitness and 
assigning a safety rating include information from safety reviews, 
compliance reviews and any other data. The factors may include all or 
some of the following:
    (a) Adequacy of safety management controls. The adequacy of controls 
may be questioned if their degree of formalization, automation, etc., is 
found to be substantially below the norm for similar carriers. 
Violations, accidents or incidents substantially above the norm for 
similar carriers will be strong evidence that management controls are 
either inadequate or not functioning properly.
    (b) Frequency and severity of regulatory violations.
    (c) Frequency and severity of driver/vehicle regulatory violations 
identified in roadside inspections.
    (d) Number and frequency of out-of-service driver/vehicle 
violations.
    (e) Increase or decrease in similar types of regulatory violations 
discovered during safety or compliance reviews.

[[Page 956]]

    (f) Frequency of accidents; hazardous materials incidents; accident 
rate per million miles; preventable accident rate per million miles; and 
other accident indicators; and whether these accident and incident 
indicators have improved or deteriorated over time.
    (g) The number and severity of violations of state safety rules, 
regulations, standards, and orders applicable to commercial motor 
vehicles and motor carrier safety that are compatible with Federal 
rules, regulations, standards, and orders.

[53 FR 50968, Dec. 19, 1988, as amended at 58 FR 33776, June 21, 1993]



Sec. 385.9  Determination of a safety rating.

    (a) Following a compliance review of a motor carrier operation, the 
FMCSA, using the factors prescribed in Sec. 385.7 as computed under the 
Safety Fitness Rating Methodology set forth in appendix B of this part, 
shall determine whether the present operations of the motor carrier are 
consistent with the safety fitness standard set forth in Sec. 385.5, and 
assign a safety rating accordingly.
    (b) Unless otherwise specifically provided in this part, a safety 
rating will be issued to a motor carrier within 30 days following the 
completion of a compliance review.

[62 FR 60042, Nov. 6, 1997]



Sec. 385.11  Notification of safety fitness determination.

    (a) The FMCSA will provide a motor carrier written notice of any 
safety rating resulting from a compliance review as soon as practicable, 
but not later than 30 days after the review. The notice will take the 
form of a letter issued from the FMCSA's headquarters office and will 
include a list of FMCSR and HMR compliance deficiencies which the motor 
carrier must correct.
    (b) If the safety rating is ``satisfactory'' or improves a previous 
``unsatisfactory'' safety rating, it is final and becomes effective on 
the date of the notice.
    (c) In all other cases, a notice of a proposed safety rating will be 
issued. It becomes the final safety rating after the following time 
periods:
    (1) For motor carriers transporting hazardous materials in 
quantities requiring placarding or transporting passengers by CMV--45 
days after the date of the notice.
    (2) For all other motor carriers operating CMVs--60 days after the 
date of the notice.
    (d) A proposed safety rating of ``unsatisfactory'' is a notice to 
the motor carrier that the FMCSA has made a preliminary determination 
that the motor carrier is ``unfit'' to continue operating in interstate 
commerce, and that the prohibitions in Sec. 385.13 will be imposed after 
45 or 60 days if necessary safety improvements are not made.
    (e) A motor carrier may request the FMCSA to perform an 
administrative review of a proposed or final safety rating. The process 
and the time limits are described in Sec. 385.15.
    (f) A motor carrier may request a change to a proposed or final 
safety rating based upon its corrective actions. The process and the 
time limits are described in Sec. 385.17.

[65 FR 50934, Aug. 22, 2000]



Sec. 385.13  Unsatisfactory rated motor carriers; prohibition on transportation; ineligibility for Federal contracts.

    (a) Generally, a motor carrier rated ``unsatisfactory'' is 
prohibited from operating a CMV. Information on motor carriers, 
including their most current safety rating, is available from the FMCSA 
on the Internet at http://www.safersys.org, or by telephone at (800) 
832-5660.
    (1) Motor carriers transporting hazardous materials in quantities 
requiring placarding, and motor carriers transporting passengers in a 
CMV, are prohibited from operating a CMV beginning on the 46th day after 
the date of the FMCSA's notice of proposed ``unsatisfactory'' rating.
    (2) All other motor carriers rated from reviews completed on or 
after November 20, 2000 are prohibited from operating a CMV beginning on 
the 61st day after the date of the FMCSA's notice of proposed 
``unsatisfactory'' rating. If the FMCSA determines the motor carrier is 
making a good-faith effort to improve its safety fitness, the

[[Page 957]]

FMCSA may allow the motor carrier to operate for up to 60 additional 
days.
    (b) A Federal agency must not use a motor carrier that holds an 
``unsatisfactory'' rating to transport passengers in a CMV or to 
transport hazardous materials in quantities requiring placarding.
    (c) A Federal agency must not use a motor carrier for other CMV 
transportation if that carrier holds an ``unsatisfactory'' rating which 
became effective on or after January 22, 2001.
    (d) Penalties. If a proposed ``unsatisfactory'' safety rating 
becomes final, the FMCSA will issue an order placing its interstate 
operations out of service. Any motor carrier that operates CMVs in 
violation of this section will be subject to the penalty provisions 
listed in 49 U.S.C. 521(b).

[65 FR 50934, Aug. 22, 2000]



Sec. 385.14  Motor carriers, brokers, and freight forwarders delinquent in paying civil penalties: prohibition on transportation.

    (a) A CMV owner or operator that has failed to pay civil penalties 
imposed by the FMCSA, or has failed to abide by a payment plan, may be 
prohibited from operating CMVs in interstate commerce under 49 CFR 
386.83.
    (b) A broker, freight forwarder, or for-hire motor carrier that has 
failed to pay civil penalties imposed by the FMCSA, or has failed to 
abide by a payment plan, may be prohibited from operating in interstate 
commerce, and its registration may be suspended under the provisions of 
49 CFR 386.84.

[65 FR 78427, Dec. 15, 2000]



Sec. 385.15  Administrative review.

    (a) A motor carrier may request the FMCSA to conduct an 
administrative review if it believes the FMCSA has committed an error in 
assigning its proposed safety rating in accordance with Sec. 385.15(c) 
or its final safety rating in accordance with Sec. 385.11(b).
    (b) The motor carrier's request must explain the error it believes 
the FMCSA committed in issuing the safety rating. The motor carrier must 
include a list of all factual and procedural issues in dispute, and any 
information or documents that support its argument.
    (c) The motor carrier must submit its request in writing to the 
Chief Safety Officer, Federal Motor Carrier Safety Administration, 400 
Seventh Street, SW., Washington DC 20590.
    (1) If a motor carrier has received a notice of a proposed 
``unsatisfactory'' safety rating, it should submit its request within 15 
days from the date of the notice. This time frame will allow the FMCSA 
to issue a written decision before the prohibitions outlined in 
Sec. 385.13 (a)(1) and (2) take effect. Failure to petition within this 
15-day period may prevent the FMCSA from issuing a final decision before 
such prohibitions take effect.
    (2) A motor carrier must make a request for an administrative review 
within 90 days of the date of the proposed safety rating issued under 
Sec. 385.11 (c) or a final safety rating issued under Sec. 385.11 (b), 
or within 90 days after denial of a request for a change in rating under 
Sec. 385.17(i).
    (d) The FMCSA may ask the motor carrier to submit additional data 
and attend a conference to discuss the safety rating. If the motor 
carrier does not provide the information requested, or does not attend 
the conference, the FMCSA may dismiss its request for review.
    (e) The FMCSA will notify the motor carrier in writing of its 
decision following the administrative review. The FMCSA will complete 
its review:
    (1) Within 30 days after receiving a request from a hazardous 
materials or passenger motor carrier that has received a proposed or 
final ``unsatisfactory'' safety rating.
    (2) Within 45 days after receiving a request from any other motor 
carrier that has received a proposed or final ``unsatisfactory'' safety 
rating.
    (f) The decision constitutes final agency action.
    (g) Any motor carrier may request a rating change under the 
provisions of Sec. 385.17.

[65 FR 50935, Aug. 22, 2000]



Sec. 385.17  Change to safety rating based upon corrective actions.

    (a) A motor carrier that has taken action to correct the 
deficiencies that

[[Page 958]]

resulted in a proposed or final rating of ``conditional'' or 
``unsatisfactory'' may request a rating change at any time.
    (b) A motor carrier must make this request in writing to the FMCSA 
Service Center for the geographic area where the carrier maintains its 
principal place of business. The addresses and geographical boundaries 
of the Service Centers are listed in Sec. 390.27 of this chapter.
    (c) The motor carrier must base its request upon evidence that it 
has taken corrective actions and that its operations currently meet the 
safety standard and factors specified in Secs. 385.5 and 385.7. The 
request must include a written description of corrective actions taken, 
and other documentation the carrier wishes the FMCSA to consider.
    (d) The FMCSA will make a final determination on the request for 
change based upon the documentation the motor carrier submits, and any 
additional relevant information.
    (e) The FMCSA will perform reviews of requests made by motor 
carriers with a proposed or final ``unsatisfactory'' safety rating in 
the following time periods after the motor carrier's request:
    (1) Within 30 days for motor carriers transporting passengers in 
CMVs or placardable quantities of hazardous materials.
    (2) Within 45 days for all other motor carriers.
    (f) The filing of a request for change to a proposed or final safety 
rating under this section does not stay the 45-day period specified in 
Sec. 385.13(a)(1) for motor carriers transporting passengers or 
hazardous materials. If the motor carrier has submitted evidence that 
corrective actions have been taken pursuant to this section and the 
FMCSA cannot make a final determination within the 45-day period, the 
period before the proposed safety rating becomes final may be extended 
for up to 10 days at the discretion of the FMCSA.
    (g) The FMCSA may allow a motor carrier with a proposed rating of 
``unsatisfactory'' (except those transporting passengers in CMVs or 
placardable quantities of hazardous materials) to continue to operate in 
interstate commerce for up to 60 days beyond the 60 days specified in 
the proposed rating, if the FMCSA determines that the motor carrier is 
making a good faith effort to improve its safety status. This additional 
period would begin on the 61st day after the date of the notice of the 
proposed ``unsatisfactory'' rating.
    (h) If the FMCSA determines that the motor carrier has taken the 
corrective actions required and that its operations currently meet the 
safety standard and factors specified in Secs. 385.5 and 385.7, the 
agency will notify the motor carrier in writing of its upgraded safety 
rating.
    (i) If the FMCSA determines that the motor carrier has not taken all 
the corrective actions required, or that its operations still fail to 
meet the safety standard and factors specified in Secs. 385.5 and 385.7, 
the agency will notify the motor carrier in writing.
    (j) Any motor carrier whose request for change is denied in 
accordance with paragraph (i) of this section may request administrative 
review under the procedures of Sec. 385.15. The motor carrier must make 
the request within 90 days of the denial of the request for a rating 
change. If the proposed rating has become final, it shall remain in 
effect during the period of any administrative review.

[65 FR 50935, Aug. 22, 2000]



Sec. 385.19  Safety fitness information.

    (a) Final ratings will be made available to other Federal and State 
agencies in writing, telephonically or by remote computer access.
    (b) The final safety rating assigned to a motor carrier will be made 
available to the public upon request. Any person requesting the assigned 
rating of a motor carrier shall provide the FMCSA with the motor 
carrier's name, principal office address, and, if known, the USDOT 
number or the ICCMC docket number, if any.
    (c) Requests should be addressed to the Office of Data Analysis and 
Information Systems (MC RIS), Federal Motor Carrier Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590. The 
information can also be found at the SAFER website: http://
www.safersys.org.

[[Page 959]]

    (d) Oral requests by telephone to (800) 832-5660 will be given an 
oral response.

[62 FR 60043, Nov. 6, 1997, as amended at 66 FR 49872, Oct. 1, 2001]



    Subpart B--Safety Monitoring System for Mexico-Domiciled Carriers

[67 FR 12771, Mar. 19, 2002]



Sec. 385.101  Definitions

    Compliance Review means a compliance review as defined in Sec. 385.3 
of this part.
    Provisional certificate of registration means the registration under 
Sec. 368.6 of this subchapter that the FMCSA grants to a Mexico-
domiciled motor carrier to provide interstate transportation of property 
within the United States solely within the municipalities along the 
United States-Mexico border and the commercial zones of such 
municipalities. It is provisional because it will be revoked if the 
registrant does not demonstrate that it is exercising basic safety 
management controls during the safety monitoring period established in 
this subpart.
    Provisional operating authority means the registration under 
Sec. 365.507 of this subchapter that the FMCSA grants to a Mexico-
domiciled motor carrier to provide interstate transportation within the 
United States beyond the municipalities along the United States-Mexico 
border and the commercial zones of such municipalities. It is 
provisional because it will be revoked if the registrant is not assigned 
a Satisfactory safety rating following a compliance review conducted 
during the safety monitoring period established in this subpart.
    Safety audit means an examination of a motor carrier's operations to 
provide educational and technical assistance on safety and the 
operational requirements of the FMCSRs and applicable HMRs and to gather 
critical safety data needed to make an assessment of the carrier's 
safety performance and basic safety management controls. Safety audits 
do not result in safety ratings.



Sec. 385.103  Safety monitoring system.

    (a) General. Each Mexico-domiciled carrier operating in the United 
States will be subject to an oversight program to monitor its compliance 
with applicable Federal Motor Carrier Safety Regulations (FMCSRs), 
Federal Motor Vehicle Safety Standards (FMVSSs), and Hazardous Materials 
Regulations (HMRs).
    (b) Roadside monitoring. Each Mexico-domiciled carrier that receives 
provisional operating authority or a provisional Certificate of 
Registration will be subject to intensified monitoring through frequent 
roadside inspections.
    (c) CVSA decal. Each Mexico-domiciled carrier granted provisional 
operating authority under part 365 of this subchapter must have on every 
commercial motor vehicle it operates in the United States a current 
decal attesting to a satisfactory inspection by a Commercial Vehicle 
Safety Alliance (CVSA) inspector.
    (d) Safety audit. The FMCSA will conduct a safety audit on a Mexico-
domiciled carrier within 18 months after the FMCSA issues the carrier a 
provisional Certificate of Registration under part 368 of this 
subchapter.
    (e) Compliance review. The FMCSA will conduct a compliance review on 
a Mexico-domiciled carrier within 18 months after the FMCSA issues the 
carrier provisional operating authority under part 365 of this 
subchapter.



Sec. 385.105  Expedited action.

    (a) A Mexico-domiciled motor carrier committing any of the following 
violations identified through roadside inspections, or by any other 
means, may be subjected to an expedited safety audit or compliance 
review, or may be required to submit a written response demonstrating 
corrective action:
    (1) Using drivers not possessing, or operating without, a valid 
Licencia Federal de Conductor. An invalid Licencia Federal de Conductor 
includes one that is falsified, revoked, expired, or missing a required 
endorsement.
    (2) Operating vehicles that have been placed out of service for 
violations of the Commercial Vehicle Safety Alliance (CVSA) North 
American Standard Out-of-Service Criteria, without making the required 
repairs.

[[Page 960]]

    (3) Involvement in, due to carrier act or omission, a hazardous 
materials incident within the United States involving:
    (i) A highway route controlled quantity of a Class 7 (radioactive) 
material as defined in Sec. 173.403 of this title;
    (ii) Any quantity of a Class 1, Division 1.1, 1.2, or 1.3 explosive 
as defined in Sec. 173.50 of this title; or
    (iii) Any quantity of a poison inhalation hazard Zone A or B 
material as defined in Secs. 173.115, 173.132, or 173.133 of this title.
    (4) Involvement in, due to carrier act or omission, two or more 
hazardous material incidents occurring within the United States and 
involving any hazardous material not listed in paragraph (a)(3) of this 
section and defined in chapter I of this title.
    (5) Using a driver who tests positive for controlled substances or 
alcohol or who refuses to submit to required controlled substances or 
alcohol tests.
    (6) Operating within the United States a motor vehicle that is not 
insured as required by part 387 of this chapter.
    (7) Having a driver or vehicle out-of-service rate of 50 percent or 
more based upon at least three inspections occurring within a 
consecutive 90-day period.
    (b) Failure to respond to an agency demand for a written response 
demonstrating corrective action within 30 days will result in the 
suspension of the carrier's provisional operating authority or 
provisional Certificate of Registration until the required showing of 
corrective action is submitted to the FMCSA.
    (c) A satisfactory response to a written demand for corrective 
action does not excuse a carrier from the requirement that it undergo a 
safety audit or compliance review, as appropriate, during the 
provisional registration period.



Sec. 385.107  The safety audit.

    (a) The criteria used in a safety audit to determine whether a 
Mexico-domiciled carrier exercises the necessary basic safety management 
controls are specified in Appendix A to this part.
    (b) If the FMCSA determines, based on the safety audit, that the 
Mexico-domiciled carrier has adequate basic safety management controls, 
the FMCSA will provide the carrier written notice of this finding as 
soon as practicable, but not later than 45 days after the completion of 
the safety audit. The carrier's Certificate of Registration will remain 
provisional and the carrier's on-highway performance will continue to be 
closely monitored for the remainder of the 18-month provisional 
registration period.
    (c) If the FMCSA determines, based on the safety audit, that the 
Mexico-domiciled carrier's basic safety management controls are 
inadequate, it will initiate a suspension and revocation proceeding in 
accordance with Sec. 385.111 of this subpart.
    (d) The safety audit is also used to assess the basic safety 
management controls of Mexico-domiciled applicants for provisional 
operating authority to operate beyond United States municipalities and 
commercial zones on the United States-Mexico border under Sec. 365.507 
of this subchapter.



Sec. 385.109  The compliance review.

    (a) The criteria used in a compliance review to determine whether a 
Mexico-domiciled carrier granted provisional operating authority under 
Sec. 365.507 of this subchapter exercises the necessary basic safety 
management controls are specified in Appendix B to this part.
    (b) Satisfactory Rating. If the FMCSA assigns a Mexico-domiciled 
carrier a Satisfactory rating following a compliance review conducted 
under this subpart, the FMCSA will provide the carrier written notice as 
soon as practicable, but not later than 45 days after the completion of 
the compliance review. The carrier's operating authority will remain in 
provisional status and its on-highway performance will continue to be 
closely monitored for the remainder of the 18-month provisional 
registration period.
    (c) Conditional Rating. If the FMCSA assigns a Mexico-domiciled 
carrier a Conditional rating following a compliance review conducted 
under this subpart, it will initiate a revocation proceeding in 
accordance with Sec. 385.111 of this subpart. The carrier's provisional 
operating authority will not be suspended prior to the conclusion of the 
revocation proceeding.

[[Page 961]]

    (d) Unsatisfactory Rating. If the FMCSA assigns a Mexico-domiciled 
carrier an Unsatisfactory rating following a compliance review conducted 
under this subpart, it will initiate a suspension and revocation 
proceeding in accordance with Sec. 385.111 of this subpart.



Sec. 385.111  Suspension and revocation of Mexico-domiciled carrier registration.

    (a) If a carrier is assigned an ``Unsatisfactory'' safety rating 
following a compliance review conducted under this subpart, or a safety 
audit conducted under this subpart determines that a carrier does not 
exercise the basic safety management controls necessary to ensure safe 
operations, the FMCSA will provide the carrier written notice, as soon 
as practicable, that its registration will be suspended effective 15 
days from the service date of the notice unless the carrier 
demonstrates, within 10 days of the service date of the notice, that the 
compliance review or safety audit contains material error.
    (b) For purposes of this section, material error is a mistake or 
series of mistakes that resulted in an erroneous safety rating or an 
erroneous determination that the carrier does not exercise the necessary 
basic safety management controls.
    (c) If the carrier demonstrates that the compliance review or safety 
audit contained material error, its registration will not be suspended. 
If the carrier fails to show a material error in the safety audit, the 
FMCSA will issue an Order:
    (1) Suspending the carrier's provisional operating authority or 
provisional Certificate of Registration and requiring it to immediately 
cease all further operations in the United States; and
    (2) Notifying the carrier that its provisional operating authority 
or provisional Certificate of Registration will be revoked unless it 
presents evidence of necessary corrective action within 30 days from the 
service date of the Order.
    (d) If a carrier is assigned a ``Conditional'' rating following a 
compliance review conducted under this subpart, the provisions of 
subparagraphs (a) through (c) of this section will apply, except that 
its provisional registration will not be suspended under paragraph 
(c)(1) of this section.
    (e) If a carrier subject to this subpart fails to provide the 
necessary documents for a safety audit or compliance review upon 
reasonable request, or fails to submit evidence of the necessary 
corrective action as required by Sec. 385.105 of this subpart, the FMCSA 
will provide the carrier with written notice, as soon as practicable, 
that its registration will be suspended 15 days from the service date of 
the notice unless it provides all necessary documents or information. 
This suspension will remain in effect until the necessary documents or 
information are produced and:
    (1) A safety audit determines that the carrier exercises basic 
safety management controls necessary for safe operations;
    (2) The carrier is rated Satisfactory or Conditional after a 
compliance review; or
    (3) The FMCSA determines, following review of the carrier's response 
to a demand for corrective action under Sec. 385.105, that the carrier 
has taken the necessary corrective action.
    (f) If a carrier commits any of the violations specified in 
Sec. 385.105(a) of this subpart after the removal of a suspension issued 
under this section, the suspension will be automatically reinstated. The 
FMCSA will issue an Order requiring the carrier to cease further 
operations in the United States and demonstrate, within 15 days from the 
service date of the Order, that it did not commit the alleged 
violation(s). If the carrier fails to demonstrate that it did not commit 
the violation(s), the FMCSA will issue an Order revoking its provisional 
operating authority or provisional Certificate of Registration.
    (g) If the FMCSA receives credible evidence that a carrier has 
operated in violation of a suspension order issued under this section, 
it will issue an Order requiring the carrier to show cause, within 10 
days of the service date of the Order, why its provisional operating 
authority or provisional Certificate of Registration should not be 
revoked. If the carrier fails to make the necessary showing, the FMCSA 
will revoke its registration.

[[Page 962]]

    (h) If a Mexico-domiciled motor carrier operates a commercial motor 
vehicle in violation of a suspension or out-of-service order, it is 
subject to the penalty provisions in 49 U.S.C. 521(b)(2)(A), not to 
exceed $10,000 for each offense.
    (i) Notwithstanding any provision of this subpart, a carrier subject 
to this subpart is also subject to the suspension and revocation 
provisions of 49 U.S.C. 13905 for repeated violations of DOT regulations 
governing its motor carrier operations.



Sec. 385.113  Administrative review.

    (a) A Mexico-domiciled motor carrier may request the FMCSA to 
conduct an administrative review if it believes the FMCSA has committed 
an error in assigning a safety rating or suspending or revoking the 
carrier's provisional operating authority or provisional Certificate of 
Registration under this subpart.
    (b) The carrier must submit its request in writing, in English, to 
the Associate Administrator for Enforcement, Federal Motor Carrier 
Safety Administration, 400 Seventh Street, SW., Washington DC 20590.
    (c) The carrier's request must explain the error it believes the 
FMCSA committed in assigning the safety rating or suspending or revoking 
the carrier's provisional operating authority or provisional Certificate 
of Registration and include any information or documents that support 
its argument.
    (d) The FMCSA will complete its administrative review no later than 
10 days after the carrier submits its request for review. The Associate 
Administrator's decision will constitute the final agency action.



Sec. 385.115  Reapplying for provisional registration.

    (a) A Mexico-domiciled motor carrier whose provisional operating 
authority or provisional Certificate of Registration has been revoked 
may reapply under part 365 or 368 of this subchapter, as appropriate, no 
sooner than 30 days after the date of revocation.
    (b) The Mexico-domiciled motor carrier will be required to initiate 
the application process from the beginning. The carrier will be required 
to demonstrate how it has corrected the deficiencies that resulted in 
revocation of its registration and how it will ensure that it will have 
adequate basic safety management controls. It will also have to undergo 
a pre-authorization safety audit if it applies for provisional operating 
authority under part 365 of this subchapter.



Sec. 385.117  Duration of safety monitoring system.

    (a) Each Mexico-domiciled carrier subject to this subpart will 
remain in the safety monitoring system for at least 18 months from the 
date FMCSA issues its provisional Certificate of Registration or 
provisional operating authority, except as provided in paragraphs (c) 
and (d) of this section.
    (b) If, at the end of this 18-month period, the carrier's most 
recent safety audit or safety rating was Satisfactory and no additional 
enforcement or safety improvement actions are pending under this 
subpart, the Mexico-domiciled carrier's provisional operating authority 
or provisional Certificate of Registration will become permanent.
    (c) If, at the end of this 18-month period, the FMCSA has not been 
able to conduct a safety audit or compliance review, the carrier will 
remain in the safety monitoring system until a safety audit or 
compliance review is conducted. If the results of the safety audit or 
compliance review are satisfactory, the carrier's provisional operating 
authority or provisional Certificate of Registration will become 
permanent.
    (d) If, at the end of this 18-month period, the carrier's 
provisional operating authority or provisional Certificate of 
Registration is suspended under Sec. 385.111(a) of this subpart, the 
carrier will remain in the safety monitoring system until the FMCSA 
either:
    (1) Determines that the carrier has taken corrective action; or
    (2) Completes measures to revoke the carrier's provisional operating 
authority or provisional Certificate of Registration under 
Sec. 385.111(c) of this subpart.

[[Page 963]]



Sec. 385.119  Applicability of safety fitness and enforcement procedures.

    At all times during which a Mexico-domiciled motor carrier is 
subject to the safety monitoring system in this subpart, it is also 
subject to the general safety fitness procedures established in subpart 
A of this part and to compliance and enforcement procedures applicable 
to all carriers regulated by the FMCSA.



 Subpart C--Certification of Safety Auditors, Safety Investigators, and 
                            Safety Inspectors

    Source: 67 FR 12779, Mar. 19, 2002, unless otherwise noted.



Sec. 385.201  Who is qualified to perform a review of a motor carrier?

    (a) An FMCSA employee, or a State or local government employee 
funded through MCSAP, who was qualified to perform a compliance review 
before June 17, 2002, may perform a compliance review, safety audit or 
roadside inspection if he or she complies with Sec. 385.203(b).
    (b) A person who was not qualified to perform a compliance review 
before June 17, 2002, may perform a compliance review, safety audit or 
roadside inspection after complying with the requirements of 
Sec. 385.203(a).



Sec. 385.203  What are the requirements to obtain and maintain certification?

    (a) After June 17, 2002, a person who is not qualified under 
Sec. 385.201(a) may not perform a compliance review, safety audit, or 
roadside inspection unless he or she has been certified by FMCSA or a 
State or local agency applying the FMCSA standards after successfully 
completing classroom training and examinations on the FMCSRs and HMRs as 
described in detail on the FMCSA website (www.fmcsa.dot.gov). These 
employees must also comply with the maintenance of certification/
qualification requirements of paragraph (b) of this section.
    (b) Maintenance of certification/qualification. A person may not 
perform a compliance review, safety audit, or roadside inspection unless 
he or she meets the quality-control and periodic re-training 
requirements adopted by the FMCSA to ensure the maintenance of high 
standards and familiarity with amendments to the FMCSRs and HMRs. These 
maintenance of certification/qualification requirements are described in 
detail on the FMCSA website (www.fmcsa.dot.gov).
    (c) The requirements of paragraphs (a) and (b) of this section for 
training, performance and maintenance of certification/qualification, 
which are described on the FMCSA website (www.fmcsa.dot.gov), are also 
available in hard copy from the Office of Professional Development and 
Training, FMCSA, 400 7th Street, SW., Washington, DC 20590.



Sec. 385.205  How can a person who has lost his or her certification be re-certified?

    He or she must successfully complete the requirements of 
Sec. 385.203(a) and (b).



             Subpart D--New Entrant Safety Assurance Program

    Source: 67 FR 31983, May 13, 2002, unless otherwise noted.



Sec. 385.301  What is a motor carrier required to do before beginning interstate operations?

    (a) Before a motor carrier of property or passengers begins 
interstate operations, it must register with the FMCSA and receive a 
USDOT number. In addition, for-hire motor carriers must obtain operating 
authority from FMCSA following the registration procedures described in 
49 CFR part 365, unless providing transportation exempt from 49 CFR part 
365 registration requirements.
    (b) This subpart applies to motor carriers domiciled in the United 
States and Canada.
    (c) A Mexico-domiciled motor carrier of property or passengers must 
register with the FMCSA by following the registration procedures 
described in 49 CFR part 365 or 368, as appropriate. The regulations in 
this subpart do not apply to Mexico-domiciled carriers.

[[Page 964]]



Sec. 385.303  How does a motor carrier register with the FMCSA?

    A motor carrier may contact the FMCSA by internet 
(www.fmcsa.dot.gov); or Washington, DC headquarters by mail at, FMCSA, 
400 7th Street SW., Washington, DC 20590; fax (703) 280-4003; or 
telephone 1-800-832-5660, and request the application materials for a 
new entrant motor carrier.



Sec. 385.305  What happens after the FMCSA receives a request for new entrant registration?

    (a) The requester for new entrant registration will be directed to 
the FMCSA Internet website (www.fmcsa.dot.gov) to secure and/or complete 
the application package online.
    (b) The application package will contain the following:
    (1) Educational and technical assistance material regarding the 
requirements of the FMCSRs and HMRs, if applicable.
    (2) The Form MCS-150, The Motor Carrier Identification Report.
    (3) The Form MCS-150A, The Safety Certification for Applications for 
U.S. DOT Number.
    (4) Application forms to obtain operating authority under 49 CFR 
365, as appropriate.
    (c) Upon completion of the application forms, the new entrant will 
be issued a USDOT number.
    (d) For-hire motor carriers, unless providing transportation exempt 
from 49 CFR part 365 registration requirements, must also comply with 
the procedures established in 49 CFR part 365 to obtain operating 
authority before operating in interstate commerce.



Sec. 385.307  What happens after a motor carrier begins operations as a new entrant?

    After a new entrant satisfies all applicable pre-operational 
requirements, it will be subject to the new entrant safety monitoring 
procedures for a period of 18 months. During this 18-month period:
    (a) The new entrant's roadside safety performance will be closely 
monitored to ensure the new entrant has basic safety management controls 
that are operating effectively. An accident rate or driver or vehicle 
violation rate that is higher than the industry average for similar 
motor carrier operations may cause the FMCSA to conduct an expedited 
safety audit or compliance review at any time.
    (b) A safety audit will be conducted on the new entrant, once it has 
been in operation for enough time to have sufficient records to allow 
the agency to evaluate the adequacy of its basic safety management 
controls. This period will generally be at least 3 months.
    (c) All records and documents required for the safety audit shall be 
made available for inspection upon request by an individual certified 
under FMCSA regulations to perform safety audits.



Sec. 385.309  What is the purpose of the safety audit?

    The purpose of a safety audit is to:
    (a) Provide educational and technical assistance to the new entrant; 
and
    (b) Gather safety data needed to make an assessment of the new 
entrant's safety performance and adequacy of its basic safety management 
controls.



Sec. 385.311  What will the safety audit consist of?

    The safety audit will consist of a review of the new entrant's 
safety management systems and a sample of required records to assess 
compliance with the FMCSRs, applicable HMRs and related record-keeping 
requirements as specified in Appendix A of this part. The areas for 
review include, but are not limited to, the following:
    (a) Driver qualification;
    (b) Driver duty status;
    (c) Vehicle maintenance;
    (d) Accident register; and
    (e) Controlled substances and alcohol use and testing requirements.



Sec. 385.313  Who will conduct the safety audit?

    An individual certified under the FMCSA regulations to perform 
safety audits will conduct the safety audit.

[[Page 965]]



Sec. 385.315  Where will the safety audit be conducted?

    The safety audit will generally be conducted at the new entrant's 
business premises.



Sec. 385.317  Will a safety audit result in a safety fitness determination by the FMCSA?

    A safety audit will not result in a safety fitness determination. 
Safety fitness determinations follow completion of a compliance review.



Sec. 385.319  What happens after the completion of the safety audit?

    (a) Upon the completion of the safety audit, the auditor will review 
the findings with the new entrant.
    (b) If the FMCSA determines that the safety audit discloses that the 
new entrant has adequate basic safety management controls, the FMCSA 
will provide the new entrant written notice as soon as practicable, but 
not later than 45 days after the completion of the safety audit, that it 
has adequate basic safety management controls. The new entrant's safety 
performance will continue to be closely monitored for the remainder of 
the 18-month period of new entrant registration.
    (c) If the FMCSA determines that the findings of the safety audit 
disclose that the new entrant's basic safety management controls are 
inadequate, it will provide the new entrant written notice, as soon as 
practicable, but not later than 45 days after the completion of the 
safety audit, that its USDOT new entrant registration will be revoked 
and its operations placed out-of-service unless it takes the actions 
specified in the notice to remedy its safety management practices 
within:
    (1) 45 days of the date of the notice if the new entrant transports 
passengers in a CMV designed or used to transport 16 or more passengers, 
including the driver, or transports hazardous materials requiring 
placarding; or
    (2) 60 days of the date of the notice for all other new entrants.



Sec. 385.321  What failures of safety management practices disclosed by the safety audit will result in a notice to a new entrant that its DOT new entrant 
          registration will be revoked?

    The failures of safety management practices consist of a lack of 
basic safety management controls as described in Appendix A of this part 
and will result in a notice to a new entrant that its DOT new entrant 
registration will be revoked.



Sec. 385.323  May the FMCSA extend the period under Sec. 385.319(c) for a new entrant to take corrective action to remedy its safety management practices?

    (a) If a new entrant that transports passengers in a CMV designed or 
used to transport 16 or more passengers, including the driver, or 
transports hazardous materials in quantities requiring placarding, has 
submitted evidence that corrective actions have been taken pursuant to 
Sec. 385.319(c) and the FMCSA cannot make a determination regarding the 
adequacy of the corrective actions within the 45 day period, the period 
may be extended for up to 10 days at the discretion of the FMCSA.
    (b) The FMCSA may extend the 60-day period in Sec. 385.319(c)(2), 
for up to an additional 60 days provided FMCSA determines that the new 
entrant is making a good faith effort to remedy its safety management 
practices.



Sec. 385.325  What happens after a new entrant has been notified under Sec. 385.319(c) to take corrective action to remedy its safety management practices?

    (a) If the new entrant provides evidence of corrective action 
acceptable to the FMCSA within the time period provided in 
Sec. 385.319(c), including any extension of that period authorized under 
Sec. 385.323, the FMCSA will provide written notification to the new 
entrant that its DOT new entrant registration will not be revoked and it 
may continue operations.

[[Page 966]]

    (b) If a new entrant, after being notified that it is required to 
take corrective action to improve its safety management practices, fails 
to submit a written response demonstrating corrective action acceptable 
to FMCSA within the time specified in Sec. 385.319(c), including any 
extension of that period authorized under Sec. 385.323, the FMCSA will 
revoke its new entrant registration and issue an out-of-service order 
effective on:
    (1) Day 46 from the date of notification if the new entrant 
transports passengers in a CMV designed to transport 16 or more 
passengers, including the driver, or transports hazardous materials in 
quantities requiring placarding; or
    (2) Day 61 from the date of notification for all other new entrants; 
or
    (3) If an extension has been granted under Sec. 385.323, the day 
following the expiration of the extension date.
    (c) The new entrant may not operate in interstate commerce on or 
after the effective date of the out-of-service order.



Sec. 385.327  What happens when a new entrant receives a notice under Sec. 385.319(c) that its new entrant registration will be revoked and it believes the 
          FMCSA made an error in its determination?

    (a) If a new entrant receives a revocation notice, it may request 
the FMCSA to conduct an administrative review if it believes the FMCSA 
has committed an error in determining that its basic safety management 
controls were inadequate.
    (1) The request must be made to the Field Administrator of the 
appropriate FMCSA Service Center.
    (2) The request must explain the error the new entrant believes the 
FMCSA committed in its determination.
    (3) The request must include a list of all factual and procedural 
issues in dispute, and any information or documents that support the new 
entrant's argument.
    (b) The new entrant should submit its request no later than 15 days 
from the date of the notice of the inadequacy of its basic safety 
management controls. Submitting the request within 15 days will allow 
the FMCSA to issue a written decision before the prohibitions outlined 
in Sec. 385.319(c) take effect. Failure to petition within this 15-day 
period may prevent the FMCSA from issuing a final decision before the 
prohibitions take effect.
    (c) The FMCSA may request that the new entrant submit additional 
data and attend a conference to discuss the issue(s) in dispute. If the 
new entrant does not attend the conference, or does not submit the 
requested data, the FMCSA may dismiss the new entrant's request for 
review.
    (d) The FMCSA will complete its review and notify the new entrant in 
writing of its decision within 30 days after receiving a request for 
review from a hazardous materials or passenger new entrant and within 45 
days from any other new entrant.
    (e) A new entrant must make a request for an administrative review 
within:
    (1) 90 days of the date when it was initially notified under 
Sec. 385.319(c) that its basic safety management controls were 
inadequate; or
    (2) 90 days after it was notified that its corrective action under 
Sec. 385.319(c) was insufficient and its basic safety management 
controls remain inadequate.
    (f) The Field Administrator's decision constitutes the final agency 
action.
    (g) Notwithstanding this subpart, a new entrant is subject to the 
suspension and revocation provisions of 49 U.S.C. 13905 for violations 
of DOT regulations governing motor carrier operations.



Sec. 385.329  May a new entrant that has had its U.S. DOT registration revoked and its operations placed out of service (OOS) reapply?

    (a) A new entrant whose U.S. DOT registration has been revoked and 
whose operations have been placed OOS by the FMCSA may reapply under 
Sec. 385.301 no sooner than 30 days after the date of revocation.
    (b) The motor carrier will be required to initiate the process from 
the beginning, and will be required to demonstrate that it has corrected 
the deficiencies that resulted in revocation of

[[Page 967]]

its registration and otherwise will ensure that it will have adequate 
basic safety management controls.



Sec. 385.331  What happens if a new entrant operates a CMV after having been issued an order placing its interstate operations out of service (OOS)?

    If a new entrant operates a CMV in violation of an out-of-service 
(OOS) order and Sec. 385.325(b), it is subject to the penalty provisions 
in 49 U.S.C. 521(b)(2)(A), not to exceed $10,000 for each offense.



Sec. 385.333  What happens at the end of the 18-month safety monitoring period?

    (a) If a safety audit has been performed within the 18-month period, 
and the new entrant is not currently subject to an order placing its 
operations out-of-service under Sec. 385.325(b) or under a notice 
ordering it to take specified actions to remedy its safety management 
controls under Sec. 385.319(c), the FMCSA will remove the new entrant 
designation and notify the new entrant in writing that its registration 
has become permanent. Thereafter, the FMCSA will evaluate the motor 
carrier on the same basis as any other carrier.
    (b) If a new entrant is determined to be ``unfit'' after a 
compliance review its new entrant registration will be revoked. (See 
Sec. 385.13)
    (c) A new entrant that has reached the conclusion of the 18-month 
period but is under an order to correct its safety management practices 
under Sec. 385.319(c) will have its new entrant registration removed 
following FMCSA's determination that the specified actions have been 
taken to remedy its safety management practices. The motor carrier will 
be notified in writing that its new entrant designation is removed and 
that its registration has become permanent. Thereafter, the FMCSA will 
evaluate the motor carrier on the same basis as any other carrier.
    (d) If a safety audit or compliance review has not been performed by 
the end of the 18-month monitoring period through no fault of the motor 
carrier, the carrier will be permitted to continue operating as a new 
entrant until a safety audit or compliance review is performed and a 
final determination is made regarding the adequacy of its safety 
management controls. Based on the results of the safety audit or 
compliance review, the FMCSA will either:
    (1) Remove the new entrant designation and notify the new entrant in 
writing that its registration has become permanent; or
    (2) Revoke the new entrant registration in accordance with 
Sec. 385.319(c).



Sec. 385.335  If the FMCSA conducts a compliance review on a new entrant, will the new entrant also be subject to a safety audit?

    If the FMCSA conducts a compliance review on a new entrant that has 
not previously been subject to a safety audit and issues a safety 
fitness determination, the new entrant will not have to undergo a safety 
audit under this subpart. However, the new entrant will continue to be 
subject to the 18-month safety-monitoring period prior to removal of the 
new entrant designation.



Sec. 385.337  What happens if a new entrant refuses to permit a safety audit to be performed on its operations?

    (a) If a new entrant refuses to permit a safety audit to be 
performed on its operations, the FMCSA will provide the carrier with 
written notice that its registration will be revoked and its operations 
placed out of service unless the new entrant agrees in writing, within 
10 days from the service date of the notice, to permit the safety audit 
to be performed. The initial refusal to permit a safety audit to be 
performed may subject the new entrant to the penalty provisions in 49 
U.S.C. 521(b)(2)(A).
    (b) If the new entrant does not agree to undergo a safety audit as 
specified in paragraph (a) of this section, its registration will be 
revoked and its interstate operations placed out of service effective on 
the 11th day from the service date of the notice issued under paragraph 
(a) of this section.

 Appendix A to Part 385--Explanation of Safety Audit Evaluation Criteria

                               I. General

    (a) Section 210 of the Motor Carrier Safety Improvement Act (49 
U.S.C. 31144) directed

[[Page 968]]

the Secretary to establish a procedure whereby each owner and each 
operator granted new authority must undergo a safety review within 18 
months after the owner or operator begins operations. The Secretary was 
also required to establish the elements of this safety review, including 
basic safety management controls. The Secretary, in turn, delegated this 
to the FMCSA.
    (b) To meet the safety standard, a motor carrier must demonstrate to 
the FMCSA that it has basic safety management controls in place which 
function adequately to ensure minimum acceptable compliance with the 
applicable safety requirements. A ``safety audit evaluation criteria'' 
was developed by the FMCSA, which uses data from the safety audit and 
roadside inspections to determine that each owner and each operator 
applicant for new entrant registration, provisional operating authority, 
or provisional Certificate of Registration has basic safety management 
controls in place. The term ``safety audit'' is the equivalent to the 
``safety review'' required by Sec. 210. Using ``safety audit'' avoids 
any possible confusion with the safety reviews previously conducted by 
the agency that were discontinued on September 30, 1994.
    (c) The safety audit evaluation process developed by the FMCSA is 
used to:
    1. Evaluate basic safety management controls and determine if each 
owner and each operator is able to operate safely in interstate 
commerce; and
    2. Identify owners and operators who are having safety problems and 
need improvement in their compliance with the FMCSRs and the HMRs, 
before they are granted permanent registration.

     II. Source of the Data for the Safety Audit Evaluation Criteria

    (a) The FMCSA's evaluation criteria are built upon the operational 
tool known as the safety audit. This tool was developed to assist 
auditors and investigators in assessing the adequacy of a new entrant's 
basic safety management controls.
    (b) The safety audit is a review of a Mexico-domiciled or new 
entrant motor carrier's operation and is used to:
    1. Determine if a carrier has the basic safety management controls 
required by 49 U.S.C. 31144;
    2. Meet the requirements of Section 350 of the DOT Appropriations 
Act; and
    3. In the event that a carrier is found not to be in compliance with 
applicable FMCSRs and HMRs, the safety audit can be used to educate the 
carrier on how to comply with U.S. safety rules.
    (c) Documents such as those contained in the driver qualification 
files, records of duty status, vehicle maintenance records, and other 
records are reviewed for compliance with the FMCSRs and HMRs. Violations 
are cited on the safety audit. Performance-based information, when 
available, is utilized to evaluate the carrier's compliance with the 
vehicle regulations. Recordable accident information is also collected.

  III. Determining if the Carrier Has Basic Safety Management Controls

    (a) During the safety audit, the FMCSA gathers information by 
reviewing a motor carrier's compliance with ``acute'' and ``critical'' 
regulations of the FMCSRs and HMRs.
    (b) Acute regulations are those where noncompliance is so severe as 
to require immediate corrective actions by a motor carrier regardless of 
the overall basic safety management controls of the motor carrier.
    (c) Critical regulations are those where noncompliance relates to 
management and/or operational controls. These are indicative of 
breakdowns in a carrier's management controls.
    (d) The list of the acute and critical regulations, which are used 
in determining if a carrier has basic safety management controls in 
place, is included in Appendix B, VII. List of Acute and Critical 
Regulations.
    (e) Noncompliance with acute and critical regulations are indicators 
of inadequate safety management controls and usually higher than average 
accident rates.
    (f) Parts of the FMCSRs and the HMRs having similar characteristics 
are combined together into six regulatory areas called ``factors.'' The 
regulatory factors, evaluated on the basis of the adequacy of the 
carrier's safety management controls, are:
    1. Factor 1--General: Parts 387 and 390;
    2. Factor 2--Driver: Parts 382, 383 and 391;
    3. Factor 3--Operational: Parts 392 and 395;
    4. Factor 4--Vehicle: Part 393, 396 and inspection data for the last 
12 months;
    5. Factor 5--Hazardous Materials: Parts 171, 177, 180 and 397; and
    6. Factor 6--Accident: Recordable Accident Rate per Million Miles.
    (g) For each instance of noncompliance with an acute regulation, 1.5 
points will be assessed.
    (h) For each instance of noncompliance with a critical regulation, 1 
point will be assessed.

                            A. Vehicle Factor

    (a) When at least three vehicle inspections are recorded in the 
Motor Carrier Management Information System (MCMIS) during the twelve 
months before the safety audit or performed at the time of the review, 
the Vehicle Factor (Part 396) will be evaluated on the basis of the Out-
of-Service (OOS) rates and noncompliance with acute and critical 
regulations. The results of the review of the OOS rate will affect the 
Vehicle Factor as follows:

[[Page 969]]

    1. If the motor carrier has had at least three roadside inspections 
in the twelve months before the safety audit, and the vehicle OOS rate 
is 34 percent or higher, one point will be assessed against the carrier. 
That point will be added to any other points assessed for discovered 
noncompliance with acute and critical regulations of part 396 to 
determine the carrier's level of safety management control for that 
factor; and
    2. If the motor carrier's vehicle OOS rate is less than 34 percent, 
or if there are less than three inspections, the determination of the 
carrier's level of safety management controls will only be based on 
discovered noncompliance with the acute and critical regulations of part 
396.
    (b) Over two million inspections occur on the roadside each year. 
This vehicle inspection information is retained in the MCMIS and is 
integral to evaluating motor carriers' ability to successfully maintain 
their vehicles, thus preventing them from being placed OOS during 
roadside inspections. Each safety audit will continue to have the 
requirements of part 396, Inspection, Repair, and Maintenance, reviewed 
as indicated by the above explanation.

                         B. The Accident Factor

    (a) In addition to the five regulatory factors, a sixth factor is 
included in the process to address the accident history of the motor 
carrier. This factor is the recordable accident rate, which the carrier 
has experienced during the past 12 months. Recordable accident, as 
defined in 49 CFR 390.5, means an accident involving a commercial motor 
vehicle operating on a public road in interstate or intrastate commerce 
which results in a fatality; a bodily injury to a person who, as a 
result of the injury, immediately receives medical treatment away from 
the scene of the accident; or one or more motor vehicles incurring 
disabling damage as a result of the accident requiring the motor vehicle 
to be transported away from the scene by a tow truck or other motor 
vehicle.
    (b) Experience has shown that urban carriers, those motor carriers 
operating entirely within a radius of less than 100 air miles (normally 
urban areas), have a higher exposure to accident situations because of 
their environment and normally have higher accident rates.
    (c) The recordable accident rate will be used in determining the 
carrier's basic safety management controls in Factor 6, Accident. It 
will be used only when a carrier incurs two or more recordable accidents 
within the 12 months before the safety audit. An urban carrier (a 
carrier operating entirely within a radius of 100 air miles) with a 
recordable rate per million miles greater than 1.7 will be deemed to 
have inadequate basic safety management controls for the accident 
factor. All other carriers with a recordable accident rate per million 
miles greater than 1.5 will be deemed to have inadequate basic safety 
management controls for the accident factor. The rates are the result of 
roughly doubling the national average accident rate in Fiscal Years 
1994, 1995, and 1996.
    (d) The FMCSA will continue to consider preventability when a new 
entrant contests the evaluation of the accident factor by presenting 
compelling evidence that the recordable rate is not a fair means of 
evaluating its accident factor. Preventability will be determined 
according to the following standard: ``If a driver, who exercises normal 
judgment and foresight, could have foreseen the possibility of the 
accident that in fact occurred, and avoided it by taking steps within 
his/her control which would not have risked causing another kind of 
mishap, the accident was preventable.''

                            C. Factor Ratings

    For Factors 1 through 5, if the combined violations of acute and or 
critical regulations for each factor is equal to three or more points, 
the carrier is determined not to have basic safety management controls 
for that individual factor.
    If the recordable accident rate is greater than 1.7 recordable 
accidents per million miles for an urban carrier (1.5 for all other 
carriers), the carrier is determined to have inadequate basic safety 
management controls.

   IV. Overall Determination of the Carrier's Basic Safety Management 
                                Controls

    (a) If the carrier is evaluated as having inadequate basic safety 
management controls in at least three separate factors, the carrier will 
be considered to have inadequate safety management controls in place and 
corrective action will be necessary in order to avoid having its new 
entrant registration, provisional operating authority, or provisional 
Certificate of Registration revoked.
    (b)For example, FMCSA evaluates a carrier finding:
    (1) One instance of noncompliance with a critical regulation in part 
387 scoring one point for Factor 1;
    (2) Two instances of noncompliance with acute regulations in part 
382 scoring three points for Factor 2;
    (3) Three instances of noncompliance with critical regulations in 
part 396 scoring three points for Factor 4; and
    (4) Three instances of noncompliance with acute regulations in parts 
171 and 397 scoring four and one-half (4.5) points for Factor 5.
    (c) In this example, the carrier scored three or more points for 
Factors 2, 4 and 5 and FMCSA determined the carrier had inadequate basic 
safety management controls in at least three separate factors. FMCSA 
will

[[Page 970]]

require corrective action in order to avoid having the carrier's new 
entrant registration revoked, or having the provisional operating 
authority or provisional Certificate of Registration suspended and 
possibly revoked.

[67 FR 12773, Mar. 19, 2002, as amended a6 67 FR 31985, May 13, 2002]

      Appendix B to Part 385--Explanation of Safety Rating Process

    (a) Section 215 of the Motor Carrier Safety Act of 1984 (49 U.S.C. 
31144) directed the Secretary of Transportation to establish a procedure 
to determine the safety fitness of owners and operators of commercial 
motor vehicles operating in interstate or foreign commerce. The 
Secretary, in turn, delegated this responsibility to the Federal Motor 
Carrier Safety Administration (FMCSA).
    (b) As directed, FMCSA promulgated a safety fitness regulation, 
entitled ``Safety Fitness Procedures,'' which established a procedure to 
determine the safety fitness of motor carriers through the assignment of 
safety ratings and established a ``safety fitness standard'' which a 
motor carrier must meet to obtain a satisfactory safety rating.
    (c) To meet the safety fitness standard, a motor carrier must 
demonstrate to the FMCSA that it has adequate safety management controls 
in place which function effectively to ensure acceptable compliance with 
the applicable safety requirements. A ``safety fitness rating 
methodology'' (SFRM) was developed by the FMCSA, which uses data from 
compliance reviews (CRs) and roadside inspections to rate motor 
carriers.
    (d) The safety rating process developed by FMCSA is used to:
    1. Evaluate safety fitness and assign one of three safety ratings 
(satisfactory, conditional or unsatisfactory) to motor carriers 
operating in interstate commerce. This process conforms to 49 CFR 385.5, 
Safety fitness standard, and Sec. 385.7, Factors to be considered in 
determining a safety rating.
    2. Identify motor carriers needing improvement in their compliance 
with the Federal Motor Carrier Safety Regulations (FMCSRs) and 
applicable Hazardous Material Regulations (HMRs). These are carriers 
rated unsatisfactory or conditional.

                I. Source of Data for Rating Methodology

    (a) The FMCSA's rating process is built upon the operational tool 
known as the CR. This tool was developed to assist Federal and State 
safety specialists in gathering pertinent motor carrier compliance and 
accident information.
    (b) The CR is an in-depth examination of a motor carrier's 
operations and is used (1) to rate unrated motor carriers, (2) to 
conduct a follow-up investigation on motor carriers rated unsatisfactory 
or conditional as a result of a previous review, (3) to investigate 
complaints, or (4) in response to a request by a motor carrier to 
reevaluate its safety rating. Documents such as those contained in 
driver qualification files, records of duty status, vehicle maintenance 
records, and other records are thoroughly examined for compliance with 
the FMCSRs and HMRs. Violations are cited on the CR document. 
Performance-based information, when available, is utilized to evaluate 
the carrier's compliance with the vehicle regulations. Recordable 
accident information is also collected.

           II. Converting CR Information Into a Safety Rating

    (a) The FMCSA gathers information through an in-depth examination of 
the motor carrier's compliance with identified ``acute'' or ``critical'' 
regulations of the FMCSRs and HMRs.
    (b) Acute regulations are those identified as such where 
noncompliance is so severe as to require immediate corrective actions by 
a motor carrier regardless of the overall safety posture of the motor 
carrier. An example of an acute regulation is Sec. 383.37(b), allowing, 
requiring, permitting, or authorizing an employee with more than one 
Commercial Driver's License (CDL) to operate a commercial motor vehicle. 
Noncompliance with Sec. 383.37(b) is usually discovered when the motor 
carrier's driver qualification file reflects that the motor carrier had 
knowledge of a driver with more than one CDL, and still permitted the 
driver to operate a commercial motor vehicle. If the motor carrier did 
not have such knowledge or could not reasonably be expected to have such 
knowledge, then a violation would not be cited.
    (c) Critical regulations are those identified as such where 
noncompliance relates to management and/or operational controls. These 
are indicative of breakdowns in a carrier's management controls. An 
example of a critical regulation is Sec. 395.3(a)(1), requiring or 
permitting a property-carrying commercial motor vehicle driver to drive 
more than 11 hours.
    (d) The list of the acute and critical regulations which are used in 
determining safety ratings is included at the end of this document.
    (e) Noncompliance with acute regulations and patterns of non-
compliance with critical regulations are quantitatively linked to 
inadequate safety management controls and usually higher than average 
accident rates. The FMCSA has used noncompliance with acute regulations 
and patterns of noncompliance with critical regulations since 1989 to 
determine motor carriers' adherence to the Safety fitness standard in 
Sec. 385.5.
    (f) The regulatory factors, evaluated on the basis of the adequacy 
of the carrier's safety management controls, are (1) Parts 387 and 390; 
(2) Parts 382, 383 and 391; (3) Parts 392 and

[[Page 971]]

395; (4) Parts 393 and 396 when there are less than three vehicle 
inspections in the last 12 months to evaluate; and (5) Parts 397, 171, 
177 and 180.
    (g) For each instance of noncompliance with an acute regulation or 
each pattern of noncompliance with a critical regulation during the CR, 
one point will be assessed. A pattern is more than one violation. When a 
number of documents are reviewed, the number of violations required to 
meet a pattern is equal to at least 10 percent of those examined.
    (h) However, each pattern of noncompliance with a critical 
regulation relative to Part 395, Hours of Service of Drivers, will be 
assessed two points.

                            A. Vehicle Factor

    (a) When a total of three or more inspections are recorded in the 
Motor Carrier Management Information System (MCMIS) during the twelve 
months prior to the CR or performed at the time of the review, the 
Vehicle Factor (Parts 393 and 396) will be evaluated on the basis of the 
Out-of-Service (OOS) rates and noncompliance with acute regulations and/
or a pattern of noncompliance with critical regulations. The results of 
the review of the OOS rate will affect the Vehicle Factor rating as 
follows:
    1. If a motor carrier has three or more roadside vehicle inspections 
in the twelve months prior to the carrier review, or three vehicles 
inspected at the time of the review, or a combination of the two 
totaling three or more, and the vehicle OOS rate is 34 percent or 
greater, the initial factor rating will be conditional. The requirements 
of Part 396, Inspection, Repair, and Maintenance, will be examined 
during each review. The results of the examination could lower the 
factor rating to unsatisfactory if noncompliance with an acute 
regulation or a pattern of noncompliance with a critical regulation is 
discovered. If the examination of the Part 396 requirements reveals no 
such problems with the systems the motor carrier is required to maintain 
for compliance, the Vehicle Factor remains conditional.
    2. If a carrier's vehicle OOS rate is less than 34 percent, the 
initial factor rating will be satisfactory. If noncompliance with an 
acute regulation or a pattern of noncompliance with a critical 
regulation is discovered during the examination of Part 396 
requirements, the factor rating will be lowered to conditional. If the 
examination of Part 396 requirements discovers no such problems with the 
systems the motor carrier is required to maintain for compliance, the 
Vehicle Factor remains satisfactory.
    (b) Nearly two million vehicle inspections occur on the roadside 
each year. This vehicle inspection information is retained in the MCMIS 
and is integral to evaluating motor carriers' ability to successfully 
maintain their vehicles, thus preventing them from being placed OOS 
during roadside inspections. Since many of the roadside inspections are 
targeted to visibly defective vehicles and since there are a limited 
number of inspections for many motor carriers, the use of that data is 
limited. Each CR will continue to have the requirements of Part 396, 
Inspection, Repair, and Maintenance, reviewed as indicated by the above 
explanation.

                           B. Accident Factor

    (a) In addition to the five regulatory rating factors, a sixth 
factor is included in the process to address the accident history of the 
motor carrier. This factor is the recordable accident rate which the 
carrier has experienced during the past 12 months. Recordable accident, 
as defined in 49 CFR 390.5, means an accident involving a commercial 
motor vehicle operating on a public road in interstate or intrastate 
commerce which results in a fatality; bodily injury to a person who, as 
a result of the injury, immediately receives medical treatment away from 
the scene of the accident; one or more motor vehicles incurring 
disabling damage as a result of the accident requiring the motor vehicle 
to be transported away from the scene by a tow truck or other motor 
vehicle.
    (b) Recordable accidents per million miles were computed for each CR 
performed in Fiscal Years 1994,1995 and 1996. The national average for 
all carriers rated was 0.747, and .839 for carriers operating entirely 
within the 100 air mile radius.
    (c) Experience has shown that urban carriers, those motor carriers 
operating primarily within a radius of less than 100 air miles (normally 
in urban areas) have a higher exposure to accident situations because of 
their environment and normally have higher accident rates.
    (d) The recordable accident rate will be used to rate Factor 6, 
Accident. It will be used only when a motor carrier incurs two or more 
recordable accidents occurred within the 12 months prior to the CR. An 
urban carrier (a carrier operating entirely within a radius of 100 air 
miles) with a recordable accident rate greater than 1.7 will receive an 
unsatisfactory rating for the accident factor. All other carriers with a 
recordable accident rate greater than 1.5 will receive an unsatisfactory 
factor rating. The rates are a result of roughly doubling the national 
average accident rate for each type of carrier rated in Fiscal Years 
1994, 1995 and 1996.
    (e) The FMCSA will continue to consider preventability when a motor 
carrier contests a rating by presenting compelling evidence that the 
recordable rate is not a fair means of evaluating its accident factor. 
Preventability will be determined according to the following standard: 
``If a driver, who exercises normal judgment and foresight could have 
foreseen the possibility of the accident

[[Page 972]]

that in fact occurred, and avoided it by taking steps within his/her 
control which would not have risked causing another kind of mishap, the 
accident was preventable.''

                            C. Factor Ratings

    (a) Parts of the FMCSRs and the HMRs having similar characteristics 
are combined together into five regulatory areas called ``factors.''
    (b) The following table shows the five regulatory factors, parts of 
the FMCSRs and HMRs associated with each factor, and the accident 
factor. Factor Ratings are determined as follows:

                                 Factors

Factor 1 General=Parts 387 and 390
Factor 2 Driver=Parts 382, 383 and 391
Factor 3 Operational=Parts 392 and 395
Factor 4 Vehicle=Parts 393 and 396
Factor 5 Haz. Mat.=Parts 397, 171, 177 and 180
Factor 6 Accident Factor=Recordable Rate

``Satisfactory''--if the acute and/or critical=0 points
``Conditional''--if the acute and/or critical=1 point
``Unsatisfactory''--if the acute and/or critical=2 or more points

                           III. Safety Rating

                             A. Rating Table

    (a) The ratings for the six factors are then entered into a rating 
table which establishes the motor carrier's safety rating.
    (b) The FMCSA has developed a computerized rating formula for 
assessing the information obtained from the CR document and is using 
that formula in assigning a safety rating.

                    Motor Carrier Safety Rating Table
------------------------------------------------------------------------
                   Factor ratings
-----------------------------------------------------   Overall  Safety
         Unsatisfactory               Conditional           rating
------------------------------------------------------------------------
0...............................  2 or fewer........  Satisfactory
0...............................  more than 2.......  Conditional
1...............................  2 or fewer........  Conditional
1...............................  more than 2.......  Unsatisfactory
2 or more.......................  0 or more.........  Unsatisfactory
------------------------------------------------------------------------

                        B. Proposed Safety Rating

    (a) The proposed safety rating will appear on the CR. The following 
appropriate information will appear after the last entry on the CR, MCS-
151, part B.
    ``Your proposed safety rating is SATISFACTORY.''

                                   OR

    ``Your proposed safety rating is CONDITIONAL.'' The proposed safety 
rating will become the final safety rating 45 days after you receive 
this notice.

                                   OR

    ``Your proposed safety rating is UNSATISFACTORY.'' The proposed 
safety rating will become the final safety rating 45 days after you 
receive this notice
    (b) Proposed safety ratings of conditional or unsatisfactory will 
list the deficiencies discovered during the CR for which corrective 
actions must be taken.
    (c) Proposed unsatisfactory safety ratings will indicate that, if 
the unsatisfactory rating becomes final, the motor carrier will be 
subject to the provision of Sec. 385.13, which prohibits motor carriers 
rated unsatisfactory from transporting hazardous materials requiring 
placarding or more than 15 passengers, including the driver.

        IV. Assignment of Final Rating/Motor Carrier Notification

    When the official rating is determined in Washington, D.C., the 
FMCSA notifies the motor carrier in writing of its safety rating as 
prescribed in Sec. 385.11. A proposed conditional safety rating (which 
is an improvement of an existing unsatisfactory rating) becomes 
effective as soon as the official safety rating from Washington, D.C. is 
issued, and the carrier may also avail itself of relief under the 
Sec. 385.15, Administrative Review and Sec. 385.17, Change to safety 
rating based on corrective actions.

        V. Motor Carrier Rights to a Change in the Safety Rating

    Under Secs. 385.15 and 385.17, motor carriers have the right to 
petition for a review of their ratings if there are factual or 
procedural disputes, and to request another review after corrective 
actions have been taken. They are the procedural avenues a motor carrier 
which believes its safety rating to be in error may exercise, and the 
means to request another review after corrective action has been taken.

                             VI. Conclusion

    (a) The FMCSA believes this ``safety fitness rating methodology'' is 
a reasonable approach for assigning a safety rating which best describes 
the current safety fitness posture of a motor carrier as required by the 
safety fitness regulations (Sec. 385.9). This methodology has the 
capability to incorporate regulatory changes as they occur.
    (b) Improved compliance with the regulations leads to an improved 
rating, which in turn increases safety. This increased safety is our 
regulatory goal.

[[Page 973]]

              VII. List of Acute and Critical Regulations.

Sec. 382.115(a) Failing to implement an alcohol and/or controlled 
substances testing program (domestic motor carrier) (acute).
Sec. 382.201 Using a driver known to have an alcohol concentration of 
0.04 or greater (acute).
Sec. 382.211 Using a driver who has refused to submit to an alcohol or 
controlled substances test required under part 382 (acute).
Sec. 382.213(b) Using a driver known to have used a controlled substance 
(acute).
Sec. 382.215 Using a driver known to have tested positive for a 
controlled substance (acute).
Sec. 382.301(a) Using a driver before the motor carrier has received a 
negative pre-employment controlled substance test result (critical).
Sec. 382.303(a) Failing to conduct post accident testing on driver for 
alcohol and/or controlled substances (critical).
Sec. 382.305 Failing to implement a random controlled substances and/or 
an alcohol testing program (acute).
Sec. 382.305(b)(1) Failing to conduct random alcohol testing at an 
annual rate of not less than the applicable annual rate of the average 
number of driver positions (critical).
Sec. 382.305(b)(2) Failing to conduct random controlled substances 
testing at an annual rate of not less than the applicable annual rate of 
the average number of driver positions (critical).
Sec. 382.309(a) Using a driver who has not undergone a return-to-duty 
alcohol test with a result indicating an alcohol concentration of less 
than 0.02 (acute).
Sec. 382.309(b) Using a driver who has not undergone a return-to-duty 
controlled substances test with a result indicating a verified negative 
result for controlled substances (acute).
Sec. 382.503 Allowing a driver to perform safety sensitive function, 
after engaging in conduct prohibited by subpart B, without being 
evaluated by substance abuse professional, as required by Sec. 382.605 
(critical).
Sec. 382.505(a) Using a driver within 24 hours after being found to have 
an alcohol concentration of 0.02 or greater but less than 0.04 (acute).
Sec. 382.605(c)(1) Using a driver who has not undergone a return-to-duty 
alcohol test with a result indicating an alcohol concentration of less 
than .02 or with verified negative test result, after engaging in 
conduct prohibited by part 382 subpart B (acute).
Sec. 382.605(c)(2)(ii) Failing to subject a driver who has been 
identified as needing assistance to at least six unannounced follow-up 
alcohol and/or controlled substance tests in the first 12 months 
following the driver's return to duty (critical).
Sec. 383.23(a) Operating a commercial motor vehicle without a valid 
commercial driver's license (critical).
Sec. 383.37(a) Knowingly allowing, requiring, permitting, or authorizing 
an employee with a commercial driver's license which is suspended, 
revoked, or canceled by a state or who is disqualified to operate a 
commercial motor vehicle (acute).
Sec. 383.37(b) Knowingly allowing, requiring, permitting, or authorizing 
an employee with more than one commercial driver's license to operate a 
commercial motor vehicle (acute).
Sec. 383.51(a) Knowingly allowing, requiring, permitting, or authorizing 
a driver to drive who is disqualified to drive a commercial motor 
vehicle (acute).
Sec. 387.7(a) Operating a motor vehicle without having in effect the 
required minimum levels of financial responsibility coverage (acute).
Sec. 387.7(d) Failing to maintain at principal place of business 
required proof of financial responsibility (critical).
Sec. 387.31(a) Operating a passenger carrying vehicle without having in 
effect the required minimum levels of financial responsibility (acute).
Sec. 387.31(d) Failing to maintain at principal place of business 
required proof of financial responsibility for passenger carrying 
vehicles (critical).
Sec. 390.15(b)(2) Failing to maintain copies of all accident reports 
required by State or other governmental entities or insurers (critical).
Sec. 390.35 Making, or causing to make fraudulent or intentionally false 
statements or records and/or reproducing fraudulent records (acute).
Sec. 391.11(b)(4) Using a physically unqualified driver (acute).
Sec. 391.15(a) Using a disqualified driver (acute).
Sec. 391.45(a) Using a driver not medically examined and certified 
(critical).
Sec. 391.45(b)(1) Using a driver not medically examined and certified 
during the preceding 24 months (critical).
Sec. 391.51(a) Failing to maintain driver qualification file on each 
driver employed (critical).
Sec. 391.51(b)(2) Failing to maintain inquiries into driver's driving 
record in driver's qualification file (critical).
Sec. 391.51(b)(7) Failing to maintain medical examiner's certificate in 
driver's qualification file (critical).
Sec. 392.2 Operating a motor vehicle not in accordance with the laws, 
ordinances, and regulations of the jurisdiction in which it is being 
operated (critical).
Sec. 392.4(b) Requiring or permitting a driver to drive while under the 
influence of, or in possession of, a narcotic drug, amphetamine, or any 
other substance capable of

[[Page 974]]

rendering the driver incapable of safely operating a motor vehicle 
(acute).
Sec. 392.5(b)(1) Requiring or permitting a driver to drive a motor 
vehicle while under the influence of, or in possession of, an 
intoxicating beverage (acute).
Sec. 392.5(b)(2) Requiring or permitting a driver who shows evidence of 
having consumed an intoxicating beverage within 4 hours to operate a 
motor vehicle (acute).
Sec. 392.6 Scheduling a run which would necessitate the vehicle being 
operated at speeds in excess of those prescribed (critical).
Sec. 392.9(a)(1) Requiring or permitting a driver to drive without the 
vehicle's cargo being properly distributed and adequately secured 
(critical).
Sec. 395.1(h)(1)(i) Requiring or permitting a property-carrying 
commercial motor vehicle driver to drive more than 15 hours (Driving in 
Alaska) (critical).
Sec. 395.1(h)(1)(ii) Requiring or permitting a property-carrying 
commercial motor vehicle driver to drive after having been on duty 20 
hours (Driving in Alaska) (critical).
Sec. 395.1(h)(1)(iii) Requiring or permitting a property-carrying 
commercial motor vehicle driver to drive after having been on duty more 
than 70 hours in 7 consecutive days (Driving in Alaska) (critical).
Sec. 395.1(h)(1)(iv) Requiring or permitting a property-carrying 
commercial motor vehicle driver to drive after having been on duty more 
than 80 hours in 8 consecutive days (Driving in Alaska) (critical).
Sec. 395.1(h)(2)(i) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive more than 15 hours (Driving in 
Alaska) (critical).
Sec. 395.1(h)(2)(ii) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive after having been on duty 20 
hours (Driving in Alaska) (critical).
Sec. 395.1(h)(2)(iii) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive after having been on duty more 
than 70 hours in 7 consecutive days (Driving in Alaska) (critical).
Sec. 395.1(h)(2)(iv) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive after having been on duty more 
than 80 hours in 8 consecutive days (Driving in Alaska) (critical).
Sec. 395.1(o) Requiring or permitting a short-haul property-carrying 
commercial motor vehicle driver to drive after having been on duty 16 
consecutive hours (critical).
Sec. 395.3(a)(1) Requiring or permitting a property-carrying commercial 
motor vehicle driver to drive more than 11 hours (critical).
Sec. 395.3(a)(2) Requiring or permitting a property-carrying commercial 
motor vehicle driver to drive after the end of the 14th hour after 
coming on duty (critical).
Sec. 395.3(b)(1) Requiring or permitting a property-carrying commercial 
motor vehicle driver to drive after having been on duty more than 60 
hours in 7 consecutive days (critical).
Sec. 395.3(b)(2) Requiring or permitting a property-carrying commercial 
motor vehicle driver to drive after having been on duty more than 70 
hours in 8 consecutive days (critical).
Sec. 395.3(c)(1) Requiring or permitting a property-carrying commercial 
motor vehicle driver to restart a period of 7 consecutive days without 
taking an off-duty period of 34 or more consecutive hours (critical).
Sec. 395.3(c)(2) Requiring or permitting a property-carrying commercial 
motor vehicle driver to restart a period of 8 consecutive days without 
taking an off-duty period of 34 or more consecutive hours (critical).
Sec. 395.5(a)(1) Requiring or permitting a passenger-carrying commercial 
motor vehicle driver to drive more than 10 hours (critical).
Sec. 395.5(a)(2) Requiring or permitting a passenger-carrying commercial 
motor vehicle driver to drive after having been on duty 15 hours 
(critical).
Sec. 395.5(b)(1) Requiring or permitting a passenger-carrying commercial 
motor vehicle driver to drive after having been on duty more than 60 
hours in 7 consecutive days (critical).
Sec. 395.5(b)(2) Requiring or permitting a passenger-carrying commercial 
motor vehicle driver to drive after having been on duty more than 70 
hours in 8 consecutive days (critical).
Sec. 395.8(a) Failing to require driver to make a record of duty status 
(critical).
Sec. 395.8(e) False reports of records of duty status (critical).
Sec. 395.8(i) Failing to require driver to forward within 13 days of 
completion, the original of the record of duty status (critical).
Sec. 395.8(k)(1) Failing to preserve driver's record of duty status for 
6 months (critical).
Sec. 395.8(k)(1) Failing to preserve driver's records of duty status 
supporting documents for 6 months (critical).
Sec. 396.3(b) Failing to keep minimum records of inspection and vehicle 
maintenance (critical).
Sec. 396.9(c)(2) Requiring or permitting the operation of a motor 
vehicle declared ``out-of-service'' before repairs were made (acute).
Sec. 396.11(a) Failing to require driver to prepare driver vehicle 
inspection report (critical).
Sec. 396.11(c) Failing to correct Out-of-Service defects listed by 
driver in a driver vehicle inspection report before the vehicle is 
operated again (acute).
Sec. 396.17(a) Using a commercial motor vehicle not periodically 
inspected (critical).

[[Page 975]]

Sec. 396.17(g) Failing to promptly repair parts and accessories not 
meeting minimum periodic inspection standards (acute).
Sec. 397.5(a) Failing to ensure a motor vehicle containing Division 1.1, 
1.2, or 1.3 (explosive) material is attended at all times by its driver 
or a qualified representative (acute).
Sec. 397.7(a)(1) Parking a motor vehicle containing Division 1.1, 1.2, 
or 1.3 materials within 5 feet of traveled portion of highway or street 
(critical).
Sec. 397.7(b) Parking a motor vehicle containing hazardous material(s) 
other than Division 1.1, 1.2, or 1.3 materials within 5 feet of traveled 
portion of highway or street (critical).
Sec. 397.13(a) Permitting a person to smoke or carry a lighted 
cigarette, cigar or pipe within 25 feet of a motor vehicle containing 
Class 1 materials, Class 5 materials, or flammable materials classified 
as Division 2.1, Class 3, Divisions 4.1 and 4.2 (critical).
Sec. 397.19(a) Failing to furnish driver of motor vehicle transporting 
Division 1.1, 1.2, or 1.3 (explosive) materials with a copy of the rules 
of part 397 and/or emergency response instructions (critical).
Sec. 397.67(d) Requiring or permitting the operation of a motor vehicle 
containing explosives in Class 1, Divisions 1.1, 1.2, or 1.3 that is not 
accompanied by a written route plan (critical).
Sec. 171.15 Carrier failing to give immediate telephone notice of an 
incident involving hazardous materials (critical).
Sec. 171.16 Carrier failing to make a written report of an incident 
involving hazardous materials (critical).
Sec. 177.800(c) Failing to instruct a category of employees in hazardous 
materials regulations (critical).
Sec. 177.817(a) Transporting a shipment of hazardous materials not 
accompanied by a properly prepared shipping paper (critical).
Sec. 177.817(e) Failing to maintain proper accessibility of shipping 
papers (critical).
Sec. 177.823(a) Moving a transport vehicle containing hazardous material 
that is not properly marked or placarded (critical).
Sec. 177.841(e) Transporting a package bearing a poison label in the 
same transport vehicle with material marked or known to be foodstuff, 
feed, or any edible material intended for consumption by humans or 
animals unless an exception in Sec. 177.841(e)(i) or (ii) is met 
(acute).
Sec. 180.407(a) Transporting a shipment of hazardous material in cargo 
tank that has not been inspected or retested in accordance with 
Sec. 180.407 (critical).
Sec. 180.407(c) Failing to periodically test and inspect a cargo tank 
(critical).
Sec. 180.415 Failing to mark a cargo tank which passed an inspection or 
test required by Sec. 180.407 (critical).
Sec. 180.417(a)(1) Failing to retain cargo tank manufacturer's data 
report certificate and related papers, as required (critical).
Sec. 180.417(a)(2) Failing to retain copies of cargo tank manufacturer's 
certificate and related papers (or alternative report) as required 
(critical).

[62 FR 60043, Nov. 6, 1997, as amended at 63 FR 62959, Nov. 10, 1998; 65 
FR 11907, Mar. 7, 2000; 68 FR 22513, Apr. 28, 2003]



PART 386--RULES OF PRACTICE FOR MOTOR CARRIER, BROKER, FREIGHT FORWARDER, AND HAZARDOUS MATERIALS PROCEEDINGS--Table of Contents




                 Subpart A--Scope of Rules; Definitions

Sec.
386.1 Scope of rules in this part.
386.2 Definitions.

            Subpart B--Commencement of Proceedings, Pleadings

386.11 Commencement of proceedings.
386.12 Complaint.
386.13 Petitions to review and request for hearing: Driver qualification 
          proceedings.
386.14 Replies and request for hearing: Civil forfeiture proceedings.
386.15 [Reserved]
386.16 Action on petitions or replies.
386.17 Intervention.

                Subpart C--Compliance and Consent Orders

386.21 Compliance order.
386.22 Consent order.
386.23 Content of consent order.

                  Subpart D--General Rules and Hearings

386.31 Service.
386.32 Computation of time.
386.33 Extension of time.
386.34 Official notice.
386.35 Motions.
386.36 Motions to dismiss and motions for a more definite statement.
386.37 Discovery methods.
386.38 Scope of discovery.
386.39 Protective orders.
386.40 Supplementation of responses.
386.41 Stipulations regarding discovery.
386.42 Written interrogatories to parties.
386.43 Production of documents and other evidence; entry upon land for 
          inspection and other purposes; and physical and mental 
          examination.
386.44 Request for admissions.
386.45 Motion to compel discovery.

[[Page 976]]

386.46 Depositions.
386.47 Use of deposition at hearings.
386.48 Medical records and physicians' reports.
386.49 Form of written evidence.
386.50 Appearances and rights of witnesses.
386.51 Amendment and withdrawal of pleadings.
386.52 Appeals from interlocutory rulings.
386.53 Subpoenas, witness fees.
386.54 Administrative law judge.
386.55 Prehearing conferences.
386.56 Hearings.
386.57 Proposed findings of fact, conclusions of law.
386.58 Burden of proof.

                           Subpart E--Decision

386.61 Decision.
386.62 Review of administrative law judge's decision.
386.63 Decision on review.
386.64 Reconsideration.
386.65 Failure to comply with final order.
386.66 Motions for rehearing or for modification.
386.67 Appeal.

               Subpart F--Injunctions and Imminent Hazards

386.71 Injunctions.
386.72 Imminent hazard.

                          Subpart G--Penalties

386.81 General.
386.82 Civil penalties for violations of notices and orders.
386.83 Sanction for failure to pay civil penalties or abide by payment 
          plan; operation in interstate commerce prohibited.
386.84 Sanction for failure to pay civil penalties or abide by payment 
          plan; suspension or revocation of registration.

Appendix A to Part 386--Penalty Schedule; Violations of Notices and 
          Orders
Appendix B to Part 386--Penalty Schedule; Violations and Maximum 
          Monetary Penalties

    Authority: 49 U.S.C. 113, chapters 5, 51, 59, 131-141, 145-149, 311, 
313, and 315; sec. 206, Pub. L. 106-159, 113 Stat. 1763; and 49 CFR 1.45 
and 1.73.

    Source: 50 FR 40306, Oct. 2, 1985, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 386 appear at 65 FR 
7755, Feb. 16, 2000 And 66 FR 49873, Oct. 1, 2001.



                 Subpart A--Scope of Rules; Definitions



Sec. 386.1  Scope of rules in this part.

    The rules in this part govern proceedings before the Assistant 
Administrator, who also acts as the Chief Safety Officer of the Federal 
Motor Carrier Safety Administration (FMCSA), under applicable provisions 
of the Federal Motor Carrier Safety Regulations (49 CFR parts 350-399), 
including the commercial regulations (49 CFR parts 360-379) and the 
Hazardous Materials Regulations (49 CFR parts 171-180). The purpose of 
the proceedings is to enable the Assistant Administrator to determine 
whether a motor carrier, property broker, freight forwarder, or its 
agents, employees, or any other person subject to the jurisdiction of 
the FMCSA, has failed to comply with the provisions or requirements of 
applicable statutes and the corresponding regulations and, if such 
violations are found, to issue an appropriate order to compel compliance 
with the statute or regulation, assess a civil penalty, or both.

[65 FR 78427, Dec. 15, 2000]



Sec. 386.2  Definitions.

    Abate or abatement means to discontinue regulatory violations by 
refraining from or taking actions identified in a notice to correct 
noncompliance.
    Administration means the Federal Motor Carrier Safety 
Administration.
    Administrative law judge means an administrative law judge appointed 
pursuant to the provisions of 5 U.S.C. 3105.
    Assistant Administrator means the Assistant Administrator of the 
Federal Motor Carrier Safety Administration. The Assistant Administrator 
is the Chief Safety Officer of the agency pursuant to 49 U.S.C. 113(d). 
Decisions of the Assistant Administrator in motor carrier, broker, 
freight forwarder, and hazardous materials proceedings under this part 
are administratively final.
    Broker means a person who, for compensation, arranges or offers to 
arrange the transportation of property by an authorized motor carrier. A 
motor carrier, or person who is an employee or bona fide agent of a 
carrier, is not a

[[Page 977]]

broker within the meaning of this section when it arranges or offers to 
arrange the transportation of shipments which it is authorized to 
transport and which it has accepted and legally bound itself to 
transport.
    Civil forfeiture proceedings means proceedings to collect civil 
penalties for violations under the Commercial Motor Vehicle Safety Act 
of 1986 (49 U.S.C. Chapter 313); the Hazardous Materials Transportation 
Act of 1975, as amended (49 U.S.C. Chapter 51); the Motor Carrier Safety 
Act of 1984 (49 U.S.C. Chapter 311, Subchapter III); section 18 of the 
Bus Regulatory Reform Act of 1982 (49 U.S.C. 31138); section 30 of the 
Motor Carrier Act of 1980 (49 U.S.C. 31139); and the ICC Termination Act 
of 1995 (49 U.S.C. Chapters 131-149).
    Claimant means the representative of the Federal Motor Carrier 
Safety Administration authorized to make claims.
    Commercial regulations means statutes and regulations that apply to 
persons providing or arranging transportation for compensation subject 
to the Secretary's jurisdiction under 49 U.S.C. Chapter 135. The 
statutes are codified in Part B of Subtitle IV, Title 49, U.S.C. (49 
U.S.C. 13101 through 14913). The regulations include those issued by the 
Federal Motor Carrier Safety Administration or its predecessors under 
authority provided in 49 U.S.C. 13301 or a predecessor statute.
    Compliance Order means a written direction to a respondent under 
this part requiring the performance of certain acts which, based upon 
the findings in the proceeding, are considered necessary to bring 
respondent into compliance with the regulations found to have been 
violated.
    Consent Order means a compliance order which has been agreed to by 
respondent in the settlement of a civil forfeiture proceeding.
    Driver qualification proceeding means a proceeding commenced under 
49 CFR 391.47 or by issuance of a letter of disqualification.
    Final agency order means a notice of final agency action issued 
pursuant to this part by either the appropriate FMCSA Field 
Administrator (for default judgements under Sec. 386.14(e)), the FMCSA 
Chief Safety Officer, or an Administrative Law Judge (ALJ), typically 
requiring payment of a civil penalty by a broker, freight forwarder, 
driver, or motor carrier.
    Freight forwarder means a person holding itself out to the general 
public (other than as an express, pipeline, rail, sleeping car, motor, 
or water carrier) to provide transportation of property for compensation 
in interstate commerce, and in the ordinary course of its business:
    (1) Performs or provides for assembling, consolidating, break-bulk, 
and distribution of shipments;
    (2) Assumes responsibility for transportation from place of receipt 
to destination; and
    (3) Uses for any part of the transportation a carrier subject to 
FMCSA jurisdiction.
    Motor carrier means a motor carrier, motor private carrier, or motor 
carrier of migrant workers as defined in 49 U.S.C. 13102 and 31501.
    Petitioner means a party petitioning to overturn a determination in 
a driver qualification proceeding.
    Respondent means a party against whom relief is sought or claim is 
made.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56 
FR 10182, Mar. 11, 1991; 65 FR 7755, Feb. 16, 2000; 65 FR 78427, Dec. 
15, 2000; 67 FR 61821, Oct. 2, 2002]



            Subpart B--Commencement of Proceedings, Pleadings



Sec. 386.11  Commencement of proceedings.

    (a) Driver qualification proceedings. These proceedings are 
commenced by the issuance of a determination by the Director, Office of 
Truck and Bus Standards and Operations, in a case arising under 
Sec. 391.47 of this chapter or by the issuance of a letter of 
disqualification.
    (1) Such determination and letters must be accompanied by the 
following:
    (i) A citation of the regulation under which the action is being 
taken;
    (ii) A copy of all documentary evidence relied on or considered in 
taking such action, or in the case of voluminous evidence a summary of 
such evidence;

[[Page 978]]

    (iii) Notice to the driver and motor carrier involved in the case 
that they may petition for review of the action;
    (iv) Notice that a hearing will be granted if the Assistant 
Administrator determines there are material factual issues in dispute;
    (v) Notice that failure to petition for review will constitute a 
waiver of the right to contest the action; and
    (vi) Notice that the burden or proof will be on the petitioner in 
cases arising under Sec. 391.47 of this chapter.
    (2) At any time before the close of hearing, upon application of a 
party, the letter or determination may be amended at the discretion of 
the administrative law judge upon such terms as he/she approves.
    (b) Civil forfeitures. These proceedings are commenced by the 
issuance of a Claim Letter or a Notice of Investigation.
    (1) Each claim letter must contain the following:
    (i) A statement of the provisions of law alleged to have been 
violated;
    (ii) A brief statement of the facts constituting each violation;
    (iii) Notice of the amount being claimed, and notice of the maximum 
amount authorized to be claimed under the statute;
    (iv) The form in which and the place where the respondent may pay 
the claim; and
    (v) Notice that the respondent may, within 15 days of service, 
notify the claimant that the respondent intends to contest the notice, 
and that if the notice is contested the respondent will be afforded an 
opportunity for a hearing.
    (2) In addition to the information required by paragraph (b)(1) of 
this section, the letter may contain such other matters as the FMCSA 
deems appropriate, including a notice to abate.
    (3) In proceedings for collection of civil penalties for violations 
of the motor carrier safety regulations under the Motor Carrier Safety 
Act of 1984, the claimant may require the respondent to post a copy of 
the claim letter in such place or places and for such duration as the 
claimant may determine appropriate to aid in the enforcement of the law 
and regulations.
    (c) Notice of investigation. This is a notice to respondent that the 
FMCSA has discovered violations of the Federal Motor Carrier Safety 
Regulations, Hazardous Materials Regulations, or Commercial Regulations 
under circumstances which may require a compliance order and/or monetary 
penalties. The proposed form of the compliance order will be included in 
the notice. The Assistant Administrator may issue a Notice of 
Investigation in his or her own discretion or upon a complaint filed 
pursuant to Sec. 386.12.
    (1) Each notice of investigation must include the following:
    (i) A statement of the legal authority and jurisdiction for the 
institution of the proceedings;
    (ii) The name and address of each motor carrier, broker, or freight 
forwarder against whom relief is sought;
    (iii) One or more clear, concise, and separately numbered paragraphs 
stating the facts alleged to constitute a violation of the law;
    (iv) The relief demanded which, where practical, should be in the 
form of an order for the Assistant Administrator's signature, and which 
shall fix a reasonable time for abatement of the violations and may 
specify actions to be taken in order to abate the violations;
    (v) A statement that the rules in this part require a reply to be 
filed within 30 days of service of the notice of investigation, and
    (vi) A certificate that the notice of investigation was served in 
accordance with Sec. 386.31.
    (2) At any time before the close of hearing or upon application of a 
party, the notice of investigation may be amended at the discretion of 
the administrative law judge upon such terms as he/she deems 
appropriate.
    (3) A Claim Letter may be combined with a Notice of Investigation in 
a single proceeding. In such proceeding, the 30-day reply period in 
paragraph (c)(1) of this section shall apply.
    (4) A notice to abate contained in a Claim Letter or Notice of 
Investigation shall specify what must be done by the respondent, a 
reasonable time within which abatement must be achieved, and that 
failure to abate subjects the

[[Page 979]]

respondent to additional penalties as prescribed in subpart G of this 
part.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56 
FR 10182, Mar. 11, 1991; 65 FR 7756, Feb. 16, 2000]



Sec. 386.12  Complaint.

    (a) Filing of a complaint. Except as otherwise provided in paragraph 
(c) of this section, any person, State board, organization, or body 
politic may file a written complaint with the Assistant Administrator, 
requesting the issuance of a notice of investigation under 
Sec. 386.11(c). Each complaint must contain:
    (1) The name and address of the party who files it, and a statement 
specifying the authority for a party (other than a natural person) to 
file the complaint;
    (2) A statement of the interest of the party in the proceedings;
    (3) The name and address of each motor carrier against who relief is 
sought;
    (4) The reasons why the party believes that a notice of 
investigation should be issued;
    (5) A statement of any prior action which the party has taken to 
redress the violations of law alleged in the complaint and the results 
of that action; and
    (6) The relief which the party believes the Administration should 
seek.
    (b) Action on paragraph (a) complaint. Upon the filing of a 
complaint under paragraph (a) of this section, the Assistant 
Administrator shall determine whether it states reasonable grounds for 
investigation and action by the Administration. If he/she determines 
that the complaint states such grounds, the Assistant Administrator 
shall issue, or authorize the issuance of, a notice of investigation 
under Sec. 386.11(c). If he/she determines that the complaint does not 
state reasonable grounds for investigation and action by the 
Administration, the Assistant Administrator shall dismiss it.
    (c) Complaint of substantial violation. Any person may file a 
written complaint with the Assistant Administrator alleging that a 
substantial violation of any regulation issued under the Motor Carrier 
Safety Act of 1984 is occurring or has occurred within the preceding 60 
days. A substantial violation is one which could reasonably lead to, or 
has resulted in, serious personal injury or death. Each complaint must 
be signed by the complainant and must contain:
    (1) The name, address, and telephone number of the person who files 
it;
    (2) The name and address of the alleged violator and, with respect 
to each alleged violator, the specific provisions of the regulations 
that the complainant believes were violated; and
    (3) A concise but complete statement of the facts relied upon to 
substantiate each allegation, including the date of each alleged 
violation.
    (d) Action on complaint of substantial violation. Upon the filing of 
a complaint of a substantial violation under paragraph (c) of this 
section, the Assistant Administrator shall determine whether it is 
nonfrivolous and meets the requirements of paragraph (c) of this 
section. If the Assistant Administrator determines that the complaint is 
nonfrivolous and meets the requirements of paragraph (c), he/she shall 
investigate the complaint. The complainant shall be timely notified of 
findings resulting from such investigation. The Assistant Administrator 
shall not be required to conduct separate investigations of duplicative 
complaints. If the Assistant Administrator determines that the complaint 
is frivalous or does not meet the requirements of paragraph (c), he/she 
shall dismiss the complaint and notify the complainant in writing of the 
reasons for such dismissal.
    (e) Notwithstanding the provisions of section 552 of title 5, United 
States Code, the Assistant Administrator shall not disclose the identity 
of complainants unless it is determined that such disclosure is 
necessary to prosecute a violation. If disclosure becomes necessary, the 
Assistant Administrator shall take every practical means within the 
Assistant Administrator's authority to assure that the complainant is 
not subject to harassment, intimidation, disciplinary action, 
discrimination, or financial loss as a result of such disclosure.

[[Page 980]]



Sec. 386.13  Petitions to review and request for hearing: Driver qualification proceedings.

    (a) Within 60 days after service of the determination under 
Sec. 391.47 of this chapter or the letter of disqualification, the 
driver or carrier may petition to review such action. Such petitions 
must be submitted to the Assistant Administrator and must contain the 
following:
    (1) Identification of what action the petitioner wants overturned;
    (2) Copies of all evidence upon which petitioner relies in the form 
set out in Sec. 386.49;
    (3) All legal and other arguments which the petitioner wishes to 
make in support of his/her position;
    (4) A request for oral hearing, if one is desired, which must set 
forth material factual issues believed to be in dispute;
    (5) Certification that the reply has been filed in accordance with 
Sec. 386.31; and
    (6) Any other pertinent material.
    (b) Failure to submit a petition as specified in paragraph (a) of 
this section shall constitute a waiver of the right to petition for 
review of the determination or letter of disqualification. In these 
cases, the determination or disqualification issued automatically 
becomes the final decision of the Assistant Administrator 30 days after 
the time to submit the reply or petition to review has expired, unless 
the Assistant Administrator orders otherwise.
    (c) If the petition does not request a hearing, the Assistant 
Administrator may issue a final decision and order based on the evidence 
and arguments submitted.



Sec. 386.14  Replies and request for hearing: Civil forfeiture proceedings.

    (a) Time for reply. The respondent must reply within 15 days after a 
Claim Letter is served, or 30 days after a Notice of Investigation is 
received.
    (b) Contents of reply. The reply must contain the following:
    (1) An admission or denial of each allegation of the claim or notice 
and a concise statement of facts constituting each defense;
    (2) If the respondent contests the claim or notice, a request for an 
oral hearing or notice of intent to submit evidence without an oral 
hearing must be contained in the reply. A request for a hearing must 
list all material facts believed to be in dispute. Failure to request a 
hearing within 15 days after the Claim Letter is served, or 30 days in 
the case of a Notice of Investigation, shall constitute a waiver of any 
right to a hearing;
    (3) A statement of whether the respondent wishes to negotiate the 
terms of payment or settlement of the amount claimed, or the terms and 
conditions of the order; and
    (4) Certification that the reply has been served in accordance with 
Sec. 386.31.
    (c) Submission of evidence. If a notice of intent to submit evidence 
without oral hearing is filed, or if no hearing is requested under 
paragraph (b)(2) of this section, and the respondent contests the claim 
or the contents of the notice, all evidence must be served in written 
form no later than the 40th day following service of the Claim Letter or 
Notice of Investigation. Evidence must be served in the form specified 
in Sec. 386.49.
    (d) Complainant's request for a hearing. If the respondent files a 
notice of intent to submit evidence without formal hearing, the 
complainant may, within 15 days after that reply is filed, submit a 
request for a formal hearing. The request must include a listing of all 
factual issues believed to be in dispute.
    (e) Failure to reply or request a hearing. If the respondent does 
not reply to a Claim Letter within the time prescribed in this section, 
the Claim Letter becomes the final agency order in the proceeding 25 
days after it is served. When no reply to the Notice of Investigation is 
received, the Assistant Administrator may, on motion of any party, issue 
a final order in the proceeding.
    (f) Non-compliance with final order. Failure to pay the civil 
penalty as directed in a final order constitutes a violation of that 
order subjecting the respondent to an additional penalty as prescribed 
in subpart G of this part.

[50 FR 40306, Oct. 2, 1985, as amended at 56 FR 10183, Mar. 11, 1991]

[[Page 981]]



Sec. 386.15  [Reserved]



Sec. 386.16  Action on petitions or replies.

    (a) Replies not requesting an oral hearing. If the reply submitted 
does not request an oral hearing, the Assistant Administrator may issue 
a final decision and order based on the evidence and arguments 
submitted.
    (b) Request for oral hearing. If a request for an oral hearing has 
been filed, the Assistant Administrator shall determine whether there 
are any material factual issues in dispute. If there are, he/she shall 
call the matter for a hearing. If there are none, he/she shall issue an 
order to that effect and set a time for submission of argument by the 
parties. Upon the submission of argument he/she shall decide the case.
    (c) Settlement of civil forfeitures. (1) When negotiations produce 
an agreement as to the amount or terms of payment of a civil penalty or 
the terms and conditions of an order, a settlement agreement shall be 
drawn and signed by the respondent and the Assistant Administrator. Such 
settlement agreement must contain the following:
    (i) The statutory basis of the claim;
    (ii) A brief statement of the violations;
    (iii) The amount claimed and the amount paid;
    (iv) The date, time, and place and form of payment;
    (v) A statement that the agreement is not binding on the agency 
until executed by the Assistant Administrator; and
    (vi) A statement that failure to pay in accordance with the terms of 
the agreement which has been adopted as a Final Order will result in the 
loss of any reductions in penalties for claims found to be valid, and 
the original amount claimed will be due immediately.
    (2) Any settlement agreement may contain a consent order.
    (3) An executed settlement agreement is binding on the respondent 
and the claimant according to its terms. The respondent's consent to a 
settlement agreement that has not been executed by the Assistant 
Administrator may not be withdrawn for a period of 30 days after it is 
executed by the respondent.

[50 FR 40306, Oct. 2, 1985, as amended at 56 FR 10183, Mar. 11, 1991]



Sec. 386.17  Intervention.

    After the matter is called for hearing and before the date set for 
the hearing to begin, any person may petition for leave to intervene. 
The petition is to be served on the administrative law judge. The 
petition must set forth the reasons why the petitioner alleges he/she is 
entitled to intervene. The petition must be served on all parties in 
accordance with Sec. 386.31. Any party may file a response within 10 
days of service of the petition. The administrative law judge shall then 
determine whether to permit or deny the petition. The petition will be 
allowed if the administrative law judge determines that the final 
decision could directly and adversely affect the petitioner or the class 
he/she represents, and if the petitioner may contribute materially to 
the disposition of the proceedings and his/her interest is not 
adequately represented by existing parties. Once admitted, a petitioner 
is a party for the purpose of all subsequent proceedings.



                Subpart C--Compliance and Consent Orders



Sec. 386.21  Compliance order.

    (a) When a respondent contests a Notice of Investigation or fails to 
reply to such notice, the final order disposing of the proceeding may 
contain a compliance order.
    (b) A compliance order shall be executed by the Assistant 
Administrator and shall contain the following:
    (1) A statement of jurisdictional facts;
    (2) Findings of facts, or reference thereto in an accompanying 
decision, as determined by a hearing officer or by the Assistant 
Administrator upon respondent's failure to reply to the notice, which 
establish the violations charged;
    (3) A specific direction to the respondent to comply with the 
regulations violated within time limits provided;

[[Page 982]]

    (4) Other directions to the respondent to take reasonable measures, 
in the time and manner specified, to assure future compliance;
    (5) A statement of the consequences for failure to meet the terms of 
the order;
    (6) Provision that the Notice of Investigation and the final 
decision of the hearing officer or Assistant Administrator may be used 
to construe the terms of the order; and
    (7) A statement that the order constitutes final agency action, 
subject to review as provided in 49 U.S.C. 521(b)(8) for violations of 
regulations issued under the authority of 49 U.S.C. 31502, the Motor 
Carrier Safety Act of 1984 or sections 12002, 12003, 12004, 12005(b), or 
12008(d)(2) of the Commercial Motor Vehicle Safety Act of 1986; or as 
provided in 5 U.S.C. 701 et seq., for violations of regulations issued 
under the authority of 49 U.S.C. 5123 (hazardous materials proceedings) 
or 49 U.S.C. 31138-31139 (financial responsibility proceedings) or 
violations of the commercial regulations.
    (c) Notice of imminent hazard. A compliance order may also contain 
notice that further violations of the same regulations may constitute an 
imminent hazard subjecting respondent to an order under subpart F of 
this part.

[56 FR 10183, Mar. 11, 1991, as amended at 65 FR 7756, Feb. 16, 2000]



Sec. 386.22  Consent order.

    When a respondent has agreed to settlement of a civil forfeiture, 
and at any time before the hearing is concluded, the parties may execute 
an appropriate agreement for disposing of the case by consent for the 
consideration of the Assistant Administrator. The agreement is filed 
with the Assistant Administrator who may (a) accept it, (b) reject it 
and direct that proceedings in the case continue, or (c) take such other 
action as he/she deems appropriate. If the Assistant Administrator 
accepts the agreement, he/she shall enter an order in accordance with 
its terms.

[50 FR 40306, Oct. 2, 1985. Redesignated at 56 FR 10183, Mar. 11, 1991; 
67 FR 61821, Oct. 2, 2002]



Sec. 386.23  Content of consent order.

    (a) Every agreement filed with the Assistant Administrator under 
Sec. 386.22 must contain:
    (1) An order for the disposition of the case in a form suitable for 
the Assistant Administrator's signature that has been signed by the 
respondent;
    (2) An admission of all jurisdictional facts;
    (3) A waiver of further procedural steps, of the requirement that 
the decision or order must contain findings of fact and conclusions of 
law, and of all right to seek judicial review or otherwise challenge or 
contest the validity of the order;
    (4) Provisions that the notice of investigation or settlement 
agreement may be used to construe the terms of the order;
    (5) Provisions that the order has the same force and effect, becomes 
final, and may be modified, altered, or set aside in the same manner as 
other orders issued under 49 U.S.C. Chapters 5, 131-149, 311 and 315;
    (6) Provisions that the agreement will not be part of the record in 
the proceeding unless and until the Assistant Administrator executes it.
    (b) A consent order may also contain any of the provisions 
enumerated in Sec. 386.21--Compliance Order.

[50 FR 40306, Oct. 2, 1985. Redesignated and amended at 56 FR 10183, 
Mar. 11, 1991; 65 FR 7756, Feb. 16, 2000]



                  Subpart D--General Rules and Hearings



Sec. 386.31  Service.

    (a) All service required by these rules shall be by mail or by 
personal delivery. Service by mail is complete upon mailing.
    (b) A certificate of service shall accompany all pleadings, motions, 
and documents when they are tendered for filing, and shall consist of a 
certificate of personal delivery or a certificate of mailing, executed 
by the person making the personal delivery or mailing the document. The 
first pleading of the Government in a proceeding initiated under this 
part shall have attached to it a service list of persons to be served. 
This list shall be updated as necessary.

[[Page 983]]

    (c) Copies of all pleadings, motions, and documents must be served 
on the docket clerk and upon all parties to the proceedings by the 
person filing them, in the number of copies indicated on the 
Government's initial service list.



Sec. 386.32  Computation of time.

    (a) Generally, in computing any time period set out in these rules 
or in an order issued hereunder, the time computation begins with the 
day following the act, event, or default. The last day of the period is 
included unless it is a Saturday, Sunday, or legal Federal holiday in 
which case the time period shall run to the end of the next day that is 
not a Saturday, Sunday, or legal Federal holiday. All Saturdays, 
Sundays, and legal Federal holidays except those falling on the last day 
of the period shall be computed.
    (b) Date of entry of orders. In computing any period of time 
involving the date of the entry of an order, the date of entry shall be 
the date the order is served.
    (c) Computation of time for delivery by mail. (1) Documents are not 
deemed filed until received by the docket clerk. However, when documents 
are filed by mail, 5 days shall be added to the prescribed period.
    (2) Service of all documents is deemed effected at the time of 
mailing.
    (3) Whenever a party has the right or is required to take some 
action within a prescribed period after the service of a pleading, 
notice, or other document upon said party, and the pleading, notice, or 
document is served upon said party by mail, 5 days shall be added to the 
prescribed period.



Sec. 386.33  Extension of time.

    All requests for extensions of time shall be filed with the 
Assistant Administrator or, if the matter has been called for a hearing, 
with the administrative law judge. All requests must state the reasons 
for the request. Only those requests showing good cause will be granted. 
No motion for continuance or postponement of a hearing date filed within 
7 days of the date set for a hearing will be granted unless it is 
accompanied by an affidavit showing that extraordinary circumstances 
warrant a continuance.



Sec. 386.34  Official notice.

    The Assistant Administrator or administrative law judge may take 
official notice of any fact not appearing in evidence if he/she notifies 
all parties he/she intends to do so. Any party objecting to the official 
notice shall file an objection within 10 days after service of the 
notice.



Sec. 386.35  Motions.

    (a) General. An application for an order or ruling not otherwise 
covered by these rules shall be by motion. All motions filed prior to 
the calling of the matter for a hearing shall be to the Assistant 
Administrator. All motions filed after the matter is called for hearing 
shall be to the administrative law judge.
    (b) Form. Unless made during hearing, motions shall be made in 
writing, shall state with particularity the grounds for relief sought, 
and shall be accompanied by affidavits or other evidence relied upon.
    (c) Answers. Except when a motion is filed during a hearing, any 
party may file an answer in support or opposition to a motion, 
accompanied by affidavits or other evidence relied upon. Such answers 
shall be served within 7 days after the motion is served or within such 
other time as the Assistant Administrator or administrative law judge 
may set.
    (d) Argument. Oral argument or briefs on a motion may be ordered by 
the Assistant Administrator or the administrative law judge.
    (e) Disposition. Motions may be ruled on immediately or at any other 
time specified by the administrative law judge or the Assistant 
Administrator.
    (f) Suspension of time. The pendency of a motion shall not affect 
any time limits set in these rules unless expressly ordered by the 
Assistant Administrator or administrative law judge.

[[Page 984]]



Sec. 386.36  Motions to dismiss and motions for a more definite statement.

    (a) Motions to dismiss must be made within the time set for reply or 
petition to review, except motions to dismiss for lack of jurisdiction, 
which may be made at any time.
    (b) Motions for a more definite statement may be made in lieu of a 
reply. The motion must point out the defects complained of and the 
details desired. If the motion is granted, the pleading complained of 
must be remedied within 15 days of the granting of the motion or it will 
be stricken. If the motion is denied, the party who requested the more 
definite statement must file his/her pleading within 10 days after the 
denial.



Sec. 386.37  Discovery methods.

    Parties may obtain discovery by one or more of the following 
methods: Depositions upon oral examination or written questions; written 
interrogatories; production of documents or other evidence for 
inspection and other purposes; physical and mental examinations; and 
requests for admission. Unless the Assistant Administrator or, in cases 
that have been called for a hearing, the administrative law judge orders 
otherwise, the frequency or sequence of these methods is not limited.



Sec. 386.38  Scope of discovery.

    (a) Unless otherwise limited by order of the Assistant Administrator 
or, in cases that have been called for a hearing, the administrative law 
judge, in accordance with these rules, the parties may obtain discovery 
regarding any matter, not privileged, which is relevant to the subject 
matter involved in the proceeding, including the existence, description, 
nature, custody, condition, and location of any books, documents, or 
other tangible things and the identity and location of persons having 
knowledge of any discoverable matter.
    (b) It is not ground for objection that information sought will not 
be admissible at the hearing if the information sought appears 
reasonably calculated to lead to the discovery of admissible evidence.
    (c) A party may obtain discovery of documents and tangible things 
otherwise discoverable under paragraph (a) of this section and prepared 
in anticipation of or for the hearing by or for another party's 
representative (including his or her attorney, consultant, surety, 
indemnitor, insurer, or agent) only upon a showing that the party 
seeking discovery has substantial need of the materials in the 
preparation of his or her case and that he or she is unable without 
undue hardship to obtain the substantial equivalent of the materials by 
other means. In ordering discovery of such materials when the required 
showing has been made, the Assistant Administrator or the administrative 
law judge shall protect against disclosure of the mental impressions, 
conclusions, opinions, or legal theories of an attorney or other 
representative of a party concerning the proceeding.



Sec. 386.39  Protective orders.

    Upon motion by a party or other person from whom discovery is 
sought, and for good cause shown, the Assistant Administrator or the 
administrative law judge, if one has been appointed, may make any order 
which justice requires to protect a party or person from annoyance, 
embarrassment, oppression, or undue burden or expense, including one or 
more of the following:
    (a) The discovery not be had;
    (b) The discovery may be had only on specified terms and conditions, 
including a designation of the time or place;
    (c) The discovery may be had only by a method of discovery other 
than that selected by the party seeking discovery;
    (d) Certain matters not relevant may not be inquired into, or that 
the scope of discovery be limited to certain matters;
    (e) Discovery be conducted with no one present except persons 
designated by the Assistant Administrator or the administrative law 
judge; or
    (f) A trade secret or other confidential research, development, or 
commercial information may not be disclosed or be disclosed only in a 
designated way.



Sec. 386.40  Supplementation of responses.

    A party who has responded to a request for discovery with a response 
that was complete when made is under

[[Page 985]]

no duty to supplement his/her response to include information thereafter 
acquired, except as follows:
    (a) A party is under a duty to supplement timely his/her response 
with respect to any question directly addressed to:
    (1) The identity and location of persons having knowledge of 
discoverable matters; and
    (2) The identity of each person expected to be called as an expert 
witness at the hearing, the subject matter on which he or she is 
expected to testify and the substance of his or her testimony.
    (b) A party is under a duty to amend timely a prior response if he 
or she later obtains information upon the basis of which:
    (1) he or she knows the response was incorrect when made; or
    (2) he or she knows that the response though correct when made is no 
longer true and the circumstances are such that a failure to amend the 
response is in substance a knowing concealment.
    (c) A duty to supplement responses may be imposed by order of the 
Assistant Administrator or the administrative law judge or agreement of 
the parties.



Sec. 386.41  Stipulations regarding discovery.

    Unless otherwise ordered, a written stipulation entered into by all 
the parties and filed with the Assistant Administrator or the 
administrative law judge, if one has been appointed, may:
    (a) Provide that depositions be taken before any person, at any time 
or place, upon sufficient notice, and in any manner, and when so taken 
may be used like other depositions, and
    (b) Modify the procedures provided by these rules for other methods 
of discovery.



Sec. 386.42  Written interrogatories to parties.

    (a) Any party may serve upon any other party written interrogatories 
to be answered in writing by the party served, or if the party served is 
a public or private corporation or a partnership or association or 
governmental agency, by any authorized officer or agent, who shall 
furnish such information as is available to the party. A copy of the 
interrogatories, answers, and all related pleadings shall be served on 
the Assistant Administrator or, in cases that have been called to a 
hearing, on the administrative law judge, and upon all parties to the 
proceeding.
    (b) Each interrogatory shall be answered separately and fully in 
writing under oath or affirmation, unless it is objected to, in which 
event the reasons for objection shall be stated in lieu of an answer. 
The answers and objections shall be signed by the person making them. 
The party upon whom the interrogatories were served shall serve a copy 
of the answer and objections upon all parties to the proceeding within 
30 days after service of the interrogatories, or within such shortened 
or longer period as the Assistant Administrator or the administrative 
law judge may allow.
    (c) An interrogatory otherwise proper is not necessarily 
objectionable merely because an answer to the interrogatory involves an 
opinion or contention that relates to fact or the application of law to 
fact, but the Assistant Administrator or administrative law judge may 
order that such an interrogatory need not be answered until after 
designated discovery has been completed or until a prehearing conference 
or other later time.



Sec. 386.43  Production of documents and other evidence; entry upon land for inspection and other purposes; and physical and mental examination.

    (a) Any party may serve on any other party a request to:
    (1) Produce and permit the party making the request, or a person 
acting on his or her behalf, to inspect and copy any designated 
documents, or to inspect and copy, test, or sample any tangible things 
which are in the possession, custody, or control of the party upon whom 
the request is served; or
    (2) Permit entry upon designated land or other property in the 
possession or control of the party upon whom the request is served for 
the purpose of inspection and measuring, photographing, testing, or for 
other purposes as stated in paragraph (a)(1) of this section.

[[Page 986]]

    (3) Submit to a physical or mental examination by a physician.
    (b) The request may be served on any party without leave of the 
Assistant Administrator or administrative law judge.
    (c) The request shall:
    (1) Set forth the items to be inspected either by individual item or 
category;
    (2) Describe each item or category with reasonable particularity;
    (3) Specify a reasonable time, place, and manner of making the 
inspection and performing the related acts;
    (4) Specify the time, place, manner, conditions, and scope of the 
physical or mental examination and the person or persons by whom it is 
to be made. A report of examining physician shall be made in accordance 
with Rule 35(b) of the Federal Rules of Civil Procedure, title 28, U.S. 
Code, as amended.
    (d) The party upon whom the request is served shall serve on the 
party submitting the request a written response within 30 days after 
service of the request.
    (e) The response shall state, with respect to each item or category:
    (1) That inspection and related activities will be permitted as 
requested; or
    (2) That objection is made in whole or in part, in which case the 
reasons for objection shall be stated.
    (f) A copy of each request for production and each written response 
shall be served on all parties and filed with the Assistant 
Administrator or the administrative law judge, if one has been 
appointed.



Sec. 386.44  Request for admissions.

    (a) Request for admission. (1) Any party may serve upon any other 
party a request for admission of any relevant matter or the authenticity 
of any relevant document. Copies of any document about which an 
admission is requested must accompany the request.
    (2) Each matter for which an admission is requested shall be 
separately set forth and numbered. The matter is admitted unless within 
15 days after service of the request, the party to whom the request is 
directed serves upon the party requesting the admission a written answer 
signed by the party or his/her attorney.
    (3) Each answer must specify whether the party admits or denies the 
matter. If the matter cannot be admitted or denied, the party shall set 
out in detail the reasons.
    (4) A party may not issue a denial or fail to answer on the ground 
that he/she lacks knowledge unless he/she has made reasonable inquiry to 
ascertain information sufficient to allow him/her to admit or deny.
    (5) A party may file an objection to a request for admission within 
10 days after service. Such motion shall be filed with the 
administrative law judge if one has been appointed, otherwise it shall 
be filed with the Assistant Administrator. An objection must explain in 
detail the reasons the party should not answer. A reply to the objection 
may be served by the party requesting the admission within 10 days after 
service of the objection. It is not sufficient ground for objection to 
claim that the matter about which an admission is requested presents an 
issue of fact for hearing.
    (b) Effect of admission. Any matter admitted is conclusively 
established unless the Assistant Administrator or administrative law 
judge permits withdrawal or amendment. Any admission under this rule is 
for the purpose of the pending action only and may not be used in any 
other proceeding.
    (c) If a party refuses to admit a matter or the authenticity of a 
document which is later proved, the party requesting the admission may 
move for an award of expenses incurred in making the proof. Such a 
motion shall be granted unless there was a good reason for failure to 
admit.



Sec. 386.45  Motion to compel discovery.

    (a) If a deponent fails to answer a question propounded or a party 
upon whom a request is made pursuant to Secs. 386.42 through 386.44, or 
a party upon whom interrogatories are served fails to respond adequately 
or objects to the request, or any part thereof, or fails to permit 
inspection as requested, the discovering party may move the Assistant 
Administrator or the administrative law judge, if one has been 
appointed, for an order compelling a response or

[[Page 987]]

inspection in accordance with the request.
    (b) The motion shall set forth:
    (1) The nature of the questions or request;
    (2) The response or objections of the party upon whom the request 
was served; and
    (3) Arguments in support of the motion.
    (c) For purposes of this section, an evasive answer or incomplete 
answer or response shall be treated as a failure to answer or respond.
    (d) In ruling on a motion made pursuant to this section, the 
Assistant Administrator or the administrative law judge, if one has been 
appointed, may make and enter a protective order such as he or she is 
authorized to enter on a motion made pursuant to Sec. 386.39(a).



Sec. 386.46  Depositions.

    (a) When, how, and by whom taken. The deposition of any witness may 
be taken at any stage of the proceeding at reasonable times. Depositions 
may be taken by oral examination or upon written interrogatories before 
any person having power to administer oaths.
    (b) Application. Any party desiring to take the deposition of a 
witness shall indicate to the witness and all other parties the time 
when, the place where, and the name and post office address of the 
person before whom the deposition is to be taken; the name and address 
of each witness; and the subject matter concerning which each such 
witness is expected to testify.
    (c) Notice. Notice shall be given for the taking of a deposition, 
which shall be not less than 5 days written notice when the deposition 
is to be taken within the continental United States and not less than 20 
days written notice when the deposition is to be taken elsewhere.
    (d) Taking and receiving in evidence. Each witness testifying upon 
deposition shall be sworn, and any other party shall have the right to 
cross-examine. The questions propounded and the answers thereto, 
together with all objections made, shall be reduced to writing; read by 
or to, and subscribed by the witness; and certified by the person 
administering the oath. Thereafter, such officer shall seal the 
deposition in an envelope and mail the same by certified mail to the 
Assistant Administrator or the administrative law judge, if one has been 
appointed. Subject to such objections to the questions and answers as 
were noted at the time of taking the deposition and which would have 
been valid if the witness were personally present and testifying, such 
deposition may be read and offered in evidence by the party taking it as 
against any party who was present or represented at the taking of the 
deposition or who had due notice thereof.
    (e) Motion to terminate or limit examination. During the taking of a 
deposition, a party or deponent may request suspension of the deposition 
on grounds of bad faith in the conduct of the examination, oppression of 
a deponent or party or improper questions propounded. The deposition 
will then be adjourned. However, the objecting party or deponent must 
immediately move the Assistant Administrator or administrative law judge 
for a ruling on his or her objections to the deposition conduct or 
proceedings. The Assistant Administrator or administrative law judge may 
then limit the scope or manner of the taking of the deposition.



Sec. 386.47  Use of deposition at hearings.

    (a) Generally. At the hearing, any part or all of a deposition, so 
far as admissible under the rules of evidence, may be used against any 
party who was present or represented at the taking of the deposition or 
who had due notice thereof in accordance with any one of the following 
provisions:
    (1) Any deposition may be used by any party for the purpose of 
contradicting or impeaching the testimony of the deponent as a witness.
    (2) The deposition of expert witnesses, particularly the deposition 
of physicians, may be used by any party for any purpose, unless the 
Assistant Administrator or administrative law judge rules that such use 
would be unfair or a violation of due process.
    (3) The deposition of a party or of anyone who at the time of taking 
the deposition was an officer, director, or duly authorized agent of a 
public or private organization, partnership, or association which is a 
party, may be

[[Page 988]]

used by any other party for any purpose.
    (4) The deposition of a witness, whether or not a party, may be used 
by any party for any purpose if the presiding officer finds:
    (i) That the witness is dead; or
    (ii) That the witness is out of the United States or more than 100 
miles from the place of hearing unless it appears that the absence of 
the witness was procured by the party offering the deposition; or
    (iii) That the witness is unable to attend to testify because of 
age, sickness, infirmity, or imprisonment; or
    (iv) That the party offering the deposition has been unable to 
procure the attendance of the witness by subpoena; or
    (v) Upon application and notice, that such exceptional circumstances 
exist as to make it desirable, in the interest of justice and with due 
regard to the importance of presenting the testimony of witnesses orally 
in open hearing, to allow the deposition to be used.
    (5) If only part of a deposition is offered in evidence by a party, 
any other party may require him or her to introduce all of it which is 
relevant to the part introduced, and any party may introduce any other 
parts.
    (b) Objections to admissibility. Except as provided in this 
paragraph, objection may be made at the hearing to receiving in evidence 
any deposition or part thereof for any reason which would require the 
exclusion of the evidence if the witness were then present and 
testifying.
    (1) Objections to the competency of a witness or to the competency, 
relevancy or materiality of testimony are not waived by failure to make 
them before or during the taking of the deposition, unless the ground of 
the objection is one which might have been obviated or removed if 
presented at that time.
    (2) Errors and irregularities occurring at the oral examination in 
the manner of taking the deposition, in the form of the questions or 
answers, in the oath or affirmation, or in the conduct of parties and 
errors of any kind which might be obviated, removed, or cured if 
promptly presented, are waived unless reasonable objection thereto is 
made at the taking of the deposition.
    (3) Objections to the form or written interrogatories are waived 
unless served in writing upon the party propounding them.
    (c) Effect of taking using depositions. A party shall not be deemed 
to make a person his or her own witness for any purpose by taking his or 
her deposition. The introduction in evidence of the deposition or any 
part thereof for any purpose other than that of contradicting or 
impeaching the deponent makes the deponent the witness of the party 
introducing the deposition, but this shall not apply to the use by any 
other party of a deposition as described in paragraph (a)(2) of this 
section. At the hearing, any party may rebut any relevant evidence 
contained in a deposition whether introduced by him or her or by any 
other party.



Sec. 386.48  Medical records and physicians' reports.

    In cases involving the physical qualifications of drivers, copies of 
all physicians' reports, test results, and other medical records that a 
party intends to rely upon shall be served on all other parties at least 
30 days prior to the date set for a hearing. Except as waived by the 
Director, Office of Truck and Bus Standards and Operations, reports, 
test results and medical records not served under this rule shall be 
excluded from evidence at any hearing.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 65 
FR 7756, Feb. 16, 2000]



Sec. 386.49  Form of written evidence.

    All written evidence shall be submitted in the following forms:
    (a) An affidavit of a person having personal knowledge of the facts 
alleged, or
    (b) Documentary evidence in the form of exhibits attached to an 
affidavit identifying the exhibit and giving its source.



Sec. 386.50  Appearances and rights of witnesses.

    (a) Any party to a proceeding may appear and be heard in person or 
by attorney. A regular employee of a party who appears on behalf of the 
party may be required by the administrative law judge to show his or her 
authority to so appear.

[[Page 989]]

    (b) Any person submits data or evidence in a proceeding governed by 
this part may, upon timely request and payment of costs, procure a copy 
of any document submitted by him/her or of any transcript. Original 
documents, data or evidence may be retained upon permission of the 
administrative law judge or Assistant Administrator upon substitution of 
copy therefor.



Sec. 386.51  Amendment and withdrawal of pleadings.

    (a) Except in instances covered by other rules, anytime more than 15 
days prior to the hearing, a party may amend his/her pleadings by 
serving the amended pleading on the Assistant Administrator or the 
administrative law judge, if one has been appointed, and on all parties. 
Within 15 days prior to the hearing, an amendment shall be allowed only 
at the discretion of the Administrative law judge. When an amended 
pleading is filed, other parties may file a response and objection 
within 10 days.
    (b) A party may withdraw his/her pleading only on approval of the 
administrative law judge or Assistant Administrator.



Sec. 386.52  Appeals from interlocutory rulings.

    Rulings of the administrative law judge may not be appealed to the 
Assistant Administrator prior to his/her consideration of the entire 
proceeding except under exceptional circumstances and with the consent 
of the administrative law judge. In deciding whether to allow appeals, 
the administrative law judge shall determine whether the appeal is 
necessary to prevent undue prejudice to a party or to prevent 
substantial detriment to the public interest.



Sec. 386.53  Subpoenas, witness fees.

    (a) Applications for the issuance of subpoenas must be submitted to 
the Assistant Administrator, or in cases that have been called for a 
hearing, to the administrative law judge. The application must show the 
general relevance and reasonable scope of the evidence sought. Any 
person served with a subpoena may, within 7 days after service, file a 
motion to quash or modify. The motion must be filed with the official 
who approved the subpoena. The filing of a motion shall stay the effect 
of the subpoena until a decision is reached.
    (b) Witnesses shall be entitled to the same fees and mileage as are 
paid witnesses in the courts of the United States. The fees shall be 
paid by the party at whose instance the witness is subpoenaed or 
appears.
    (c) Paragraph (a) of this section shall not apply to the 
Administrator or employees of the FMCSA or to the production of 
documents in their custody. Applications for the attendance of such 
persons or the production of such documents at a hearing shall be made 
to the Assistant Administrator or administrative law judge, if one is 
appointed, and shall set forth the need for such evidence and its 
relevancy.



Sec. 386.54  Administrative law judge.

    (a) Appointment. After the matter is called for hearing, the 
Assistant Administrator shall appoint an administrative law judge.
    (b) Power and duties. The administrative law judge has power to take 
any action and to make all needful rules and regulations to govern the 
conduct of the proceedings to ensure a fair and impartial hearing, and 
to avoid delay in the disposition of the proceedings. The powers of the 
administrative law judge include the following:
    (1) To administer oaths and affirmations;
    (2) To issue orders permitting inspection and examination of lands, 
buildings, equipment, and any other physical thing and the copying of 
any document;
    (3) To issue subpoenas for the attendance of witnesses and the 
production of evidence as authorized by law;
    (4) To rule on offers of proof and receive evidence;
    (5) To regulate the course of the hearing and the conduct of 
participants in it;
    (6) To consider and rule upon all procedural and other motions, 
including motions to dismiss, except motions which, under this part, are 
made directly to the Assistant Administrator;

[[Page 990]]

    (7) To hold conferences for settlement, simplification of issues, or 
any other proper purpose;
    (8) To make and file decisions; and
    (9) To take any other action authorized by these rules and permitted 
by law.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 66 
FR 49872, Oct. 1, 2001]



Sec. 386.55  Prehearing conferences.

    (a) Convening. At any time before the hearing begins, the 
administrative law judge, on his/her own motion or on motion by a party, 
may direct the parties or their counsel to participate with him/her in a 
prehearing conference to consider the following:
    (1) Simplification and clarification of the issues;
    (2) Necessity or desirability of amending pleadings;
    (3) Stipulations as to the facts and the contents and authenticity 
of documents;
    (4) Issuance of and responses to subpoenas;
    (5) Taking of depositions and the use of depositions in the 
proceedings;
    (6) Orders for discovery, inspection and examination of premises, 
production of documents and other physical objects, and responses to 
such orders;
    (7) Disclosure of the names and addresses of witnesses and the 
exchange of documents intended to be offered in evidence; and
    (8) Any other matter that will tend to simplify the issues or 
expedite the proceedings.
    (b) Order. The administrative law judge shall issue an order which 
recites the matters discussed, the agreements reached, and the rulings 
made at the prehearing conference. The order shall be served on the 
parties and filed in the record of the proceedings.



Sec. 386.56  Hearings.

    (a) As soon as practicable after his/her appointment, the 
administrative law judge shall issue an order setting the date, time, 
and place for the hearing. The order shall be served on the parties and 
become a part of the record of the proceedings. The order may be amended 
for good cause shown.
    (b) Conduct of hearing. The administrative law judge presides over 
the hearing. Hearings are open to the public unless the administrative 
law judge orders otherwise.
    (c) Evidence. Except as otherwise provided in these rules and the 
Administrative Procedure Act, 5 U.S.C. 551 et seq., the Federal Rules of 
Evidence shall be followed.
    (d) Information obtained by investigation. Any document, physical 
exhibit, or other material obtained by the Administration in an 
investigation under its statutory authority may be disclosed by the 
Administration during the proceeding and may be offered in evidence by 
counsel for the Administration.
    (e) Record. The hearing shall be stenographically transcribed and 
reported. The transcript, exhibits, and other documents filed in the 
proceedings shall constitute the official record of the proceedings. A 
copy of the transcript and exhibits will be made available to any person 
upon payment of prescribed costs.



Sec. 386.57  Proposed findings of fact, conclusions of law.

    The administrative law judge shall afford the parties reasonable 
opportunity to submit proposed findings of fact, conclusions of law, and 
supportng reasons therefor. If the administrative law judge orders 
written proposals and arguments, each proposed finding must include a 
citation to the specific portion of the record relied on to support it. 
Written submissions, if any, must be served within the time period set 
by the administrative law judge.



Sec. 386.58  Burden of proof.

    (a) Enforcement cases. The burden of proof shall be on the 
Administration in enforcement cases.
    (b) Conflict of medical opinion. The burden of proof in cases 
arising under Sec. 391.47 of this chapter shall be on the party 
petitioning for review under Sec. 386.13(a).



                           Subpart E--Decision



Sec. 386.61  Decision.

    After receiving the proposed findings of fact, conclusions of law, 
and arguments of the parties, the administrative law judge shall issue a 
decision. If

[[Page 991]]

the proposed findings of fact, conclusions of law, and arguments were 
oral, he/she may issue an oral decision. The decision of the 
administrative law judge becomes the final decision of the Assistant 
Administrator 45 days after it is served unless a petition or motion for 
review is filed under Sec. 386.62. The decision shall be served on all 
parties and on the Assistant Administrator.



Sec. 386.62  Review of administrative law judge's decision.

    (a) All petitions to review must be accompanied by exceptions and 
briefs. Each petition must set out in detail objections to the initial 
decision and shall state whether such objections are related to alleged 
errors of law or fact. It shall also state the relief requested. Failure 
to object to any error in the initial decision shall waive the right to 
allege such error in subsequent proceedings.
    (b) Reply briefs may be filed within 30 days after service of the 
appeal brief.
    (c) No other briefs shall be permitted except upon request of the 
Assistant Administrator.
    (d) Copies of all briefs must be served on all parties.
    (e) No oral argument will be permitted except on order of the 
Assistant Administrator.



Sec. 386.63  Decision on review.

    Upon review of a decision, the Assistant Administrator may adopt, 
modify, or set aside the administrative law judge's findings of fact and 
conclusions of law. He/she may also remand proceedings to the 
administrative law judge with instructions for such further proceedings 
as he/she deems appropriate. If not remanded, the Assistant 
Administrator shall issue a final order disposing of the proceedings, 
and serve it on all parties.



Sec. 386.64  Reconsideration.

    Within 20 days after the Assistant Administrator's final order is 
issued, any party may petition the Assistant Administrator for 
reconsideration of his/her findings of fact, conclusions of law, or 
final order. The filing of a petition for reconsideration does not stay 
the effectiveness of the final order unless the Assistant Administrator 
so orders.



Sec. 386.65  Failure to comply with final order.

    If, within 30 days of receipt of a final agency order issued under 
this part, the respondent does not submit in writing his/her acceptance 
of the terms of an order directing compliance, or, where appropriate, 
pay a civil penalty, or file an appeal under Sec. 386.67, the case may 
be referred to the Attorney General with a request that an action be 
brought in the appropriate United States District Court to enforce the 
terms of a compliance order or collect the civil penalty.



Sec. 386.66  Motions for rehearing or for modification.

    (a) No motion for rehearing or for modification of an order shall be 
entertained for 1 year following the date the Assistant Administrator's 
order goes into effect. After 1 year, any party may file a motion with 
the Assistant Administrator requesting a rehearing or modification of 
the order. The motion must contain the following:
    (1) A copy of the order about which the change is requested;
    (2) A statement of the changed circumstances justifying the request; 
and
    (3) Copies of all evidence intended to be relied on by the party 
submitting the motion.
    (b) Upon receipt of the motion, the Assistant Administrator may make 
a decision denying the motion or modifying the order in whole or in 
part. He/she may also, prior to making his/her decision, order such 
other proceedings under these rules as he/she deems necessary and may 
request additional information from the party making the motion.



Sec. 386.67  Appeal.

    Any aggrieved person, who, after a hearing, is adversely affected by 
a final order issued under 49 U.S.C. 521 may, within 30 days, petition 
for review of the order in the United States Court of Appeals in the 
circuit wherein the violation is alleged to have occurred or where the 
violator has his/her principal place of business or residence, or in the 
United States Court of Appeals for the

[[Page 992]]

District of Columbia Circuit. Review of the order shall be based on a 
determination of whether the Assistant Administrator's findings and 
conclusions were supported by substantial evidence, or were otherwise 
not in accordance with law. No objection that has not been urged before 
the Assistant Administrator shall be considered by the court, unless 
reasonable grounds existed for failure or neglect to do so. The 
commencement of proceedings under this section shall not, unless ordered 
by the court, operate as a stay of the order of the Assistant 
Administrator.



               Subpart F--Injunctions and Imminent Hazards



Sec. 386.71  Injunctions.

    Whenever it is determined that a person has engaged, or is about to 
engage, in any act or practice constituting a violation of section 31502 
of title 49, United States Code, or the Motor Carrier Safety Act of 
1984, or the Hazardous Materials Transportation Act, or any regulation 
or order issued under that section or those Acts for which the Federal 
Motor Carrier Safety Administrator exercises enforcement responsibility, 
the Chief Counsel or the Assistant Chief Counsel for Motor Carrier and 
Highway Safety Law may request the United States Attorney General to 
bring an action in the appropriate United States District Court for such 
relief as is necessary or appropriate, including mandatory or 
prohibitive injunctive relief, interim equitable relief, and punitive 
damages, as provided by section 213(c) of the Motor Carrier Safety Act 
of 1984 and section 111(a) of the Hazardous Materials Transportation Act 
(49 U.S.C. 507(c), 5122).

[50 FR 40306, Oct. 2, 1985, as amended at 65 FR 7756, Feb. 16, 2000; 67 
FR 61821, Oct. 2, 2002]



Sec. 386.72  Imminent hazard.

    (a) Whenever it is determined that an imminent hazard exists as a 
result of the transportation by motor vehicle of a particular hazardous 
material, the Chief Counsel or Deputy Chief Counsel of the FMCSA may 
bring, or request the United States Attorney General to bring, an action 
in the appropriate United States District Court for an order suspending 
or restricting the transportation by motor vehicle of the hazardous 
material or for such other order as is necessary to eliminate or 
ameliorate the imminent hazard, as provided by 49 U.S.C. 5122. In this 
paragraph, ``imminent hazard'' means the existence of a condition that 
presents a substantial likelihood that death, serious illness, severe 
personal injury, or a substantial endangerment to health, property, or 
the environment may occur before a notice of investigation proceeding, 
or other administrative hearing or formal proceeding, to abate the risk 
of harm can be completed.
    (b)(1) Whenever it is determined that a violation of 49 U.S.C. 31502 
or the Motor Carrier Safety Act of 1984, as amended, or the Commercial 
Motor Vehicle Safety Act of 1986, as amended, or a regulation issued 
under such section or Acts, or a combination of such violations, poses 
an imminent hazard to safety, the Director of the Office of Enforcement 
and Compliance or a State Director, or his or her delegate, shall order 
a vehicle or employee operating such vehicle out of service, or order an 
employer to cease all or part of the employer's commercial motor vehicle 
operations, as provided by 49 U.S.C. 521(b)(5). In making any such 
order, no restrictions shall be imposed on any employee or employer 
beyond that required to abate the hazard. In this paragraph, ``imminent 
hazard'' means any condition of vehicle, employee, or commercial motor 
vehicle operations which substantially increases the likelihood of 
serious injury or death if not discontinued immediately.
    (2) Upon the issuance of an order under paragraph (b)(1) of this 
section, the motor carrier employer or driver employee shall comply 
immediately with such order. Opportunity for review shall be provided in 
accordance with 5 U.S.C. 554, except that such review shall occur not 
later than 10 days after issuance of such order, as provided by section 
213(b) of the Motor Carrier Safety Act of 1984 (49 U.S.C. 521(b)(5)). An 
order to an employer to cease all or part of its operations shall not 
prevent vehicles in transit at the

[[Page 993]]

time the order is served from proceeding to their immediate 
destinations, unless any such vehicle or its driver is specifically 
ordered out of service forthwith. However, vehicles and drivers 
proceeding to their immediate destination shall be subject to compliance 
upon arrival.
    (3) For purposes of this section the term ``immediate destination'' 
is the next scheduled stop of the vehicle already in motion where the 
cargo on board can be safely secured.
    (4) Failure to comply immediately with an order issued under this 
section shall subject the motor carrier employer or driver to penalties 
prescribed in subpart G of this part.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 53 
FR 50970, Dec. 19, 1988; 56 FR 10184, Mar. 11, 1991; 65 FR 7756, Feb. 
16, 2000; 65 FR 58664, Oct. 2, 2000]



                          Subpart G--Penalties

    Source: 56 FR 10184, Mar. 11, 1991, unless otherwise noted.



Sec. 386.81  General.

    (a) The amounts of civil penalties that can be assessed for 
regulatory violations subject to the proceedings in this subchapter are 
established in the statutes granting enforcement powers. The 
determination of the actual civil penalties assessed in each proceeding 
is based on those defined limits or minimums and consideration of 
information available at the time the claim is made concerning the 
nature, gravity of the violation and, with respect to the violator, the 
degree of culpability, history of prior offenses, ability to pay, effect 
on ability to continue to do business, and such other matters as justice 
and public safety may require. In addition to these factors, a civil 
penalty assessed under 49 U.S.C. 14901(a) and (d) concerning household 
goods is also based on the degree of harm caused to a shipper and 
whether the shipper has been adequately compensated before institution 
of the civil penalty proceeding. In adjudicating the claims and orders 
under the administrative procedures herein, additional information may 
be developed regarding these factors that may affect the final amount of 
the claim.
    (b) When assessing penalties for violations of notices and orders or 
settling claims based on these assessments, consideration will be given 
to good faith efforts to achieve compliance with the terms of the 
notices and orders.

[56 FR 10184, Mar. 11, 1991, as amended at 65 FR 7756, Feb. 16, 2000]



Sec. 386.82  Civil penalties for violations of notices and orders.

    (a) Additional civil penalties are chargeable for violations of 
notices and orders which are issued under civil forfeiture proceedings 
pursuant to 49 U.S.C. 521(b). These notices and orders are as follows:
    (1) Notice to abate--Sec. 386.11 (b)(2) and (c)(1)(iv);
    (2) Notice to post--Sec. 386.11(b)(3);
    (3) Final order--Sec. 386.14(f); and
    (4) Out-of-service order--Sec. 386.72(b)(1).
    (b) A schedule of these additional penalties is provided in the 
appendix A to this part. All the penalties are maximums, and discretion 
will be retained to meet special circumstances by setting penalties for 
violations of notices and orders, in some cases, at less than the 
maximum.
    (c) Claims for penalties provided in this section and in the 
appendix A to this part shall be made through the civil forfeiture 
proceedings contained in this part. The issues to be decided in such 
proceedings will be limited to whether violations of notices and orders 
occurred as claimed and the appropriate penalty for such violations. 
Nothing contained herein shall be construed to authorize the reopening 
of a matter already finally adjudicated under this part.

[56 FR 10184, Mar. 11, 1991, as amended at 67 FR 61821, Oct. 2, 2002]



Sec. 386.83  Sanction for failure to pay civil penalties or abide by payment plan; operation in interstate commerce prohibited.

    (a)(1) General rule. A CMV owner or operator that fails to pay a 
civil penalty in full within 90 days after the date specified for 
payment by the FMCSA's final agency order is prohibited from operating 
in interstate commerce starting on the next (i.e., the 91st) day. The 
prohibition continues

[[Page 994]]

until the FMCSA has received full payment of the penalty.
    (2) Civil penalties paid in installments. The FMCSA Service Center 
may allow a CMV owner or operator to pay a civil penalty in 
installments. If the CMV owner or operator fails to make an installment 
payment on schedule, the payment plan is void and the entire debt is 
payable immediately. A CMV owner or operator that fails to pay the full 
outstanding balance of its civil penalty within 90 days after the date 
of the missed installment payment, is prohibited from operating in 
interstate commerce on the next (i.e., the 91st) day. The prohibition 
continues until the FMCSA has received full payment of the entire 
penalty.
    (3) Appeals to Federal Court. If the CMV owner or operator appeals 
the final agency order to a Federal Circuit Court of Appeals, the terms 
and payment due date of the final agency order are not stayed unless the 
Court so directs.
    (b) Show Cause Proceeding. (1) The FMCSA will notify a CMV owner or 
operator in writing if it has not received payment within 45 days after 
the date specified for payment by the final agency order or the date of 
a missed installment payment. The notice will include a warning that 
failure to pay the entire penalty within 90 days after payment was due, 
will result in the CMV owner or operator being prohibited from operating 
in interstate commerce.
    (2) The notice will order the CMV owner or operator to show cause 
why it should not be prohibited from operating in interstate commerce on 
the 91st day after the date specified for payment. The prohibition may 
be avoided only by submitting to the Chief Safety Officer:
    (i) Evidence that the respondent has paid the entire amount due; or
    (ii) Evidence that the respondent has filed for bankruptcy under 
chapter 11, title 11, United States Code. Respondents in bankruptcy must 
also submit the information required by paragraph (d) of this section.
    (3) The notice will be delivered by certified mail or commercial 
express service. If a CMV owner's or operator's principal place of 
business is in a foreign country, the notice will be delivered to the 
CMV owner's or operator's designated agent.
    (c) A CMV owner or operator that continues to operate in interstate 
commerce in violation of this section may be subject to additional 
sanctions under paragraph IV (h) of appendix A to part 386.
    (d) This section does not apply to any person who is unable to pay a 
civil penalty because the person is a debtor in a case under chapter 11, 
title 11, United States Code. CMV owners or operators in bankruptcy 
proceedings under chapter 11 must provide the following information in 
their response to the FMCSA:
    (1) The chapter of the Bankruptcy Code under which the bankruptcy 
proceeding is filed (i.e., chapter 7 or 11);
    (2) The bankruptcy case number;
    (3) The court in which the bankruptcy proceeding was filed; and
    (4) Any other information requested by the agency to determine a 
debtor's bankruptcy status.

[65 FR 78428, Dec. 15, 2000]



Sec. 386.84  Sanction for failure to pay civil penalties or abide by payment plan; suspension or revocation of registration.

    (a)(1) General rule. The registration of a broker, freight 
forwarder, or for-hire motor carrier that fails to pay a civil penalty 
in full within 90 days after the date specified for payment by the 
FMCSA's final agency order, will be suspended starting on the next 
(i.e., the 91st) day. The suspension continues until the FMCSA has 
received full payment of the penalty.
    (2) Civil penalties paid in installments. The FMCSA Service Center 
may allow a respondent broker, freight forwarder, or for-hire motor 
carrier to pay a civil penalty in installments. If the respondent fails 
to make an installment payment on schedule, the payment plan is void and 
the entire debt is payable immediately. The registration of a respondent 
that fails to pay the remainder of its civil penalty in full within 90 
days after the date of the missed installment payment, is suspended on 
the next (i.e., the 91st) day. The suspension continues until the FMCSA 
has received full payment of entire penalty.

[[Page 995]]

    (3) Appeals to Federal Court. If the respondent broker, freight 
forwarder, or for-hire motor carrier appeals the final agency order to a 
Federal Circuit Court of Appeals, the terms and payment due date of the 
final agency order are not stayed unless the Court so directs.
    (b) Show Cause Proceeding. (1) The FMCSA will notify a respondent 
broker, freight forwarder, or for-hire motor carrier in writing if it 
has not received payment within 45 days after the date specified for 
payment by the final agency order or the date of a missed installment 
payment. The notice will include a warning that failure to pay the 
entire penalty within 90 days after payment was due, will result in the 
suspension of the respondent's registration.
    (2) The notice will order the respondent to show cause why its 
registration should not be suspended on the 91st day after the date 
specified for payment. The prohibition may be avoided only by submitting 
to the Chief Safety Officer:
    (i) Evidence that the respondent has paid the entire amount due; or
    (ii) Evidence that the respondent has filed for bankruptcy under 
chapter 11, title 11, United States Code. Respondents in bankruptcy must 
also submit the information required by paragraph (d) of this section.
    (3) The notice will be delivered by certified mail or commercial 
express service. If a respondent's principal place of business is in a 
foreign country, it will be delivered to the respondent's designated 
agent.
    (c) The registration of a broker, freight forwarder or for-hire 
motor carrier that continues to operate in interstate commerce in 
violation of this section after its registration has been suspended may 
be revoked after an additional notice and opportunity for a proceeding 
in accordance with 49 U.S.C. 13905(c). Additional sanctions may be 
imposed under paragraph IV (h) of appendix A to part 386.
    (d) This section does not apply to any person who is unable to pay a 
civil penalty because the person is a debtor in a case under chapter 11, 
title 11, United States Code. Brokers, freight forwarders, or for-hire 
motor carriers in bankruptcy proceedings under chapter 11 must provide 
the following information in their response to the FMCSA:
    (1) The chapter of the Bankruptcy Code under which the bankruptcy 
proceeding is filed (i.e., chapter 7 or 11);
    (2) The bankruptcy case number;
    (3) The court in which the bankruptcy proceeding was filed; and
    (4) Any other information requested by the agency to determine a 
debtor's bankruptcy status.

[65 FR 78428, Dec. 15, 2000]

  Appendix A to Part 386--Penalty Schedule; Violations of Notices and 
                                 Orders

                           I. Notice to Abate

    a. Violation--failure to cease violations of the regulations in the 
time prescribed in the notice.

(The time within which to comply with a notice to abate shall not begin 
to run with respect to contested violations, i.e., where there are 
material issues in dispute under Sec. 386.14, until such time as the 
violation has been established.)

    Penalty--reinstatement of any deferred assessment or payment of a 
penalty or portion thereof.
    b. Violation--failure to comply with specific actions prescribed in 
a notice of investigation, compliance order or consent order, other than 
cessation of violations of the regulations, which were determined to be 
essential to abatement of future violations.
    Penalty--$2,100 per violation per day.
    Maximum--$16,000.

                           II. Notice to Post

    Violation-- Failure to post notice of violation (i.e., notice of 
investigation) as prescribed.
    Penalty--$650 (A separate violation may be charged each time a 
failure to post as ordered is discovered.)

                            III. Final Order

    Violation-- Failure to comply with final agency order, i.e., failure 
to pay the penalty assessed therein after notice and opportunity for 
hearing within time prescribed in the order.
    Penalty-- Automatic waiver of any reduction in the original claim 
found to be valid, and immediate restoration to the full amount assessed 
in the Claim Letter or Notice of Investigation.

                        IV. Out-of-Service Order

    a. Violation-- Operation of a commercial vehicle by a driver during 
the period the driver was placed out of service.

[[Page 996]]

    Penalty-- Up to $2,100 per violation.

(For purposes of this violation, the term ``driver'' means an operator 
of a commercial motor vehicle, including an independent contractor who, 
while in the course of operating a commercial motor vehicle, is employed 
or used by another person.)

    b. Violation--Requiring or permitting a driver to operate a 
commercial vehicle during the period the driver was placed out of 
service.
    Penalty-- Up to $16,000 per violation.

(This violation applies to motor carriers, including an independent 
contractor who is not a ``driver,'' as defined under paragraph IVa 
above.)
    c. Violation-- Operation of a commercial motor vehicle by a driver 
after the vehicle was placed out of service and before the required 
repairs are made.
    Penalty--$2,100 each time the vehicle is so operated.

(This violation applies to drivers as defined in IVa above.)

    d. Violation-- Requiring or permitting the operation of a commercial 
motor vehicle placed out of service before the required repairs are 
made.
    Penalty-- Up to $16,000 each time the vehicle is so operated after 
notice of the defect is received.

(This violation applies to motor carriers, including an independent 
owner-operator who is not a ``driver,'' as defined in IVa above.)

    e. Violation-- Failure to return written certification of correction 
as required by the out-of-service order.
    Penalty-- Up to $650 per violation.
    f. Violation-- Knowingly falsifies written certification of 
correction required by the out-of-service order.
    Penalty-- Considered the same as the violations described in 
paragraphs IVc and IVd above, and subject to the same penalties.

    Note: Falsification of certification may also result in criminal 
prosecution under 18 U.S.C. 1001.

    g. Violation-- Operating in violation of an order issued under 
Sec. 386.72(b) to cease all or part of the employer's commercial motor 
vehicle operations, i.e., failure to cease operations as ordered.
    Penalty-- Up to $16,000 per day the operation continues after the 
effective date and time of the order to cease.
    h. Violation--Conducting operations during a period of suspension 
under Secs. 386.83 or 386.84 for failure to pay penalties.
    Penalty--Up to $11,000 for each day that operations are conducted 
during the suspension period.

[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 
65 FR 78429, Dec. 15, 2000; 68 FR 15383, Mar. 31, 2003]

    Appendix B to Part 386--Penalty Schedule; Violations and Maximum 
                           Monetary Penalties

    The Debt Collection Improvement Act of 1996 [Public Law 104-134, 
title III, chapter 10, Sec. 31001, par. (s), 110 Stat. 1321-373] amended 
the Federal Civil Penalties Inflation Adjustment Act of 1990 to require 
agencies to adjust for inflation ``each civil monetary penalty provided 
by law within the jurisdiction of the Federal agency * * *'' and to 
publish that regulation in the Federal Register. Pursuant to that 
authority, the inflation-adjusted civil penalties listed in paragraphs 
(a) through (g) of this appendix supersede the corresponding civil 
penalty amounts listed in title 49, United States Code.
    What are the types of violations and maximum monetary penalties?
    (a) Violations of the Federal Motor Carrier Safety Regulations 
(FMCSRs).
    (1) Recordkeeping. A person or entity that fails to prepare or 
maintain a record required by parts 385 and 390-399 of this subchapter, 
or prepares or maintains a required record that is incomplete, 
inaccurate, or false, is subject to a maximum civil penalty of $550 for 
each day the violation continues, up to $5,500.
    (2) Knowing falsification of records. A person or entity that 
knowingly falsifies, destroys, mutilates or changes a report or record 
required by parts 385 and 390-399 of this subchapter, knowingly makes or 
causes to be made a false or incomplete record about an operation or 
business fact or transaction, or knowingly makes, prepares, or preserves 
a record in violation of a regulation or order of the Secretary is 
subject to a maximum civil penalty of $5,500 if such action 
misrepresents a fact that constitutes a violation other than a reporting 
or recordkeeping violation.
    (3) Non-recordkeeping violations. A person or entity who violates 
parts 385 or 390-399 of this subchapter, except a recordkeeping 
requirement, is subject to a civil penalty not to exceed $11,000 for 
each violation.
    (4) Non-recordkeeping violations by drivers. A driver who violates 
parts 385 and 390-399 of this subchapter, except a recordkeeping 
violation, is subject to a civil penalty not to exceed $2,750.
    (5) Violation of 49 CFR 392.5. A driver placed out of service for 24 
hours for violating the alcohol prohibitions of 49 CFR 392.5(a) or (b) 
who drives during that period is subject to a civil penalty not to 
exceed $3,750 for each violation.
    (b) Commercial driver's license (CDL) violations. Any person who 
violates 49 CFR part 383, subparts B, C, E, F, G, or H is subject to a 
civil penalty of $3,750.
    (c) Special penalties pertaining to violations of out-of-service 
orders by CDL-holders. A CDL-holder who is convicted of violating an 
out-of-service order shall be subject to a civil

[[Page 997]]

penalty of not less than $2,100 nor more than $3,750. An employer of a 
CDL-holder who knowingly allows, requires, permits, or authorizes that 
employee to operate a CMV during any period in which the CDL-holder is 
subject to an out-of-service order, is subject to a civil penalty of not 
less than $3,750 or more than $16,000.
    (d) Financial responsibility violations. A motor carrier that fails 
to maintain the levels of financial responsibility prescribed by Part 
387 of this subchapter is subject to a maximum penalty of $16,000 for 
each violation. Each day of a continuing violation constitutes a 
separate offense.
    (e) Violations of the Hazardous Materials Regulations (HMRs). This 
paragraph applies to violations by motor carriers, drivers, shippers and 
other persons who transport hazardous materials on the highway in 
commercial motor vehicles or cause hazardous materials to be so 
transported.
    (1) All knowing violations of 49 U.S.C. chapter 51 or orders or 
regulations issued under the authority of that chapter applicable to the 
transportation or shipment of hazardous materials by commercial motor 
vehicle on highways are subject to a civil penalty of not less than $275 
and not more than $32,500 for each violation. Each day of a continuing 
violation constitutes a separate offense.
    (2) All knowing violations of 49 U.S.C. chapter 51 or orders, 
regulations, or exemptions issued under the authority of that chapter 
applicable to the manufacture, fabrication, marking, maintenance, 
reconditioning, repair or testing of a packaging or container which is 
represented, marked, certified or sold as being qualified for use in the 
transportation or shipment of hazardous materials by commercial motor 
vehicle on highways, are subject to a civil penalty of not less than 
$275 and not more than $32,500 for each violation.
    (3) Whenever regulations issued under the authority of 49 U.S.C. 
chapter 51 require compliance with the FMCSRs while transporting 
hazardous materials, any violations of the FMCSRs will be considered a 
violation of the HMRs and subject to a civil penalty of not less than 
$275 and not more than $32,500.
    (f) Operating after being declared unfit by assignment of a final 
unsatisfactory safety rating. A motor carrier operating a commercial 
motor vehicle in interstate commerce after receiving a final 
unsatisfactory safety rating is subject to a civil penalty of not more 
than $11,000 (49 CFR 385.13). Each day the transportation continues 
constitutes a separate offense.
    (g) Violations of the commercial regulations (CRs). Penalties for 
violations of the CRs are specified in 49 U.S.C. Chapter 149. These 
penalties relate to transportation subject to the Secretary's 
jurisdiction under 49 U.S.C. Chapter 135. Unless otherwise noted, a 
separate violation occurs for each day the violation continues.
    (1) A person who fails to make a report, to specifically, 
completely, and truthfully answer a question, or to make, prepare, or 
preserve a record in the form and manner prescribed is liable for a 
minimum penalty of $550 per violation.
    (2) A person who operates as a carrier or broker for the 
transportation of property in violation of the registration requirements 
of 49 U.S.C. 13901 is liable for a minimum penalty of $550 per 
violation.
    (3) A person who operates as a motor carrier of passengers in 
violation of the registration requirements of 49 U.S.C. 13901 is liable 
for a minimum penalty of $2,200 per violation.
    (4) A person who operates as a foreign motor carrier or foreign 
motor private carrier in violation of the provisions of 49 U.S.C. 13902 
(c) is liable for a minimum penalty of $550 per violation.
    (5) A person who operates as a foreign motor carrier or foreign 
motor private carrier without authority, before the implementation of 
the land transportation provisions of the North American Free Trade 
Agreement, outside the boundaries of a commercial zone along the United 
States-Mexico border is liable for a maximum penalty of $11,000 for an 
intentional violation and a maximum penalty of $27,500 for a pattern of 
intentional violations.
    (6) A person who operates as a motor carrier or broker for the 
transportation of hazardous wastes in violation of the registration 
provisions of 49 U.S.C. 13901 is liable for a maximum penalty of $22,000 
per violation.
    (7) A motor carrier or freight forwarder of household goods, or 
their receiver or trustee, that does not comply with any regulation 
relating to the protection of individual shippers is liable for a 
minimum penalty of $1,100 per violation.
    (8) A person--
    (i) Who falsifies, or authorizes an agent or other person to 
falsify, documents used in the transportation of household goods by 
motor carrier or freight forwarder to evidence the weight of a shipment 
or
    (ii) Who charges for services which are not performed or are not 
reasonably necessary in the safe and adequate movement of the shipment 
is liable for a minimum penalty of $2,200 for the first violation and 
$5,500 for each subsequent violation.
    (9) A person who knowingly accepts or receives from a carrier a 
rebate or offset against the rate specified in a tariff required under 
49 U.S.C. 13702 for the transportation of property delivered to the 
carrier commits a violation for which the penalty is equal to three 
times the amount accepted as a rebate or offset and three times the 
value of other

[[Page 998]]

consideration accepted or received as a rebate or offset for the six-
year period before the action is begun.
    (10) A person who offers, gives, solicits, or receives 
transportation of property by a carrier at a different rate than the 
rate in effect under 49 U.S.C. 13702 is liable for a maximum penalty of 
$110,000 per violation. When acting in the scope of his/her employment, 
the acts or omissions of a person acting for or employed by a carrier or 
shipper are considered to be the acts and omissions of that carrier or 
shipper, as well as that person.
    (11) Any person who offers, gives, solicits, or receives a rebate or 
concession related to motor carrier transportation subject to 
jurisdiction under subchapter I of 49 U.S.C. Chapter 135, or who assists 
or permits another person to get that transportation at less than the 
rate in effect under 49 U.S.C. 13702, commits a violation for which the 
penalty is $200 for the first violation and $275 for each subsequent 
violation.
    (12) A freight forwarder, its officer, agent, or employee, that 
assists or willingly permits a person to get service under 49 U.S.C. 
13531 at less than the rate in effect under 49 U.S.C. 13702 commits a 
violation for which the penalty is up to $550 for the first violation 
and up to $2,200 for each subsequent violation.
    (13) A person who gets or attempts to get service from a freight 
forwarder under 49 U.S.C. 13531 at less than the rate in effect under 49 
U.S.C. 13702 commits a violation for which the penalty is up to $550 for 
the first violation and up to $2,200 for each subsequent violation.
    (14) A person who knowingly authorizes, consents to, or permits a 
violation of 49 U.S.C. 14103 relating to loading and unloading motor 
vehicles or who knowingly violates subsection (a) of 49 U.S.C. 14103 is 
liable for a penalty of not more than $11,000 per violation.
    (15) A person, or an officer, employee, or agent of that person, who 
tries to evade regulation under Part B of Subtitle IV, Title 49, U.S.C., 
for carriers or brokers is liable for a penalty of $220 for the first 
violation and at least $275 for a subsequent violation.
    (16) A person required to make a report to the Secretary, answer a 
question, or make, prepare, or preserve a record under Part B of 
Subtitle IV, Title 49, U.S.C., or an officer, agent, or employee of that 
person, is liable for a maximum penalty of $5,500 per violation if it 
does not make the report, does not completely and truthfully answer the 
question within 30 days from the date the Secretary requires the answer, 
does not make or preserve the record in the form and manner prescribed, 
falsifies, destroys, or changes the report or record, files a false 
report or record, makes a false or incomplete entry in the record about 
a business related fact, or prepares or preserves a record in violation 
of a regulation or order of the Secretary.
    (17) A motor carrier, water carrier, freight forwarder, or broker, 
or their officer, receiver, trustee, lessee, employee, or other person 
authorized to receive information from them, who discloses information 
identified in 49 U.S.C. 14908 without the permission of the shipper or 
consignee is liable for a maximum penalty of $2,200.
    (18) A person who violates a provision of Part B, Subtitle IV, Title 
49, U.S.C., or a regulation or order under Part B, or who violates a 
condition of registration related to transportation that is subject to 
jurisdiction under subchapter I or III or Chapter 135, or who violates a 
condition of registration of a foreign motor carrier or foreign motor 
private carrier under section 13902, is liable for a penalty of $550 for 
each violation if another penalty is not provided in 49 U.S.C. Chapter 
149.
    (19) A violation of Part B, Subtitle IV, Title 49, U.S.C., committed 
by a director, officer, receiver, trustee, lessee, agent, or employee of 
a carrier that is a corporation is also a violation by the corporation 
to which the penalties of Chapter 149 apply. Acts and omissions of 
individuals acting in the scope of their employment with a carrier are 
considered to be the actions and omissions of the carrier as well as the 
individual.
    (20) In a proceeding begun under 49 U.S.C. 14902 or 14903, the rate 
that a carrier publishes, files, or participates in under section 13702 
is conclusive proof against the carrier, its officers, and agents that 
it is the legal rate for the transportation or service. Departing, or 
offering to depart, from that published or filed rate is a violation of 
49 U.S.C. 14902 and 14903.

[63 FR 12414, Mar. 13, 1998, as amended at 65 FR 7756, Feb. 16,, 2000; 
67 FR 61821, Oct. 2, 2002; 68 FR 15383, Mar. 31, 2003]



PART 387--MINIMUM LEVELS OF FINANCIAL RESPONSIBILITY FOR MOTOR CARRIERS--Table of Contents




                  Subpart A--Motor Carriers of Property

Sec.
387.1 Purpose and scope.
387.3 Applicability.
387.5 Definitions.
387.7 Financial responsibility required.
387.9 Financial responsibility, minimum levels.
387.11 State authority and designation of agent.
387.13 Fiduciaries.
387.15 Forms.
387.17 Violation and penalty.

[[Page 999]]

                 Subpart B--Motor Carriers of Passengers

387.25 Purpose and scope.
387.27 Applicability.
387.29 Definitions.
387.31 Financial responsibility required.
387.33 Financial responsibility, minimum levels.
387.35 State authority and designation of agent.
387.37 Fiduciaries.
387.39 Forms.
387.41 Violation and penalty.

Subpart C--Surety Bonds and Policies of Insurance for Motor Carriers and 
                            Property Brokers

387.301 Surety bond, certificate of insurance, or other securities.
387.303 Security for the protection of the public: Minimum limits.
387.305 Combination vehicles.
387.307 Property broker surety bond or trust fund.
387.309 Qualifications as a self-insurer and other securities or 
          agreements.
387.311 Bonds and certificates of insurance.
387.313 Forms and procedures.
387.315 Insurance and surety companies.
387.317 Refusal to accept, or revocation by the FMCSA of surety bonds, 
          etc.
387.319 Fiduciaries.
387.321 Operations in foreign commerce.
387.323 Electronic filing of surety bonds, trust fund agreements, 
          certificates of insurance and cancellations.

Subpart D--Surety Bonds and Policies of Insurance for Freight Forwarders

387.401 Definitions.
387.403 General requirements.
387.405 Limits of liability.
387.407 Surety bonds and certificates of insurance.
387.409 Insurance and surety companies.
387.411 Qualifications as a self-insurer and other securities or 
          agreements.
387.413 Forms and procedure.
387.415 Acceptance and revocation by the FMCSA.
387.417 Fiduciaries.
387.419 Electronic filing of surety bonds, certificates of insurance and 
          cancellations.

    Authority: 49 U.S.C. 13101, 13301, 13906, 14701, 31138, and 31139; 
and 49 CFR 1.73.

    Editorial Note: Nomenclature changes to part 387 appear at 66 FR 
49873, Oct. 1, 2001.



                  Subpart A--Motor Carriers of Property



Sec. 387.1  Purpose and scope.

    This subpart prescribes the minimum levels of financial 
responsibility required to be maintained by motor carriers of property 
operating motor vehicles in interstate, foreign, or intrastate commerce. 
The purpose of these regulations is to create additional incentives to 
motor carriers to maintain and operate their vehicles in a safe manner 
and to assure that motor carriers maintain an appropriate level of 
financial responsibility for motor vehicles operated on public highways.

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983]



Sec. 387.3  Applicability.

    (a) This subpart applies to for-hire motor carriers operating motor 
vehicles transporting property in interstate or foreign commerce.
    (b) This subpart applies to motor carriers operating motor vehicles 
transporting hazardous materials, hazardous substances, or hazardous 
wastes in interstate, foreign, or intrastate commerce.
    (c) Exception. (1) The rules in this part do not apply to a motor 
vehicle that has a gross vehicle weight rating (GVWR) of less than 
10,000 pounds. This exception does not apply if the vehicle is used to 
transport any quantity of a Division 1.1, 1.2, or 1.3 material, any 
quantity of a Division 2.3, Hazard Zone A, or Division 6.1, Packing 
Group I, Hazard Zone A, or to a highway route controlled quantity of a 
Class 7 material as it is defined in 49 CFR 173.403, in interstate or 
foreign commerce.
    (2) The rules in this part do not apply to the transportation of 
non-bulk oil, non-bulk hazardous materials, substances, or wastes in 
intrastate commerce, except that the rules in this part do apply to the 
transportation of a highway route controlled quantity of a Class 7 
material as defined in 49 CFR 173.403, in intrastate commerce.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981, as amended at 
48 FR 5559, Feb. 7, 1983; 48 FR 52683, Nov. 21, 1983; 49 FR 38290, Sept. 
28, 1984; 59 FR 63923, Dec. 12, 1994]

[[Page 1000]]



Sec. 387.5  Definitions.

    As used in this subpart--
    Accident includes continuous or repeated exposure to the same 
conditions resulting in public liability which the insured neither 
expected nor intended.
    Bodily injury means injury to the body, sickness, or disease 
including death resulting from any of these.
    Cancellation of insurance the withdrawal of insurance coverage by 
either the insurer or the insured.
    Endorsement an amendment to an insurance policy.
    Environmental restoration restitution for the loss, damage, or 
destruction of natural resources arising out of the accidental 
discharge, dispersal, release or escape into or upon the land, 
atmosphere, watercourse, or body of water of any commodity transported 
by a motor carrier. This shall include the cost of removal and the cost 
of necessary measure taken to minimize or mitigate damage to human 
health, the natural environment, fish, shellfish, and wildlife.
    Evidence of security a surety bond or a policy of insurance with the 
appropriate endorsement attached.
    Financial responsibility the financial reserves (e.g., insurance 
policies or surety bonds) sufficient to satisfy liability amounts set 
forth in this subpart covering public liability.
    For-hire carriage means the business of transporting, for 
compensation, the goods or property of another.
    In bulk--the transportation, as cargo, of property, except Division 
1.1, 1.2, or 1.3 materials, and Division 2.3, Hazard Zone A gases, in 
containment systems with capacities in excess of 3500 water gallons.
    In bulk (Division 1.1, 1.2, and 1.3 explosives)--the transportation, 
as cargo, of any Division 1.1, 1.2, or 1.3 materials in any quantity.
    In bulk (Division 2.3, Hazard Zone A or Division 6.1, Packing Group 
I, Hazard Zone A materials)--the transportation, as cargo, of any 
Division 2.3, Hazard Zone A, or Division 6.1, packing Group I, Hazard 
Zone A material, in any quantity.
    Insured and principal-- the motor carrier named in the policy of 
insurance, surety bond, endorsement, or notice of cancellation, and also 
the fiduciary of such motor carrier.
    Insurance premium the monetary sum an insured pays an insurer for 
acceptance of liability for public liability claims made against the 
insured.
    Motor carrier means a for-hire motor carrier or a private motor 
carrier. The term includes, but is not limited to, a motor carrier's 
agent, officer, or representative; an employee responsible for hiring, 
supervising, training, assigning, or dispatching a driver; or an 
employee concerned with the installation, inspection, and maintenance of 
motor vehicle equipment and/or accessories.
    Property damage means damage to or loss of use of tangible property.
    Public liability liability for bodily injury or property damage and 
includes liability for environmental restoration.
    State means a State of the United States, the District of Columbia, 
Puerto Rico, the Virgin Islands, American Samoa, Guam, and the Northern 
Mariana Islands.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981; 47 FR 12801, 
Mar. 25, 1982, as amended at 48 FR 52683, Nov. 21, 1983; 51 FR 33856, 
Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 59 FR 63923, Dec. 12, 1994; 
62 FR 16709, Apr. 8, 1997; 63 FR 33275, June 18, 1998]



Sec. 387.7  Financial responsibility required.

    (a) No motor carrier shall operate a motor vehicle until the motor 
carrier has obtained and has in effect the minimum levels of financial 
responsibility as set forth in Sec. 387.9 of this subpart.
    (b)(1) Policies of insurance, surety bonds, and endorsements 
required under this section shall remain in effect continuously until 
terminated. Cancellation may be effected by the insurer or the insured 
motor carrier giving 35 days' notice in writing to the other. The 35 
days' notice shall commence to run from the date the notice is mailed. 
Proof of mailing shall be sufficient proof of notice.
    (2) Exception. Policies of insurance and surety bonds may be 
obtained for a finite period of time to cover any lapse in continuous 
compliance.
    (3) Exception. A Mexico-domiciled motor carrier operating solely in 
municipalities in the United States on the

[[Page 1001]]

U.S.-Mexico international border or within the commercial zones of such 
municipalities with a Certificate of Registration issued under part 368 
may meet the minimum financial responsibility requirements of this 
subpart by obtaining insurance coverage, in the required amounts, for 
periods of 24 hours or longer, from insurers that meet the requirements 
of Sec. 387.11 of this subpart. A Mexican motor carrier so insured must 
have available for inspection in each of its vehicles copies of the 
following documents:
    (i) The Certificate of Registration;
    (ii) The required insurance endorsement (Form MCS-90); and
    (iii) An insurance identification card, binder, or other document 
issued by an authorized insurer which specifies both the effective date 
and the expiration date of the temporary insurance coverage authorized 
by this exception.

Mexician motor carriers insured under this exception are also exempt 
from the notice of cancellation requirements stated on Form MCS-90.
    (c) Policies of insurance and surety bonds required under this 
section may be replaced by other policies of insurance or surety bonds. 
The liability of the retiring insurer or surety, as to events after the 
termination date, shall be considered as having terminated on the 
effective date of the replacement policy of insurance or surety bond or 
at the end of the 35 day cancellation period required in paragraph (b) 
of this section, whichever is sooner.
    (d) Proof of the required financial responsibility shall be 
maintained at the motor carrier's principal place of business. The proof 
shall consist of--
    (1) ``Endorsement(s) for Motor Carrier Policies of Insurance for 
Public Liability Under Sections 29 and 30 of the Motor Carrier Act of 
1980'' (Form MCS-90) issued by an insurer(s);
    (2) A ``Motor Carrier Surety Bond for Public Liability Under Section 
30 of the Motor Carrier Act of 1980'' (Form MCS-82) issued by a surety; 
or
    (3) A written decision, order, or authorization of the Federal Motor 
Carrier Safety Administration authorizing a motor carrier to self-insure 
under Sec. 387.309, provided the motor carrier maintains a satisfactory 
safety rating as determined by the Federal Motor Carrier Safety 
Administration under part 385 of this chapter.
    (e) The proof of minimum levels of financial responsibility required 
by this section shall be considered public information and be produced 
for review upon reasonable request by a member of the public.
    (f) All vehicles operated within the United States by motor carriers 
domiciled in a contiguous foreign country, shall have on board the 
vehicle a legible copy, in English, of the proof of the required 
financial responsibility (Form MCS-90 or MCS-82) used by the motor 
carrier to comply with paragraph (d) of this section.
    (g) Any motor vehicle in which there is no evidence of financial 
responsibility required by paragraph (f) of this section shall be denied 
entry into the United States.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981, as amended at 
48 FR 5559, Feb. 7, 1983; 48 FR 52683, Nov. 21, 1983; 51 FR 22083, June 
18, 1986; 54 FR 49092, Nov. 29, 1989; 59 FR 63923, Dec. 12, 1994; 67 FR 
12661, Mar. 19, 2002]



Sec. 387.9  Financial responsibility, minimum levels.

    The minimum levels of financial responsibility referred to in 
Sec. 387.7 of this subpart are hereby prescribed as follows:

                                      Schedule of Limits--Public Liability
----------------------------------------------------------------------------------------------------------------
               Type of carriage                               Commodity transported                Jan. 1, 1985
----------------------------------------------------------------------------------------------------------------
(1) For-hire (In interstate or foreign          Property (nonhazardous).........................        $750,000
 commerce, with a gross vehicle weight rating
 of 10,001 or more pounds).

[[Page 1002]]

 
(2) For-hire and Private (In interstate,        Hazardous substances, as defined in 49 CFR             5,000,000
 foreign, or intrastate commerce, with a gross   171.8, transported in cargo tanks, portable
 vehicle weight rating of 10,001 or more         tanks, or hopper-type vehicles with capacities
 pounds).                                        in excess of 3,500 water gallons; or in bulk
                                                 Division 1.1, 1.2, and 1.3 materials, Division
                                                 2.3, Hazard Zone A, or Division 6.1, Packing
                                                 Group I, Hazard Zone A material; in bulk
                                                 Division 2.1 or 2.2; or highway route
                                                 controlled quantities of a Class 7 material, as
                                                 defined in 49 CFR 173.403.
(3) For-hire and Private (In interstate or      Oil listed in 49 CFR 172.101; hazardous waste,         1,000,000
 foreign commerce, in any quantity; or in        hazardous materials, and hazardous substances
 intrastate commerce, in bulk only; with a       defined in 49 CFR 171.8 and listed in 49 CFR
 gross vehicle weight rating of 10,001 or more   172.101, but not mentioned in (2) above or (4)
 pounds).                                        below.
(4) For-hire and Private (In interstate or      Any quantity of Division 1.1, 1.2, or 1.3              5,000,000
 foreign commerce, with a gross vehicle weight   material; any quantity of a Division 2.3,
 rating of less than 10,000 pounds).             Hazard Zone A, or Division 6.1, Packing Group
                                                 I, Hazard Zone A material; or highway route
                                                 controlled quantities of a Class 7 material as
                                                 defined in 49 CFR 173.403.
----------------------------------------------------------------------------------------------------------------


[59 FR 63923, Dec. 12, 1994, as amended at 67 FR 61821, Oct. 2, 2002]



Sec. 387.11  State authority and designation of agent.

    A policy of insurance or surety bond does not satisfy the financial 
responsibility requirements of this subpart unless the insurer or surety 
furnishing the policy or bond is--
    (a) Legally authorized to issue such policies or bonds in each State 
in which the motor carrier operates; or
    (b) Legally authorized to issue such policies or bonds in the State 
in which the motor carrier has its principal place of business or 
domicile, and is willing to designate a person upon whom process, issued 
by or under the authority of any court having jurisdiction of the 
subject matter, may be served in any proceeding at law or equity brought 
in any State in which the motor carrier operates; or
    (c) Legally authorized to issue such policies or bonds in any State 
of the United States and eligible as an excess or surplus lines insurer 
in any State in which business is written, and is willing to designate a 
person upon whom process, issued by or under the authority of any court 
having jurisdiction of the subject matter, may be served in any 
proceeding at law or equity brought in any State in which the motor 
carrier operates.

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983]



Sec. 387.13  Fiduciaries.

    The coverage of fiduciaries shall attach at the moment of succession 
of such fiduciaries.

[46 FR 30982, June 11, 1981]



Sec. 387.15  Forms.

    Endorsements for policies of insurance (Illustration I) and surety 
bonds (Illustration II) must be in the form prescribed by the FMCSA and 
approved by the OMB. Endorsements to policies of insurance and surety 
bonds shall specify that coverage thereunder will remain in effect 
continuously until terminated, as required in Sec. 387.7 of this 
subpart. The continuous coverage requirement does not apply to Mexican 
motor carriers insured under Sec. 387.7(b)(3) of this subpart. The 
endorsement and surety bond shall be issued in the exact name of the 
motor carrier.

                             Illustration I

Form MCS-90 (3/82)
Form Approved
OMB No. 2125-0074

Endorsement for Motor Carrier Policies of Insurance for Public Liability 
        Under Sections 29 and 30 of the Motor Carrier Act of 1980

Issued to_______________________________________________________________
of______________________________________________________________________
Dated at________________________________________________________________

this ---- day of --------------------, 19----

Amending Policy No._____________________________________________________
Effective Date__________________________________________________________
Name of Insurance Company_______________________________________________

[[Page 1003]]

 Countersigned by_______________________________________________________
                                       Authorized Company Representative

The policy to which this endorsement is attached provides primary or 
excess insurance, as indicated by ``X'', for the limits shown:
[squ] This insurance is primary and the company shall not be liable for 
amounts in excess of $---------- for each accident.
[squ] This insurance is excess and the company shall not be liable for 
amounts in excess of $---------- for each accident in excess of the 
underlying limit of $---------- for each accident.

    Whenever required by the FMCSA the company agrees to furnish the 
FMCSA a duplicate of said policy and all its endorsements. The company 
also agrees, upon telephone request by an authorized representative of 
the FMCSA, to verify that the policy is in force as of a particular 
date. The telephone number to call is: ------------

Cancellation of this endorsement may be effected by the company or the 
insured by giving (1) thirty-five (35) days notice in writing to the 
other party (said 35 days notice to commence from the date the notice is 
mailed, proof of mailing shall be sufficient proof of notice), and (2) 
if the insured is subject to the FMCSA's jurisdiction, by providing 
thirty (30) days notice to the FMCSA (said 30 days notice to commence 
from the date the notice is received by the FMCSA at its office in 
Washington, DC).

                 definitions as used in this endorsement

Accident includes continuous or repeated exposure to conditions which 
results in bodily injury, property damage, or environmental damage which 
the insured neither expected or intended.
Motor Vehicle means a land vehicle, machine, truck, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used on a highway 
for transporting property, or any combination thereof.
Bodily Injury means injury to the body, sickness, or disease to any 
person, including death resulting from any of these.
Environmental Restoration means restitution for the loss, damage, or 
destruction of natural resources arising out of the accidental 
discharge, dispersal, release or escape into or upon the land, 
atmosphere, watercourse, or body of water, of any commodity transported 
by a motor carrier. This shall include the cost of removal and the cost 
of necessary measures taken to minimize or mitigate damage to human 
health, the natural environment, fish, shellfish, and wildlife.
Property Damage means damage to or loss of use of tangible property.
Public Liability means liability for bodily injury, property damage, and 
environmental restoration.

    The insurance policy to which this endorsement is attached provides 
automobile liability insurance and is amended to assure compliance by 
the insured, within the limits stated herein, as a motor carrier of 
property, with sections 29 and 30 of the Motor Carrier Act of 1980 and 
the rules and regulations of the Federal Motor Carrier Safety 
Administration.
    In consideration of the premium stated in the policy to which this 
endorsement is attached, the insurer (the company) agrees to pay, within 
the limits of liability described herein, any final judgment recovered 
against the insured for public liability resulting from negligence in 
the operation, maintenance or use of motor vehicles subject to the 
financial responsibility requirements of sections 29 and 30 of the Motor 
Carrier Act of 1980 regardless of whether or not each motor vehicle is 
specifically described in the policy and whether or not such negligence 
occurs on any route or in any territory authorized to be served by the 
insured or elsewhere. Such insurance as is afforded, for public 
liability, does not apply to injury to or death of the insured's 
employees while engaged in the course of their employment, or property 
transported by the insured, designated as cargo. It is understood and 
agreed that no condition, provision, stipulation, or limitation 
contained in the policy, this endorsement, or any other endorsement 
thereon, or violation thereof, shall relieve the company from liability 
or from the payment of any final judgment, within the limits of 
liability herein described, irrespective of the financial condition, 
insolvency or bankruptcy of the insured. However, all terms, conditions, 
and limitations in the policy to which the endorsement is attached shall 
remain in full force and effect as binding between the insured and the 
company. The insured agrees to reimburse the company for any payment 
made by the company on account of any accident, claim, or suit involving 
a breach of the terms of the policy, and for any payment that the 
company would not have been obligated to make under the provisions of 
the policy except for the agreement contained in this endorsement.
    It is further understood and agreed that, upon failure of the 
company to pay any final judgment recovered against the insured as 
provided herein, the judgment creditor may maintain an action in any 
court of competent jurisdiction against the company to compel such 
payment.
    The limits of the company's liability for the amounts prescribed in 
this endorsement apply separately to each accident and any payment under 
the policy because of any one accident shall not operate to reduce the 
liability of the company for the payment of final judgments resulting 
from any other accident.

[[Page 1004]]

                             Illustration II

Form MCS-82 (4/83)

(Form approved by Office of Management and Budget under control no. 
2125-0075)

      Motor Carrier Public Liability Surety Bond Under Sections 29 and 30 of the Motor Carrier Act of 1980
 
                                                                     Motor carrier
                                          Surety company and    principal, FMCSA Docket
               Parties                    principal place of    No. and principal place
                                           business address           of business
 
                                       .......................  .......................  .......................
                                       .......................  .......................  .......................
                                       .......................  .......................  .......................
                                       .......................  .......................  .......................
 

    Purpose-- This is an agreement between the Surety and the Principal 
under which the Surety, its successors and assigness, agree to be 
responsible for the payment of any final judgment or judgments against 
the Principal for public liability, property damage, and environmental 
restoration liability claims in the sums prescribed herein; subject to 
the governing provisions and the following conditions.
    Governing provisions--(1) Sections 29 and 30 of the Motor Carrier 
Act of 1980 (49 U.S.C. 13906).
    (2) Rules and regulations of the Federal Motor Carrier Safety 
Administration.
    Conditions-- The Principal is or intends to become a motor carrier 
of property subject to the applicable governing provisions relating to 
financial responsibility for the protection of the public.
    This bond assures compliance by the Principal with the applicable 
governing provisions, and shall inure to the benefit of any person or 
persons who shall recover a final judgment or judgments against the 
Principal for public liability, property damage, or environmental 
restoration liability claims (excluding injury to or death of the 
Principal's employees while engaged in the course of their employment, 
and loss of or damange to property of the principal, and the cargo 
transported by the Principal). If every final judgment shall be paid for 
such claims resulting from the negligent operation, maintenance, or use 
of motor vehicles in transportation subject to the applicable governing 
provisions, then this obligation shall be void, otherwise it will remain 
in full effect.
    Within the limits described herein, the Surety extends to such 
losses regardless of whether such motor vehicles are specifically 
described herein and whether occurring on the route or in the territory 
authorized to be served by the Principal or elsewhere.
    The liability of the Surety on each motor vehicle subject to the 
financial responsibility requirements of Section's 29 and 30 of the 
Motor Carrier Act of 1980 for each accident shall not exceed $----------
, and shall be a continuing one notwithstanding any recovery hereunder.
    The surety agrees, upon telephone request by an authorized 
representative of the FMCSA, to verify that the surety bond is in force 
as of a particular date. The telephone number is: ------------
    This bond is effective from ------ (12:01 a.m., standard time, at 
the address of the Principal as stated herein) and shall countine in 
force until terminated as described herein. The principal or the Surety 
may at any time terminate this bond by giving (1) thirty five (35) days 
notice in writing to the other party (said 35 day notice to commence 
from the date the notice is mailed, proof of mailing shall be sufficient 
proof of notice), and (2) if the Principal is subject to the FMCSA's 
jurisdiction, by providing thirty (30) days notice to the FMCSA (said 30 
days notice to commence from the date notice is received by the FMCSA at 
its office in Washington, DC). The Surety shall not be liable for the 
payment of any judgment or judgments against the Principal for public 
liability, property damage, or environmental restoration claims 
resulting from accidents which occur after the termination of this bond 
as described herein, but such termination shall not affect the liability 
of the Surety for the payment of any such judgment or judgments 
resulting from accidents which occur during the time the bond is in 
effect.
(AFFIX CORPORATE SEAL)
Date____________________________________________________________________
Surety__________________________________________________________________
City____________________________________________________________________
State___________________________________________________________________
By______________________________________________________________________

[[Page 1005]]

                        Acknowledgement of Surety

State of________________________________________________________________
County of_______________________________________________________________

    On this ------ day of ------, 19----, before me personally came ----
------, who, being by me duly sworn, did depose and say that he/she 
resides in ----------; that he/she is the ---------- of the ----------, 
the corporation described in and which executed the foregoing 
instrument; that he/she knows the seal of said corporation, that the 
seal affixed to said instrument is such corporate seal, that it was so 
affixed by order of the board of directors of said corporation, that he/
she signed his/her name thereto by like order, and he/she duly 
acknowledged to me that he/she executed the same for and on behalf of 
said corporation.
(OFFICIAL SEAL)
________________________________________________________________________
Title of official administering oath____________________________________
Surety Company File No._________________________________________________

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983; 
49 FR 27292, July 2, 1984; 49 FR 38290, Sept. 28, 1984; 51 FR 33856, 
Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 54 FR 49092, Nov. 29, 1989; 
59 FR 63924, Dec. 12, 1994]

Sec. 387.17  Violation and penalty.

    Any person (except an employee who acts without knowledge) who 
knowingly violates the rules of this subpart shall be liable to the 
United States for civil penalty of no more than $11,000 for each 
violation, and if any such violation is a continuing one, each day of 
violation will constitute a separate offense. The amount of any such 
penalty shall be assessed by the FMCSA's Administrator, by written 
notice. In determining the amount of such penalty, the Administrator, or 
his/her authorized delegate shall take into account the nature, 
circumstances, extent, the gravity of the violation committed and, with 
respect to the person found to have committed such violation, the degree 
of culpability, any history of prior offenses, ability to pay, effect on 
ability to continue to do business, and such other matters as justice 
may require.

[59 FR 63924, Dec. 12, 1994]

                 Subpart B--Motor Carriers of Passengers

    Source: 48 FR 52683, Nov. 21, 1983, unless otherwise noted.

Sec. 387.25  Purpose and scope.

    This subpart prescribes the minimum levels of financial 
responsibility required to be maintained by for-hire motor carriers of 
passengers operating motor vehicles in interstate or foreign commerce. 
The purpose of these regulations is to create additional incentives to 
carriers to operate their vehicles in a safe manner and to assure that 
they maintain adequate levels of financial responsibility.

Sec. 387.27  Applicability.

    (a) This subpart applies to for-hire motor carriers transporting 
passengers in interstate or foreign commerce.
    (b) Exception. The rules in this subpart do not apply to--
    (1) A motor vehicle transporting only school children and teachers 
to or from school;
    (2) A motor vehicle providing taxicab service and having a seating 
capacity of less than 7 passengers and not operated on a regular route 
or between specified points;
    (3) A motor vehicle carrying less than 16 individuals in a single 
daily round trip to commute to and from work; and
    (4) A motor vehicle operated by a motor carrier under contract 
providing transportation of preprimary, primary, and secondary students 
for extracurricular trips organized, sponsored, and paid by a school 
district.

[48 FR 52683, Nov. 21, 1983, as amended at 63 FR 33275, June 18, 1998]

Sec. 387.29  Definitions.

    As used in this subpart--
    Accident includes continuous or repeated exposure to the same 
conditions resulting in public liability which the insured neither 
expected nor intended.
    Bodily injury means injury to the body, sickness, or disease 
including death resulting from any of these.
    Endorsement an amendment to an insurance policy.
    Financial responsibility the financial reserves (e.g., insurance 
policies or surety bonds) sufficient to satisfy liability amounts set 
forth in this subpart covering public liability.

[[Page 1006]]

    For-hire carriage means the business of transporting, for 
compensation, passengers and their property, including any compensated 
transportation of the goods or property or another.
    Insured and principal the motor carrier named in the policy of 
insurance, surety bond, endorsement, or notice of cancellation, and also 
the fiduciary of such motor carrier.
    Insurance premium the monetary sum an insured pays an insurer for 
acceptance of liability for public liability claims made against the 
insured.
    Motor carrier means a for-hire motor carrier. The term includes, but 
is not limited to, a motor carrier's agent, officer, or representative; 
an employee responsible for hiring, supervising, training, assigning, or 
dispatching a driver; or an employee concerned with the installation, 
inspection, and maintenance of motor vehicle equipment and/or 
accessories.
    Property damage means damage to or loss of use of tangible property.
    Public liability liability for bodily injury or property damage.
    Seating capacity any plan view location capable of accommodating a 
person at least as large as a 5th percentile adult female, if the 
overall seat configuration and design and vehicle design is such that 
the position is likely to be used as a seating position while the 
vehicle is in motion, except for auxiliary seating accommodations such 
as temporary or folding jump seats. Any bench or split bench seat in a 
passenger car, truck or multi-purpose passenger vehicle with a gross 
vehicle weight rating less than 10,000 pounds, having greater than 50 
inches of hip room (measured in accordance with SEA Standards J1100(a)) 
shall have not less than three designated seating positions, unless the 
seat design or vehicle design is such that the center position cannot be 
used for seating.

[48 FR 52683, Nov. 21, 1983, as amended at 63 FR 33276, June 18, 1998]

Sec. 387.31  Financial responsibility required.

    (a) No motor carrier shall operate a motor vehicle transporting 
passengers until the motor carrier has obtained and has in effect the 
minimum levels of financial responsibility as set forth in Sec. 387.33 
of this subpart.
    (b) Policies of insurance, surety bonds, and endorsements required 
under this section shall remain in effect continuously until terminated.
    (1) Cancellation may be effected by the insurer or the insured motor 
carrier giving 35 days notice in writing to the other. The 35 days 
notice shall commence to run from the date the notice is mailed. Proof 
of mailing shall be sufficient proof of notice.
    (2) Exception. Policies of insurance and surety bonds may be 
obtained for a finite period of time to cover any lapse in continuous 
compliance.
    (3) Exception. Mexican motor carriers may meet the minimum financial 
responsibility requirements of this subpart by obtaining insurance 
coverage, in the required amounts, for periods of 24 hours or longer, 
from insurers that meet the requirements of Sec. 387.35 of this subpart. 
A Mexican motor carrier so insured must have available for inspection in 
each of its vehicles copies of the following documents:
    (i) The required insurance endorsement (Form MCS-90B); and
    (ii) An insurance identification card, binder, or other document 
issued by an authorized insurer which specifies both the effective date 
and the expiration date of the temporary insurance coverage authorized 
by this exception.

Mexican motor carriers insured under this exception are also exempt from 
the notice of cancellation requirements stated on Form MCS-90B.
    (c) Policies of insurance and surety bonds required under this 
section may be replaced by other policies of insurance or surety bonds. 
The liability of retiring insurer or surety, as to events after the 
termination date, shall be considered as having terminated on the 
effective date of the replacement policy of insurance or surety bond or 
at the end or the 35 day cancellation period required in paragraph (b) 
of this section, whichever is sooner.
    (d) Proof of the required financial responsibility shall be 
maintained at the motor carrier's principal place of business. The proof 
shall consist of--
    (1) ``Endorsement(s) for Motor Carriers of Passengers Policies of 
Insurance for Public Liability Under Section

[[Page 1007]]

18 of the Bus Regulatory Reform Act of 1982'' (Form MCS-90B) issued by 
an insurer(s); or
    (2) A ``Motor Carrier of Passengers Surety Bond for Public Liability 
Under Section 18 of the Bus Regulatory Reform Act of 1982'' (Form MCS-
82B) issued by a surety.
    (e) The proof of minimum levels of financial responsibility required 
by this section shall be considered public information and be produced 
for review upon reasonable request by a member of the public.
    (f) All passenger carrying vehicles operated within the United 
States by motor carriers domiciled in a contiguous foreign country, 
shall have on board the vehicle a legible copy, in English, of the proof 
of the required financial responsibility (Forms MCS-90B or MCS-82B) used 
by the motor carrier to comply with paragraph (d) of this section.
    (g) Any motor vehicle in which there is no evidence of financial 
responsibility required by paragraph (f) of this section shall be denied 
entry into the United States.

[48 FR 52683, Nov. 21, 1983, as amended at 50 FR 7062, Feb. 20, 1985; 54 
FR 49092, Nov. 29, 1989; 60 FR 38743, July 28, 1995]

Sec. 387.33  Financial responsibility, minimum levels.

    The minimum levels of financial responsibility referred to in 
Sec. 387.31 of this subpart are hereby prescribed as follows:

                           Schedule of Limits

                            Public Liability

For-hire motor carriers of passengers operating in interstate or foreign 
commerce.

------------------------------------------------------------------------
                                                      Effective dates
                                                 -----------------------
            Vehicle seating capacity               Nov. 19,    Nov. 19,
                                                     1983        1985
------------------------------------------------------------------------
(1) Any vehicle with a seating capacity of 16     $2,500,000  $5,000,000
 passengers or more.............................
(2) Any vehicle with a seating capacity of 15        750,000   1,500,000
 passengers or less \1\.........................
------------------------------------------------------------------------
\1\ Except as provided in Sec.  387.27(b).



Sec. 387.35  State authority and designation of agent.

    A policy of insurance or surety bond does not satisfy the financial 
responsibility requirements of this subpart unless the insurer or surety 
furnishing the policy or bond is--
    (a) Legally authorized to issue such policies or bonds in each State 
in which the motor carrier operates, or
    (b) Legally authorized to issue such policies or bonds in the State 
in which the motor carrier has its principal place of business or 
domicile, and is willing to designate a person upon whom process, issued 
by or under the authority of any court having jurisdiction of the 
subject matter, may be served in any proceeding at law or equity brought 
in any State in which the motor carrier operates; or
    (c) Legally authorized to issue such policies or bonds in any State 
of the United States and eligible as an excess or surplus lines insurer 
in any State in which business is written, and is willing to designate a 
person upon whom process, issued by or under the authority of any court 
having jurisdiction of the subject matter, may be served in any 
proceeding at law or equity brought in any State in which the motor 
carrier operates..



Sec. 387.37  Fiduciaries.

    The coverage of fiduciaries shall attach at the moment of succession 
of such fiduciaries.



Sec. 387.39  Forms.

    Endorsements for policies of insurance (Illustration I) and surety 
bonds (Illustration II) must be in the form prescribed by the FMCSA and 
approved by the OMB. Endorsements to policies of insurance and surety 
bonds shall specify that coverage thereunder will remain in effect 
continuously until terminated, as required in Sec. 387.31 of this 
subpart. The continuous coverage requirement does not apply to Mexican 
motor carriers insured under Sec. 387.31(b)(3) of this subpart. The 
endorsement and surety bond shall be issued in the exact name of the 
motor carrier.

[[Page 1008]]

[GRAPHIC] [TIFF OMITTED] TR02OC02.001


[[Page 1009]]


[GRAPHIC] [TIFF OMITTED] TR02OC02.002


(Approved by the Office of Management and Budget under control number 
2125-0518)

[48 FR 52683, Nov. 21, 1983, as amended at 49 FR 22326, May 29, 1984; 54 
FR 49093, Nov. 29, 1989; 67 FR 61821, 61822, Oct. 2, 2002]

[[Page 1010]]

Sec. 387.41  Violation and penalty.

    Any person (except an employee who acts without knowledge) who 
knowingly violates the rules of this subpart shall be liable to the 
United States for civil penalty of no more than $11,000 for each 
violation, and if any such violation is a continuing one, each day of 
violation will constitute a separate offense. The amount of any such 
penalty shall be assessed by the Administrator or his/her designee, by 
written notice. In determining the amount of such penalty, the 
Administrator or his/her designee shall take into account the nature, 
circumstances, extent, the gravity of the violation committed and, with 
respect to the person found to have committed such violation, the degree 
of culpability, any history of prior offenses, ability to pay, effect on 
ability to continue to do business, and such other matters as justice 
may require.

[53 FR 47543, Nov. 23, 1988]

Subpart C--Surety Bonds and Policies of Insurance for Motor Carriers and 
                            Property Brokers

    Cross Reference: Prescribed forms relating to this part are listed 
in 49 CFR part 1003.

    Source: 32 FR 20032, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.

Sec. 387.301  Surety bond, certificate of insurance, or other 
          securities.

    (a) Public liability. (1) No common or contract carrier or foreign 
(Mexican) motor private carrier or foreign motor carrier transporting 
exempt commodities subject to Subtitle IV, part B, chapter 135 of title 
49 of the U.S. Code shall engage in interstate or foreign commerce, and 
no certificate or permit shall be issued to such a carrier or remain in 
force unless and until there shall have been filed with and accepted by 
the FMCSA surety bonds, certificates of insurance, proof of 
qualifications as self-insurer, or other securities or agreements, in 
the amounts prescribed in Sec. 387.303, conditioned to pay any final 
judgment recovered against such motor carrier for bodily injuries to or 
the death of any person resulting from the negligent operation, 
maintenance or use of motor vehicles in transportation subject to 
Subtitle IV, part B, chapter 135 of title 49 of the U.S. Code, or for 
loss of or damage to property of others, or, in the case of motor 
carriers of property operating freight vehicles described in 
Sec. 387.303(b)(2) of this part, for environmental restoration.
    (2) Motor Carriers of property which are subject to the conditions 
set forth in paragraph (a)(1) of this section and transport the 
commodities described in Sec. 387.303(b)(2), are required to obtain 
security in the minimum limits prescribed in Sec. 387.303(b)(2).
    (b) Common carriers-cargo insurance; exempt commodities. No common 
carrier by motor vehicle subject to Subtitle IV, part B, chapter 135 of 
title 49 of the U.S. Code nor any foreign (Mexican) common carrier of 
exempt commodities shall engage in interstate or foreign commerce, nor 
shall any certificate be issued to such a carrier or remain in force 
unless and until there shall have been filed with and accepted by the 
FMCSA, a surety bond, certificate of insurance, proof of qualifications 
as a self-insurer, or other securities or agreements in the amounts 
prescribed in Sec. 387.303, conditioned upon such carrier making 
compensation to shippers or consignees for all property belonging to 
shippers or consignees and coming into the possession of such carrier in 
connection with its transportation service: Provided, That the 
requirements of this paragraph shall not apply in connection with the 
transportation of the following commodities:

Agricultural ammonium nitrate.
Agricultural nitrate of soda.
Anhydrous ammonia--used as a fertilizer only.
Ashes, wood or coal.
Bituminous concrete (also known as blacktop or amosite), including 
mixtures of asphalt paving.
Cement, dry, in containers or in bulk.
Cement, building blocks.
Charcoal.
Chemical fertilizer.
Cinder blocks.
Cinders, coal.
Coal.
Coke.
Commercial fertilizer.
Concrete materials and added mixtures.
Corn cobs.
Cottonseed hulls.

[[Page 1011]]

Crushed stone.
Drilling salt.
Dry fertilizer.
Fish scrap.
Fly ash.
Forest products; viz: Logs, billets, or bolts, native woods, Canadian 
wood or Mexican pine; pulpwood, fuel wood, wood kindling; and wood 
sawdust or shavings (shingle tow) other than jewelers' or paraffined.
Foundry and factory sweepings.
Garbage.
Gravel, other than bird gravel.
Hardwood and parquet flooring.
Haydite.
Highway construction materials, when transported in dump trucks and 
unloaded at destination by dumping.
Ice.
Iron ore.
Lime and limestone.
Liquid fertilizer solutions, in bulk, in tank vehicles.
Lumber.
Manure.
Meat scraps.
Mud drilling salt.
Ores, in bulk, including ore concentrates.
Paving materials, unless contain oil hauled in tank vehicles.
Peat moss.
Peeler cores.
Plywood.
Poles and piling, other than totem poles.
Potash, used as commercial fertilizer.
Pumice stone, in bulk in dump vehicles.
Salt, in bulk or in bags.
Sand, other than asbestos, bird, iron, monazite, processed, or tobacco 
sand.
Sawdust.
Scoria stone.
Scrap iron.
Scrap steel.
Shells, clam, mussel, or oyster.
Slag, other than slag with commercial value for the further extraction 
of metals.
Slag, derived aggregates--cinders.
Slate, crushed or scrap.
Slurry, as waste material.
Soil, earth or marl, other than infusorial, diatomaceous, tripoli, or 
inoculated soil or earth.
Stone, unglazed and unmanufactured, including ground agricultural 
limestone.
Sugar beet pulp.
Sulphate of ammonia, bulk, used as fertilizer.
Surfactants.
Trap rock.
Treated poles.
Veneer.
Volcanic scoria.
Waste, hazardous and nonhazardous, transported solely for purposes of 
disposal.
Water, other than mineral or prepared--water.
Wood chips, not processed.
Wooden pallets, unassembled.
Wreck or disabled motor vehicles.
Other materials or commodities of low value, upon specific application 
to and approval by the FMCSA.

    (c) Continuing compliance required. Such security as is accepted by 
the FMCSA in accordance with the requirements of section 13906 of title 
49 of the U.S. Code, shall remain in effect at all times.

[48 FR 51780, Nov. 14, 1983, as amended at 60 FR 63981, Dec. 13, 1995; 
62 FR 49941, Sept. 24, 1997]

Sec. 387.303  Security for the protection of the public: Minimum limits.

    (a) Definitions. (1) Primary security means public liability 
coverage provided by the insurance or surety company responsible for the 
first dollar of coverage.
    (2) Excess security means public liability coverage above the 
primary security, or above any additional underlying security, up to and 
including the required minimum limits set forth in paragraph (b)(2) of 
this section.
    (b)(1) Motor carriers subject to Sec. 387.301(a)(1) are required to 
have security for the required minimum limits as follows:
    (i) Small freight vehicles:

------------------------------------------------------------------------
                                          Transportation        Minimum
          Kind of equipment                  provided           limits
------------------------------------------------------------------------
Fleet including only vehicles under   Commodities not           $300,000
 10,000 pounds GVWR.                   subject to Sec.
                                       387.303(b)(2).
------------------------------------------------------------------------

    (ii) Passenger carriers

                            Kind of Equipment
------------------------------------------------------------------------
                                                     Effective dates
                                               -------------------------
           Vehicle seating capacity               Nov. 19,     Nov. 19,
                                                    1983         1985
------------------------------------------------------------------------
(1) Any vehicle with a seating capacity of 16    $2,500,000   $5,000,000
 passengers or more...........................
(2) Any vehicle with a seating capacity of 15       750,000    1,500,000
 passengers or less...........................
------------------------------------------------------------------------

    (2) Motor carriers subject to Sec. 387.301(a)(2) are required to 
have security for the required minimum limits as follows:

[[Page 1012]]



----------------------------------------------------------------------------------------------------------------
                                                                                            July 1,     July 1,
             Kind of equipment                          Commodity transported                1983*       1984*
----------------------------------------------------------------------------------------------------------------
(a) Freight Vehicles of 10,001 Pounds or    Property (non-hazardous)....................    $500,000    $750,000
 More GVWR.
(b) Freight Vehicles of 10,001 Pounds or    Hazardous substances, as defined in Sec.       1,000,000   5,000,000
 More GVWR.                                  171.8, transported in cargo tanks, portable
                                             tanks, or hopper-type vehicles with
                                             capacities in excess of 3,500 water
                                             gallons, or in bulk Class A or B
                                             explosives, poison gas (Poison A) liquefied
                                             compressed gas or compressed gas, or
                                             highway route controlled quantity
                                             radioactive materials as defined in Sec.
                                             173.455.
(c) Freight Vehicles of 10,001 Pounds or    Oil listed in Sec.  172.101; hazardous           500,000   1,000,000
 More GVWR.                                  waste, hazardous materials and hazardous
                                             substances defined in Sec.  171.8 and
                                             listed in Sec.  172.101, but not mentioned
                                             in (b) above or (d) below.
(d) Freight Vehicles Under 10,001 Pounds    Any quantity of Class A or B explosives; any   1,000,000   5,000,000
 GVWR.                                       quantity of poison gas (Poison A); or
                                             highway route controlled quantity
                                             radioactive materials as defined in Sec.
                                             173.455.
----------------------------------------------------------------------------------------------------------------
*Note: The effective date of the current required minimum limit in Sec.  387.303(b)(2) was January 6, 1983, in
  accordance with the requirements of Pub. L. 97-424, 96 Stat. 2097.

    (3) Motor carriers subject to the minimum limits governed by this 
section, which are also subject to Department of Transportation limits 
requirements, are at no time required to have security for more than the 
required minimum limits established by the Secretary of Transportation 
in the applicable provisions of 49 CFR Part 387--Minimum Levels of 
Financial Responsibility for Motor Carriers.
    (4) Foreign motor carriers and foreign motor private carriers. 
Foreign motor carriers and foreign motor private carriers (Mexican), 
subject to the requirements of 49 U.S.C. 13902(c) and 49 CFR part 368 
regarding obtaining certificates of registration from the FMCSA, must 
meet our minimum financial responsibility requirements by obtaining 
insurance coverage, in the required amounts, for periods of 24 hours or 
longer, from insurance or surety companies, that meet the requirements 
of 49 CFR 387.315. These carriers must have available for inspection, in 
each vehicle operating in the United States, copies of the following 
documents:
    (i) The certificate of registration;
    (ii) The required insurance endorsement (Form MCS-90); and
    (iii) An insurance identification card, binder, or other document 
issued by an authorized insurer which specifies both the effective date 
and the expiration date of the insurance coverage.

Notwithstanding the provisions of Sec. 387.301(a)(1), the filing of 
evidence of insurance is not required as a condition to the issuance of 
a certificate of registration. Further, the reference to continuous 
coverage at Sec. 387.313(a)(6) and the reference to cancellation notice 
at Sec. 387.313(d) are not applicable to these carriers.
    (c) Motor common carriers: Cargo liability. Security required to 
compensate shippers or consignees for loss or damage to property 
belonging to shippers or consignees and coming into the possession of 
motor carriers in connection with their transportation service, (1) for 
loss of or damage to property carried on any one motor vehicle--$5,000, 
(2) for less of or damage to or aggregate of losses or damages of or to 
property occurring at any one time and place--$10,000.

[47 FR 55944, Dec. 14, 1982, as amended at 48 FR 43333, Sept. 23, 1983; 
48 FR 45775, Oct. 7, 1983; 48 FR 51780, Nov. 14, 1983; 49 FR 1991, Jan. 
17, 1984; 49 FR 27767, July 6, 1984; 50 FR 40030, Oct. 1, 1985; 53 FR 
36984, Sept. 23, 1988; 54 FR 52034, Dec. 20, 1989; 55 FR 47338, Nov. 13, 
1990; 62 FR 49941, Sept. 24, 1997; 67 FR 61824, Oct. 2, 2002; 68 FR 
56198, Sept. 30, 2003]

Sec. 387.305  Combination vehicles.

    The following combinations will be regarded as one motor vehicle for 
purposes of this part, (a) a tractor and trailer or semitrailer when the 
tractor is engaged solely in drawing the trailer or semitrailer, and (b) 
a truck and trailer when both together bear a single load.

Sec. 387.307  Property broker surety bond or trust fund.

    (a) Security. A property broker must have a surety bond or trust 
fund in effect for $10,000. The FMCSA will not issue a property broker 
license until a surety bond or trust fund for the full

[[Page 1013]]

limits of liability prescribed herein is in effect. The broker license 
shall remain valid or effective only as long as a surety bond or trust 
fund remains in effect and shall ensure the financial responsibility of 
the broker.
    (b) Evidence of Security. Evidence of a surety bond must be filed 
using the FMCSA's prescribed Form BMC 84. Evidence of a trust fund with 
a financial institution must be filed using the FMCSA's prescribed Form 
BMC 85. The surety bond or the trust fund shall ensure the financial 
responsibility of the broker by providing for payments to shippers or 
motor carriers if the broker fails to carry out its contracts, 
agreements, or arrangements for the supplying of transportation by 
authorized motor carriers.
    (c) Financial Institution--when used in this section and in forms 
prescribed under this section, where not otherwise distinctly expressed 
or manifestly incompatible with the intent thereof, shall mean--Each 
agent, agency, branch or office within the United States of any person, 
as defined by the ICC Termination Act, doing business in one or more of 
the capacities listed below:
    (1) An insured bank (as defined in section 3(h) of the Federal 
Deposit Insurance Act (12 U.S.C. 1813(h));
    (2) A commercial bank or trust company;
    (3) An agency or branch of a foreign bank in the United States;
    (4) An insured institution (as defined in section 401(a) of the 
National Housing Act (12 U.S.C. 1724(a));
    (5) A thrift institution (savings bank, building and loan 
association, credit union, industrial bank or other);
    (6) An insurance company;
    (7) A loan or finance company; or
    (8) A person subject to supervision by any state or federal bank 
supervisory authority.
    (d) Forms and Procedures--(1) Forms for broker surety bonds and 
trust agreements. Form BMC-84 broker surety bond will be filed with the 
FMCSA for the full security limits under subsection (a); or Form BMC-85 
broker trust fund agreement will be filed with the FMCSA for the full 
security limits under paragraph (a) of this section.
    (2) Broker surety bonds and trust fund agreements in effect 
continuously. Surety bonds and trust fund agreements shall specify that 
coverage thereunder will remain in effect continuously until terminated 
as herein provided.
    (i) Cancellation notice. The surety bond and the trust fund 
agreement may be cancelled as only upon 30 days' written notice to the 
FMCSA, on prescribed Form BMC 36, by the principal or surety for the 
surety bond, and on prescribed Form BMC 85, by the trustor/broker or 
trustee for the trust fund agreement. The notice period commences upon 
the actual receipt of the notice at the FMCSA's Washington, DC office.
    (ii) Termination by replacement. Broker surety bonds or trust fund 
agreements which have been accepted by the FMCSA under these rules may 
be replaced by other surety bonds or trust fund agreements, and the 
liability of the retiring surety or trustee under such surety bond or 
trust fund agreements shall be considered as having terminated as of the 
effective date of the replacement surety bond or trust fund agreement. 
However, such termination shall not affect the liability of the surety 
or the trustee hereunder for the payment of any damages arising as the 
result of contracts, agreements or arrangements made by the broker for 
the supplying of transportation prior to the date such termination 
becomes effective.
    (3) Filing and copies. Broker surety bonds and trust fund agreements 
must be filed with the FMCSA in duplicate.

[53 FR 10396, Mar. 31, 1988]

Sec. 387.309  Qualifications as a self-insurer and other securities or 
          agreements.

    (a) As a self-insurer. The FMCSA will consider and will approve, 
subject to appropriate and reasonable conditions, the application of a 
motor carrier to qualify as a self-insurer, if the carrier furnishes a 
true and accurate statement of its financial condition and other 
evidence that establishes to the satisfaction of the FMCSA the ability 
of the motor carrier to satisfy its obligation for bodily injury 
liability, property damage liability, or cargo liability. Application 
Guidelines: In addition

[[Page 1014]]

to filing Form BMC 40, applicants for authority to self-insure against 
bodily injury and property damage claims should submit evidence that 
will allow the FMCSA to determine:
    (1) The adequacy of the tangible net worth of the motor carrier in 
relation to the size of operations and the extent of its request for 
self-insurance authority. Applicant should demonstrate that it will 
maintain a net worth that will ensure that it will be able to meet its 
statutory obligations to the public to indemnify all claimants in the 
event of loss.
    (2) The existence of a sound self-insurance program. Applicant 
should demonstrate that it has established, and will maintain, an 
insurance program that will protect the public against all claims to the 
same extent as the minimum security limits applicable to applicant under 
Sec. 387.303 of this part. Such a program may include, but not be 
limited to, one or more of the following: Irrevocable letters of credit; 
irrevocable trust funds; reserves; sinking funds; third-party financial 
guarantees, parent company or affiliate sureties; excess insurance 
coverage; or other similar arrangements.
    (3) The existence of an adequate safety program. Applicant must 
submit evidence of a current ``satisfactory'' safety rating by the 
United States Department of Transportation. Non-rated carriers need only 
certify that they have not been rated. Applications by carriers with a 
less than satisfactory rating will be summarily denied. Any self-
insurance authority granted by the FMCSA will automatically expire 30 
days after a carrier receives a less than satisfactory rating from DOT.
    (4) Additional information. Applicant must submit such additional 
information to support its application as the FMCSA may require.
    (b) Other securities or agreements. The FMCSA also will consider 
applications for approval of other securities or agreements and will 
approve any such application if satisfied that the security or agreement 
offered will afford the security for protection of the public 
contemplated by 49 U.S.C. 13906.

[48 FR 51780, Nov. 14, 1983 and 51 FR 15008, Apr. 22, 1986, as amended 
at 52 FR 3815, Feb. 6, 1987; 62 FR 49941, Sept. 24, 1997; 68 FR 56199, 
Sept. 30, 2003]

Sec. 387.311  Bonds and certificates of insurance.

    (a) Public liability. Each Form BMC 82 surety bond filed with the 
FMCSA must be for the full limits of liability required under 
Sec. 387.303(b)(1). Form MCS-82 surety bonds and other forms of similar 
import prescribed by the Department of Transportation, may be aggregated 
to comply with the minimum security limits required under 
Sec. 387.303(b)(1) or Sec. 387.303(b)(2). Each Form BMC 91 certificate 
of insurance filed with the FMCSA will always represent the full 
security minimum limits required for the particular carrier, while it 
remains in force, under Sec. 387.303(b)(1) or Sec. 387.303(b)(2), 
whichever is applicable. Any previously executed Form BMC 91 filed 
before the current revision which is left on file with the FMCSA after 
the effective date of this regulation, and not canceled within 30 days 
of that date will be deemed to certify the same coverage limits as would 
the filing of a revised Form BMC 91. Each Form BMC 91X certificate of 
insurance filed with the FMCSA will represent the full security limits 
under Sec. 387.303(b)(1) or Sec. 387.303(b)(2) or the specific security 
limits of coverage as indicated on the face of the form. If the filing 
reflects aggregation, the certificate must show clearly whether the 
insurance is primary or, if excess coverage, the amount of underlying 
coverage as well as amount of the maximum limits of coverage.* Each Form 
BMC 91MX certificate of insurance filed with the FMCSA will represent 
the security limits of coverage as indicated on the face of the form. 
The Form BMC 91MX

[[Page 1015]]

must show clearly whether the insurance is primary or, if excess 
coverage, the amount of underlying coverage as well as amount of the 
maximum limits of coverage.
---------------------------------------------------------------------------

    *Note: Aggregation to meet the requirement of Sec. 387.303(b)(1) 
will not be allowed until the completion of our rulemaking in Ex Parte 
No. MC-5 (Sub-No. 2), Motor Carrier and Freight Forwarder Insurance 
Procedures and Minimum Amounts of Liability.
---------------------------------------------------------------------------

    (b) Cargo Liability. Each form BMC 83 surety bond filed with the 
FMCSA must be for the full limits of liability required under 
Sec. 387.303(c). Each Form BMC 34 certificate of insurance filed with 
the FMCSA will represent the full security limits under Sec. 387.303(c) 
or the specific security limits of coverage as indicated on the face of 
the form. If the filing reflects aggregation, the certificate must show 
clearly whether the insurance is primary or, if excess coverage, the 
amount of underlying coverage as well as amount of the maximum limits of 
coverage.
    (c) Each policy of insurance in connection with the certificate of 
insurance which is filed with the FMCSA, shall be amended by attachment 
of the appropriate endorsement prescribed by the FMCSA and the 
certificate of insurance filed must accurately reflect that endorsement.

[47 FR 55944, Dec. 14, 1982, as amended at 48 FR 43332, Sept. 23, 1983; 
48 FR 51781, Nov. 14, 1983; 50 FR 40030, Oct. 1, 1985; 62 FR 49941, 
Sept. 24, 1997; 68 FR 56199, Sept. 30, 2003]

Sec. 387.313  Forms and procedures.

    (a) Forms for endorsements, certificates of insurance and others. 
(1) In form prescribed. Endorsements for policies of insurance and 
surety bonds, certificates of insurance, applications to qualify as a 
self-insurer, or for approval of other securities or agreements, and 
notices of cancellation must be in the form prescribed and approved by 
the FMCSA.
    (2) Aggregation of Insurance.** When insurance is provided by more 
than one insurer in order to aggregate security limits for carriers 
operating only freight vehicles under 10,000 pounds Gross Vehicle Weight 
Rating, as defined in Sec. 387.303(b)(1), a separate Form BMC 90, with 
the specific amounts of underlying and limits of coverage shown thereon 
or appended thereto, and Form BMC 91X certificate is required of each 
insurer.
---------------------------------------------------------------------------

    **Note: See Note for Rule 387.311. Also, it should be noted that DOT 
is considering prescribing adaptations of the Form MCS 90 endorsement 
and the Form MCS 82 surety bond for use by passenger carriers and Rules 
Secs. 387.311 and 387.313 have been written sufficiently broad to 
provide for this contingency when new forms are prescribed by that 
Agency.

For aggregation of insurance for all other carriers to cover security 
limits under Sec. 387.303 (b)(1) or (b)(2), a separate Department of 
Transportation prescribed form endorsement and Form BMC 91X certificate 
is required of each insurer. When insurance is provided by more than one 
insurer to aggregate coverage for security limits under Sec. 387.303(c) 
a separate Form BMC 32 endorsement and Form BMC 34 certificate of 
---------------------------------------------------------------------------
insurance is required for each insurer.

For aggregation of insurance for foreign motor private carriers of 
nonhazardous commodities to cover security limits under 
Sec. 387.303(b)(4), a separate Form BMC 90 with the specific amounts of 
underlying and limits of coverage shown thereon or appended thereto, or 
Department of Transportation prescribed form endorsement, and Form BMC 
91MX certificate is required for each insurer.

    (3) Use of Certificates and Endorsements in BMC Series. Form BMC 91 
certificates of insurance will be filed with the FMCSA for the full 
security limits under Sec. 387.303 (b)(1) or (b)(2).

Form BMC 91X certificate of insurance will be filed to represent full 
coverage or any level of aggregation for the security limits under 
Sec. 387.303 (b)(1) or (b)(2).

Form BMC 90 endorsement will be used with each filing of Form BMC 91 or 
Form 91X certificate with the FMCSA which certifies to coverage not 
governed by the requirements of the Department of Transportation. Form 
BMC 32 endorsement and Form BMC 34 certificate of insurance and Form BMC 
83 surety bonds are used for the limits of cargo liability under 
Sec. 387.303(c).

Form BMC 91MX certificate of insurance will be filed to represent any 
level of aggregation for the security limits under Sec. 387.303(b)(4).

    (4) Use of Endorsements in MCS Series. When Security limits 
certified under Sec. 387.303 (b)(1) or (b)(2) involves coverage also 
required by the Department

[[Page 1016]]

of Transportation a Form MCS endorsement prescribed by the Department of 
Transportation such as, and including, the Form MCS 90 endorsement is 
required.
    (5) Surety bonds. When surety bonds are used rather than 
certificates of insurance, Form BMC 82 is required for the security 
limits under Sec. 387.303(b)(1) not subject to regulation by the 
Department of Transportation, and Form MCS 82, or any form of similar 
import prescribed by the Department of Transportation, is used for the 
security limits subject also to minimum coverage requirements of the 
Department of Transportation.
    (6) Surety bonds and certificates in effect continuously. Surety 
bonds and certificates of insurance shall specify that coverage 
thereunder will remain in effect continuously until terminated as herein 
provided, except: (1) When filed expressly to fill prior gaps or lapses 
in coverage or to cover grants of emergency temporary authority of 
unusually short duration and the filing clearly so indicates, or (2) in 
special or unusual circumstances, when special permission is obtained 
for filing certificates of insurance or surety bonds on terms meeting 
other particular needs of the situation.
    (b) Filing and copies. Certificates of insurance, surety bonds, and 
notices of cancellation must be filed with the FMCSA in triplicate.
    (c) Name of insured. Certificates of insurance and surety bonds 
shall be issued in the full and correct name of the individual, 
partnership, corporation or other person to whom the certificate, 
permit, or license is, or is to be, issued. In the case of a 
partnership, all partners shall be named.
    (d) Cancellation notice. Except as provided in paragraph (e) of this 
section, surety bonds, certificates of insurance and other securities or 
agreements shall not be cancelled or withdrawn until 30 days after 
written notice has been submitted to the FMCSA at its offices in 
Washington, DC, on the prescribed form (Form BMC-35, Notice of 
Cancellation Motor Carrier Policies of Insurance under 49 U.S.C. 13906, 
and BMC-36, Notice of Cancellation Motor Carrier and Broker Surety 
Bonds, as appropriate) by the insurance company, surety or sureties, 
motor carrier, broker or other party thereto, as the case may be, which 
period of thirty (30) days shall commence to run from the date such 
notice on the prescribed form is actually received by the FMCSA.
    (e) Termination by replacement. Certificates of insurance or surety 
bonds which have been accepted by the FMCSA under these rules may be 
replaced by other certificates of insurance, surety bonds or other 
security, and the liability of the retiring insurer or surety under such 
certificates of insurance or surety bonds shall be considered as having 
terminated as of the effective date of the replacement certificate of 
insurance, surety bond or other security, provided the said replacement 
certificate, bond or other security is acceptable to the FMCSA under the 
rules and regulations in this part.

[47 FR 55944, Dec. 14, 1982, as amended at 48 FR 43334, Sept. 23, 1983; 
48 FR 51781, Nov. 14, 1983; 50 FR 40030, Oct. 1, 1985; 51 FR 34623, 
Sept. 30, 1986; 62 FR 49941, Sept. 24, 1997]

Sec. 387.315  Insurance and surety companies.

    A certificate of insurance or surety bond will not be accepted by 
the FMCSA unless issued by an insurance or surety company that is 
authorized (licensed or admitted) to issue bonds or underlying insurance 
policies:
    (a) In each state in which the motor carrier is authorized by the 
FMCSA to operate, or
    (b) In the state in which the motor carrier has its principal place 
of business or domicile, and will designate in writing upon request by 
the FMCSA, a person upon whom process, issued by or under the authority 
of a court of competent jurisdiction, may be served in any proceeding at 
law or equity brought in any state in which the carrier operates, or
    (c) In any state, and is eligible as an excess or surplus lines 
insurer in any state in which business is written, and will make the 
designation of process agent described in paragraph (b) of this section.

[56 FR 28111, June 19, 1991]

[[Page 1017]]

Sec. 387.317  Refusal to accept, or revocation by the FMCSA of surety 
          bonds, etc.

    The FMCSA may, at any time, refuse to accept or may revoke its 
acceptance of any surety bond, certificate of insurance, qualifications 
as a self-insurer, or other securities or agreements if, in its judgment 
such security does not comply with these sections or for any reason 
fails to provide satisfactory or adequate protection for the public. 
Revocation of acceptance of any certificate of insurance, surety bond or 
other security shall not relieve the motor carrier from compliance with 
Sec. 387.301(d).

[47 FR 55945, Dec. 14, 1982, as amended at 62 FR 49942, Sept. 24, 1997]

Sec. 387.319  Fiduciaries.

    (a) Definitions. The terms ``insured'' and ``principal'' as used in 
a certificate of insurance, surety bond, and notice of cancellation, 
filed by or for a motor carrier, include the motor carrier and its 
fiduciary as of the moment of succession. The term ``fiduciary'' means 
any person authorized by law to collect and preserve property of 
incapacitated, financially disabled, bankrupt, or deceased holders of 
operating rights, and assignees of such holders.
    (b) Insurance coverage in behalf of fiduciaries to apply 
concurrently. The coverage furnished under the provisions of this 
section on behalf of fiduciaries shall not apply subsequent to the 
effective date of other insurance, or other security, filed with and 
approved by the FMCSA in behalf of such fiduciaries. After the coverage 
provided in this section shall have been in effect thirty (30) days, it 
may be cancelled or withdrawn within the succeeding period of thirty 
(30) days by the insurer, the insured, the surety, or the principal upon 
ten (10) days' notice in writing to the FMCSA at its office in 
Washington, DC, which period of ten (10) days shall commence to run from 
the date such notice is actually received by the FMCSA. After such 
coverage has been in effect for a total of sixty (60) days, it may be 
cancelled or withdrawn only in accordance with Sec. 1043.7.

[32 FR 20032, Dec. 20, 1967, as amended at 47 FR 49596, Nov. 1, 1982; 47 
FR 55945, Dec. 14, 1982; 55 FR 11197, Mar. 27, 1990]

Sec. 387.321  Operations in foreign commerce.

    No motor carrier may operate in the United States in the course of 
transportation between places in a foreign country or between a place in 
one foreign country and a place in another foreign country unless and 
until there shall have been filed with and accepted by the FMCSA a 
certificate of insurance, surety bond, proof of qualifications as a 
self-insurer, or other securities or agreements in the amount prescribed 
in Sec. 387.303(b), conditioned to pay any final judgment recovered 
against such motor carrier for bodily injuries to or the death of any 
person resulting from the negligent operation, maintenance, or use of 
motor vehicles in transportation between places in a foreign country or 
between a place in one foreign country and a place in another foreign 
country, insofar as such transportation takes place in the United 
States, or for loss of or damage to property of others. The security for 
the protection of the public required by this section shall be 
maintained in effect at all times and shall be subject to the provisions 
of Secs. 387.309 through 387.319. The requirements of Sec. 387.315(a) 
shall be satisfied if the insurance or surety company, in addition to 
having been approved by the FMCSA, is legally authorized to issue 
policies or surety bonds in at least one of the States in the United 
States, or one of the Provinces in Canada, and has filed with the FMCSA 
the name and address of a person upon whom legal process may be served 
in each State in or through which the motor carrier operates. Such 
designation may from time to time be changed by like designation 
similarly filed, but shall be maintained during the effectiveness of any 
certificate of insurance or surety bond issued by the company, and 
thereafter with respect to any claims arising during the effectiveness 
of such certificate or bond. The term ``motor carrier'' as used in this 
section shall not include private carriers or carriers operating under 
the partial exemption from regulation in 49 U.S.C. 13503 and 13506.

[47 FR 55945, Dec. 14, 1982, as amended at 62 FR 49942, Sept. 24, 1997]

[[Page 1018]]

Sec. 387.323  Electronic filing of surety bonds, trust fund agreements, 
          certificates of insurance and cancellations.

    (a) Insurers may, at their option and in accordance with the 
requirements and procedures set forth in paragraphs (a) through (d) of 
this section, file forms BMC 34, BMC 35, BMC 36, BMC 82, BMC 83, BMC 84, 
BMC 85, BMC 91, and BMC 91X electronically, in lieu of using the 
prescribed printed forms.
    (b) Each insurer must obtain authorization to file electronically by 
registering with the FMCSA. An individual account number and password 
for computer access will be issued to each registered insurer.
    (c) Filings may be transmitted online via the Internet at: http://
fhwa-li.volpe.dot.gov or via American Standard Code Information 
Interchange (ASCII). All ASCII transmission must be in fixed format, 
i.e., all records must have the same number of fields and same length. 
The record layouts for ASCII electronic transactions are described in 
the following table:

                                    Electronic Insurance Filing Transactions
----------------------------------------------------------------------------------------------------------------
                                                                                Required
           Field name             Number of positions      Description          F=filing        Start      End
                                                                            C=cancel  B=both    field     field
----------------------------------------------------------------------------------------------------------------
Record type.....................  1 Numeric..........  1=Filing             B                        1         1
                                                       2=Cancellation.....
Insurer number..................  8 Text.............  FMCSA Assigned       B                        2         9
                                                        Insurer Number
                                                        (Home Office) With
                                                        Suffix (Issuing
                                                        Office), If
                                                        Different, e.g.
                                                        12345-01.
Filing type.....................  1 Numeric..........  1 = BI&PD            B                       10        10
                                                       2 = Cargo..........
                                                       3 = Bond...........
                                                       4 = Trust Fund.....
FMCSA docket number.............  8 Text.............  FMCSA Assigned MC    B                       11        18
                                                        or FF Number,
                                                        e.g., MC000045.
Insured legal name..............  120 Text...........  Legal Name.........  B                       19       138
Insured d/b/a name..............  60 Text............  Doing Business As    B                      139       198
                                                        Name If Different
                                                        From Legal Name.
Insured address.................  35 Text............  Either street or     B                      199       233
                                                        mailing address.
Insured city....................  30 Text............  ...................  B                      234       263
Insured state...................  2 Text.............  ...................  B                      264       265
Insured zip code................  9 Numeric            (Do not include      B                      266       274
                                                        dash if using 9
                                                        digit code).
Insured country.................  2 Text.............  (Will default to     B                      275       276
                                                        US).
Form code.......................  10 Text............  BMC-91, BMC-91X,     B                      277       286
                                                        BMC-34, BMC-35,
                                                        etc.
Full, primary or excess coverage  1 Text.............  If BMC-91X, P or E   F                      287       287
                                                        = indicator of
                                                        primary or excess
                                                        policy; 1 = Full
                                                        under Sec.
                                                        387.303(b)(1); 2 =
                                                        Full under Sec.
                                                        387.303(b)(2).
Limit of liability..............  5 Numeric..........  $ in Thousands.....  F                      288       292
Underlying limit of liability...  5 Numeric..........  $ in Thousands       F                      293       297
                                                        (will default to
                                                        $000 if Primary).
Effective date..................  8 Text.............  MM/DD/YY Format for  B                      298       305
                                                        both Filing or
                                                        Cancellation.
Policy number...................  25 Text............  Surety companies     B                      306       330
                                                        may enter bond
                                                        number.
----------------------------------------------------------------------------------------------------------------

    (d) All registered insurers agree to furnish upon request to the 
FMCSA a duplicate original of any policy (or policies) and all 
endorsements, surety bond, trust fund agreement, or other filing.

[60 FR 16810, Apr. 3, 1995, as amended at 62 FR 49942, Sept. 24, 1997; 
66 FR 49873, Oct. 1, 2001]

Subpart D--Surety Bonds and Policies of Insurance for Freight Forwarders

    Source: 55 FR 11201, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54710, Oct. 21, 1996.

[[Page 1019]]

Sec. 387.401  Definitions.

    (a) Freight forwarder means a person holding itself out to the 
general public (other than as an express, pipeline, rail, sleeping car, 
motor, or water carrier) to provide transportation of property for 
compensation in interstate commerce, and in the ordinary course of its 
business:
    (1) Performs or provides for assembling, consolidating, break-bulk, 
and distribution of shipments; and
    (2) Assumes responsibility for transportation from place of receipt 
to destination; and
    (3) Uses for any part of the transportation a carrier subject to 
FMCSA jurisdiction.
    (b) Household goods freight forwarder (HHGFF) means a freight 
forwarder of household goods, unaccompanied baggage, or used 
automobiles.
    (c) Motor vehicle means any vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used to transport 
property, but does not include any vehicle, locomotive, or car operated 
exclusively on a rail or rails. The following combinations will be 
regarded as one motor vehicle:
    (1) A tractor that draws a trailer or semitrailer; and
    (2) A truck and trailer bearing a single load.

Sec. 387.403  General requirements.

    (a) Cargo. A freight forwarder (including a HHGFF) may not operate 
until it has filed with the FMCSA an approriate surety bond, certificate 
of insurance, qualifications as a self-insurer, or other securities or 
agreements, in the amounts prescribed at Sec. 387.405, for loss of or 
damage to property.
    (b) Public liability. A HHGFF may not perform transfer, collection, 
and delivery service until it has filed with the FMCSA an appropriate 
surety bond, certificate of insurance, qualifications as a self-insurer, 
or other securities or agreements, in the amounts prescribed at 
Sec. 387.405, conditioned to pay any final judgment recovered against 
such HHGFF for bodily injury to or the death of any person, or loss of 
or damage to property (except cargo) of others, or, in the case of 
freight vehicles described at 49 CFR 387.303(b)(2), for environmental 
restoration, resulting from the negligent operation, maintenance, or use 
of motor vehicles operated by or under its control in performing such 
service.

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]

Sec. 387.405  Limits of liability.

    The minimum amounts for cargo and public liability security are 
identical to those prescribed for motor carriers at 49 CFR 387.303.

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]

Sec. 387.407  Surety bonds and certificates of insurance.

    (a) The limits of liability under Sec. 387.405 may be provided by 
aggregation under the procedures at 49 CFR part 387, subpart C.
    (b) Each policy of insurance used in connection with a certificate 
of insurance filed with the FMCSA shall be amended by attachment of the 
appropriate endorsement prescribed by the FMCSA (or the Department of 
Transportation, where applicable).

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]

Sec. 387.409  Insurance and surety companies.

    A certificate of insurance or surety bond will not be accepted by 
the FMCSA unless issued by an insurance or surety company that is 
authorized (licensed or admitted) to issue bonds or underlying insurance 
policies:
    (a) In each state in which the freight forwarder is authorized by 
the FMCSA to perform service, or
    (b) In the state in which the freight forwarder has its principal 
place of business or domicile, and will designate in writing upon 
request by the FMCSA, a person upon whom process, issued by or under the 
authority of a court of competent jurisdiction, may be served in any 
proceeding at law or equity brought in any state in which the freight 
forwarder performs service; or

[[Page 1020]]

    (c) In any state, and is eligible as an excess or surplus lines 
insurer in any state in which business is written, and will make the 
designation of process agent prescribed in paragraph (b) of this 
section.

[56 FR 28111, June 19, 1991]

Sec. 387.411  Qualifications as a self-insurer and other securities or 
          agreements.

    (a) Self-insurer. The FMCSA will approve the application of a 
freight fowarder to qualify as a self-insurer if it is able to meet its 
obligations for bodily-injury, property-damage, and cargo liability 
without adversely affecting its business.
    (b) Other securities and agreements. The FMCSA will grant 
applications for approval of other securities and agreements if the 
public will be protected as contemplated by 49 U.S.C. 13906(c).

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]

Sec. 387.413  Forms and procedure.

    (a) Forms. Endorsements for policies of insurance, surety bonds, 
certificates of insurance, applications to qualify as a self-insurer or 
for approval of other securities or agreements, and notices of 
cancellation must be in the form prescribed at 49 CFR part 387, subpart 
C.
    (b) Procedure. Certificates of insurance, surety bonds, and notices 
of cancellation must be filed with the FMCSA in triplicate.
    (c) Names. Certificates of insurance and surety bonds shall be 
issued in the full name (including any trade name) of the individual, 
partnership (all partners named), corporation, or other person holding 
or to be issued the permit.
    (d) Cancellation. Except as provided in paragraph (e) of this 
section, certificates of insurance, surety bonds, and other securities 
and agreements shall not be cancelled or withdrawn until 30 days after 
the FMCSA receives written notice from the insurance company, surety, 
freight forwarder, or other party, as the case may be.
    (e) Termination by replacement. Certificates of insurance or surety 
bonds may be replaced by other certificates of insurance, surety bonds, 
or other security, and the liability of the retiring insurer or surety 
shall be considered as having terminated as of the replacement's 
effective date, if acceptable to the FMCSA.

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]

Sec. 387.415  Acceptance and revocation by the FMCSA.

    The FMCSA may at any time refuse to accept or may revoke its 
acceptance of any surety bond, certificate of insurance, qualifications 
as a self-insurer, or other security or agreement that does not comply 
with these rules or fails to provide adequate public protection.

Sec. 387.417  Fiduciaries.

    (a) Interpretations. The terms ``insured'' and ``principal'' as used 
in a certificate of insurance, surety bond, and notice of cancellation, 
filed by or for a freight forwarder, include the freight forwarder and 
its fiduciary (as defined at 49 CFR 387.319(a)) as of the moment of 
succession.
    (b) Span of security coverage. The coverage furnished for a 
fiduciary shall not apply after the effective date of other insurance or 
security, filed with and accepted by the FMCSA for such fiduciary. After 
the coverage shall have been in effect 30 days, it may be cancelled or 
withdrawn within the succeeding 30 days by the insurer, the insured, the 
surety, or the principal 10 days after the FMCSA receives written 
notice. After such coverage has been in effect 60 days, it may be 
cancelled or withdrawn only in accordance with Sec. 387.413(d).

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]

Sec. 387.419  Electronic filing of surety bonds, certificates of 
          insurance and cancellations.

    Insurers may, at their option and in accordance with the 
requirements and procedures set forth at 49 CFR 387.323, file 
certificates of insurance, surety bonds, and other securities and 
agreements electronically.

[60 FR 16811, Apr. 3, 1995, as amended at 62 FR 49942, Sept. 24, 1997]

[[Page 1021]]



PART 388--COOPERATIVE AGREEMENTS WITH STATES

Sec.
388.1 Eligibility.
388.2 Extent of acceptance.
388.3 Cancellation.
388.4 Exchange of information.
388.5 Requests for assistance.
388.6 Joint investigation, inspection, or examination.
388.7 Joint administrative activities related to enforcement of safety 
          and hazardous materials laws and regulations.
388.8 Supplemental agreements.

    Authority: 49 U.S.C. 113 and 502; 49 CFR 1.73.

    Source: 33 FR 19725, Dec. 25, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 388 appear at 66 FR 
49873, Oct. 1, 2001.



Sec. 388.1  Eligibility.

    Any State may agree with the Federal Motor Carrier Safety 
Administration to enforce the safety laws and regulations of said State 
and the United States concerning motor carrier transportation by filing 
with the Administrator at Washington, DC 20590, a written acceptance of 
the terms herein.



Sec. 388.2  Extent of acceptance.

    The written acceptance may be in letter form, signed by competent 
authority of said State charged with regulations of motor carrier saftey 
and hazardous materials transportation and shall specify the terms 
herein pertaining to the obligations of a State in which said State will 
participate. To the extent that a State agrees to participate in the 
terms herein, officials of the Federal Motor Carrier Safety 
Administration will reciprocate.



Sec. 388.3  Cancellation.

    Cancellation or withdrawal, in whole or in part, from any agreement 
made under this chapter may be effected by written notice from either 
party indicating the effective date of said cancellation or withdrawal.



Sec. 388.4  Exchange of information.

    (a) Federal Motor Carrier Safety Administration furnishing 
information to State. Information that comes to the attention of an 
employee of the Federal Motor Carrier Safety Administration in the 
course of his/her official duties of investigation, inspection, or 
examination of the property, equipment, and records of a motor carrier 
or others, pursuant to 49 U.S.C. 504(c), and that is believed to be a 
violation of any law or regulation of the State pertaining to unsafe 
motor carrier operations and practices, shall be communicated to the 
appropriate State authority by an official of the Federal Motor Carrier 
Safety Administration.
    (b) State furnishing information to Federal Motor Carrier Safety 
Administration. Information that comes to the attention of a duly 
authorized agent of the State in the course of his/her official duties 
of investigation, inspection, or examination of the property, equipment, 
and records of a motor carrier or others, and that is believed to be a 
violation of any provision of the safety or hazardous materials laws of 
the United States concerning highway transportation or the regulations 
of the Federal Motor Carrier Safety Administration thereunder, shall be 
communicated to the Field Administrator.

[51 FR 12621, Apr. 14, 1986, as amended at 67 FR 61824, Oct. 2, 2002]



Sec. 388.5  Requests for assistance.

    (a) State request for Federal Motor Carrier Safety Administration 
assistance. Upon written request of the appropriate State authority, the 
officials of the Federal Motor Carrier Safety Administration for that 
State shall, as time, personnel, and funds permit, obtain evidence for 
use by said State in the enforcement of its laws and regulations 
concerning unsafe motor carrier operations. Evidence obtained in this 
manner shall be transmitted to the appropriate State authority together 
with the name and address of an agent or employee, if any, having 
knowledge of the facts, who shall be made available when necessary to 
testify as a witness in an enforcement proceeding or other action.
    (b) Federal Motor Carrier Safety Administration request for State 
assistance. Upon written request from a Regional Director of Motor 
Carriers, the appropriate State authority, shall, as time, personnel, 
and funds permit, obtain evidence in the State for use by the

[[Page 1022]]

Federal Motor Carrier Safety Administration in its enforcement of the 
safety and hazardous materials laws and regulations of the United States 
concerning highway transportation. Evidence obtained in this manner 
shall be transmitted to the Field Administrator, together with the name 
and address of an agent or employee, if any, having knowledge of the 
facts, who shall be made available when necessary to testify as a 
witness in an enforcement proceeding or other action.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986; 
60 FR 38743, July 28, 1995; 67 FR 61824, Oct. 2, 2002]



Sec. 388.6  Joint investigation, inspection, or examination.

    Upon agreement by the Field Administrator and the appropriate State 
authority, there will be conducted a joint investigation, inspection, or 
examination of the property, equipment, or records of motor carriers or 
others, for the enforcement of the safety and hazardous materials laws 
and regulations of the United States and the State concerning highway 
transportation. The said Field Administrator and the appropriate State 
authority shall decide as to the location and time, the objectives 
sought, and the identity of the person who will supervise the joint 
effort and make the necessary decisions. Any agent or employee of either 
agency who has personal knowledge of pertinent facts shall be made 
available when necessary to testify as a witness in an enforcement 
proceeding or other action.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986; 
67 FR 61824, Oct. 2, 2002]



Sec. 388.7  Joint administrative activities related to enforcement of safety and hazardous materials laws and regulations.

    To facilitate the interchange of information and evidence, and the 
conduct of joint investigation and administrative action, the Field 
Administrator and the appropriate State authority shall, when warranted, 
schedule joint conferences of staff members of both agencies. 
Information shall be exchanged as to the nature and extent of the 
authority and capabilities of the respective agencies to enforce the 
safety and hazardous materials laws and regulations of the State or of 
the United States concerning motor carrier transportation. The Federal 
Motor Carrier Safety Administration and the State (or appropriate State 
authority) shall use their best efforts to inform each other of changes 
in their rules and regulations and cooperate with and assist each other 
in conducting training schools for Federal and State enforcement 
officials engaged in such duties.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986; 
67 FR 61824, Oct. 2, 2002]



Sec. 388.8  Supplemental agreements.

    The terms specified in this part may be supplemented from time to 
time by specific agreement between the Federal Motor Carrier Safety 
Administration and the appropriate State authority in order to further 
implement the provisions of 49 U.S.C. 502.

[51 FR 12621, Apr. 14, 1986]



PART 389--RULEMAKING PROCEDURES--FEDERAL MOTOR CARRIER SAFETY REGULATIONS--Table of Contents




                           Subpart A--General

Sec.
389.1 Applicability.
389.3 Definitions.
389.5 Regulatory docket.
389.7 Records.

               Subpart B--Procedures for Adoption of Rules

389.11 General.
389.13 Initiation of rule making.
389.15 Contents of notices of proposed rule making.
389.17 Participation by interested persons.
389.19 Petitions for extension of time to comment.
389.21 Contents of written comments.
389.23 Consideration of comments received.
389.25 Additional rule making proceedings.
389.27 Hearings.
389.29 Adoption of final rules.
389.31 Petitions for rule making.
389.33 Processing of petition.
389.35 Petitions for reconsideration.
389.37 Proceedings on petitions for reconsideration.


[[Page 1023]]


    Authority: 49 U.S.C. 113, 501 et seq., 31101 et seq., 31138, 31139, 
31301 et seq., and 31502; 42 U.S.C. 4917; and 49 CFR 1.73.

    Source: 35 FR 9209, June 12, 1970, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 389 appear at 66 FR 
49873, Oct. 1, 2001.



                           Subpart A--General



Sec. 389.1  Applicability.

    This part prescribes rulemaking procedures that apply to the 
issuance, amendment and revocation of rules under an Act.

[62 FR 37152, July 11, 1997]



Sec. 389.3  Definitions.

    Act means statutes granting the Secretary authority to regulate 
motor carrier safety.
    Administrator means the Federal Motor Carrier Safety Administrator.

[62 FR 37152, July 11, 1997]



Sec. 389.5  Regulatory docket.

    (a) Information and data deemed relevant by the Administrator 
relating to rule making actions, including notices of proposed rule 
making; comments received in response to notices; petitions for rule 
making and reconsideration; denials of petitions for rule making and 
reconsideration; records of additional rule making proceedings under 
Sec. 389.25; and final rules are maintained at Headquarters, Federal 
Motor Carrier Safety Administration, Nassif Building, 400 Seventh 
Street, SW., Washington, DC 20590.
    (b) Any person may examine docketed material, at any time during 
regular business hours after the docket is established, except material 
ordered withheld from the public under section 552(b) of title 5 of the 
United States Code, and may obtain a copy of it upon payment of a fee.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.7  Records.

    Records of the Administrator relating to rule making proceedings are 
available for inspection as provided in section 552(b) of title 5 of the 
United States Code and part 7 of the regulations of the Secretary of 
Transportation (part 7 of this title; 32 FR 9284 et seq.).

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



               Subpart B--Procedures for Adoption of Rules



Sec. 389.11  General.

    Unless the Administrator, for good cause, finds a notice is 
impractical, unnecessary, or contrary to the public interest, and 
incorporates such a finding and a brief statement of the reasons for it 
in the rule, a notice of proposed rulemaking must be issued, and 
interested persons are invited to participate in the rulemaking 
proceedings involving rules under an Act.

[62 FR 37152, July 11, 1997]



Sec. 389.13  Initiation of rule making.

    The Administrator initiates rule making on his/her own motion. 
However, in so doing, he/she may, in his/her discretion, consider the 
recommendations of his/her staff or other agencies of the United States 
or of other interested persons.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.15  Contents of notices of proposed rule making.

    (a) Each notice of proposed rule making is published in the Federal 
Register, unless all persons subject to it are named and are personally 
served with a copy of it.
    (b) Each notice, whether published in the Federal Register or 
personally served, includes:
    (1) A statement of the time, place, and nature of the proposed rule 
making proceeding;
    (2) A reference to the authority under which it is issued;
    (3) A description of the subjects and issues involved or the 
substance and terms of the proposed rule;
    (4) A statement of the time within which written comments must be 
submitted; and
    (5) A statement of how and to what extent interested persons may 
participate in the proceeding.

[[Page 1024]]



Sec. 389.17  Participation by interested persons.

    (a) Any interested person may participate in rule making proceedings 
by submitting comments in writing containing information, views, or 
arguments.
    (b) In his/her discretion, the Administrator may invite any 
interested person to participate in the rule making procedures described 
in Sec. 389.25.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.19  Petitions for extension of time to comment.

    A petition for extension of the time to submit comments must be 
received in duplicate not later than three (3) days before expiration of 
the time stated in the notice. The filing of the petition does not 
automatically extend the time for petitioner's comments. Such a petition 
is granted only if the petitioner shows good cause for the extension, 
and if the extension is consistent with the public interest. If an 
extension is granted, it is granted to all persons, and it is published 
in the Federal Register.



Sec. 389.21  Contents of written comments.

    All written comments must be in English and submitted in five (5) 
legible copies, unless the number of copies is specified in the notice. 
Any interested person must submit as part of his/her written comments 
all material that he/she considers relevant to any statement of fact 
made by him/her. Incorporation of material by reference is to be 
avoided. However, if such incorporation is necessary, the incorporated 
material shall be identified with respect to document and page.



Sec. 389.23  Consideration of comments received.

    All timely comments are considered before final action is taken on a 
rule making proposal. Late filed comments may be considered as far as 
practicable.



Sec. 389.25  Additional rule making proceedings.

    The Administrator may initiate any further rule making proceedings 
that he/she finds necessary or desirable. or example, interested persons 
may be invited to make oral arguments, to participate in conferences 
between the Administrator or his/her representative at which minutes of 
the conference are kept, to appear at informal hearings presided over by 
officials designated by the Administrator at which a transcript or 
minutes are kept, or participate in any other proceeding to assure 
informed administrative action and to protect the public interest.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.27  Hearings.

    (a) Sections 556 and 557 of title 5, United States Code, do not 
apply to hearings held under this part. Unless otherwise specified, 
hearings held under this part are informal, nonadversary, fact-finding 
procedures at which there are no formal pleadings or adverse parties. 
Any rule issued in a case in which an informal hearing is held is not 
necessarily based exclusively on the record of the hearing.
    (b) The Administrator designates a representative to conduct any 
hearing held under this part. The Chief Counsel of the Federal Motor 
Carrier Safety Administration designates a member of his/her staff to 
serve as legal officer at the hearing.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.29  Adoption of final rules.

    Final rules are prepared by representatives of the office concerned 
and the Office of the Chief Counsel. The rule is then submitted to the 
Administrator for his/her consideration. If the Administrator adopts the 
rule, it is published in the Federal Register, unless all persons 
subject to it are named and are personally served with a copy of it.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.31  Petitions for rule making.

    (a) Any interested person may petition the Administrator to 
establish, amend, or repeal a rule.
    (b) Each petition filed under this section must:

[[Page 1025]]

    (1) Be submitted in duplicate to the Administrator, Federal Motor 
Carrier Safety Administration, 400 Seventh Street, SW., Washington, DC 
20590;
    (2) Set forth the text or substance of the rule or amendment 
proposed, or specify the rule that the petitioner seeks to have 
repealed, as the case may be;
    (3) Explain the interest of the petitioner in the action requested;
    (4) Contain any information and arguments available to the 
petitioner to support the action sought.

[35 FR 9209, June 12, 1970, as amended at 45 FR 46424, July 10, 1980; 53 
FR 2036, Jan. 26, 1988]



Sec. 389.33  Processing of petition.

    (a) Unless the Administrator otherwise specifies, no public hearing, 
argument, or other proceeding is held directly on a petition before its 
disposition under this section.
    (b) Grants. If the Administrator determines that the petition 
contains adequate justification, he/she initiates rule making action 
under this Subpart B.
    (c) Denials. If the Administrator determines that the petition does 
not justify rule making, he/she denies the petition.
    (d) Notification. Whenever the Administrator determines that a 
petition should be granted or denied, the Office of the Chief Counsel 
prepares a notice of that grant or denial for issuance to the 
petitioner, and the Administrator issues it to the petitioner.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.35  Petitions for reconsideration.

    (a) Any interested person may petition the Administrator for 
reconsideration of any rule issued under this part. The petition must be 
in English and submitted in five (5) legible copies to the 
Administrator, Federal Motor Carrier Safety Administration, 400 Seventh 
Street, SW., Washington, DC 20590, and received not later than thirty 
(30) days after publication of the rule in the Federal Register. 
Petitions filed after that time will be considered as petitions filed 
under Sec. 389.31. The petition must contain a brief statement of the 
complaint and an explanation as to why compliance with the rule is not 
practicable, is unreasonable, or is not in the public interest.
    (b) If the petitioner requests the consideration of additional 
facts, he/she must state the reason they were not presented to the 
Administrator within the prescribed time.
    (c) The Administrator does not consider repetitious petitions.
    (d) Unless the Administrator otherwise provides, the filing of a 
petition under this section does not stay the effectiveness of the rule.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.37  Proceedings on petitions for reconsideration.

    The Administrator may grant or deny, in whole or in part, any 
petition for reconsideration without further proceedings. In the event 
he/she determines to reconsider any rule, he/she may issue a final 
decision on reconsideration without further proceedings, or he/she may 
provide such opportunity to submit comment or information and data as 
he/she deems appropriate. Whenever the Administrator determines that a 
petition should be granted or denied, he/she prepares a notice of the 
grant or denial of a petition for reconsideration, for issuance to the 
petitioner, and issues it to the petitioner. The Administrator may 
consolidate petitions relating to the same rule.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



PART 390--FEDERAL MOTOR CARRIER SAFETY REGULATIONS; GENERAL--Table of Contents




            Subpart A--General Applicability and Definitions

Sec.
390.1 Purpose.
390.3 General applicability.
390.5 Definitions.
390.7 Rules of construction.

             Subpart B--General Requirements and Information

390.9 State and local laws, effect on.
390.11 Motor carrier to require observance of driver regulations.

[[Page 1026]]

390.13 Aiding or abetting violations.
390.15 Assistance in investigations and special studies.
390.16 [Reserved]
390.17 Additional equipment and accessories.
390.19 Motor carrier identification report.
390.21 Marking of CMVs.
390.23 Relief from regulations.
390.25 Extension of relief from regulations--emergencies.
390.27 Locations of motor carrier safety service centers.
390.29 Location of records or documents.
390.31 Copies of records or documents.
390.33 Commercial motor vehicles used for purposes other than defined.
390.35 Certificates, reports, and records: Falsification, reproduction, 
          or alteration.
390.37 Violation and penalty.

Subpart C [Reserved]

    Authority: 49 U.S.C. 13301, 13902, 31132, 31133, 31136, 31502, and 
31504; sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49 U.S.C. 701 
note); secs. 212 and 217, Pub. L. 106-159, 113 Stat. 1748, 1766, 1767; 
and 49 CFR 1.73.

    Source: 53 FR 18052, May 19, 1988, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 390 appear at 66 FR 
49873, Oct. 1, 2001.



            Subpart A--General Applicability and Definitions



Sec. 390.1  Purpose.

    This part establishes general applicability, definitions, general 
requirements and information as they pertain to persons subject to this 
chapter.



Sec. 390.3  General applicability.

    (a) The rules in subchapter B of this chapter are applicable to all 
employers, employees, and commercial motor vehicles, which transport 
property or passengers in interstate commerce.
    (b) The rules in Part 383, Commercial Driver's License Standards; 
Requirements and Penalties, are applicable to every person who operates 
a commercial motor vehicle, as defined in Sec. 383.5 of this subchapter, 
in interstate or intrastate commerce and to all employers of such 
persons.
    (c) The rules in Part 387, Minimum Levels of Financial 
Responsibility for Motor Carriers, are applicable to motor carriers as 
provided in Sec. 387.3 or 387.27 of this subchapter.
    (d) Additional requirements. Nothing in subchapter B of this chapter 
shall be construed to prohibit an employer from requring and enforcing 
more stringent requirements relating to safety of operation and employee 
safety and health.
    (e) Knowledge of and compliance with the regulations.
    (1) Every employer shall be knowledgeable of and comply with all 
regulations contained in this subchapter which are applicable to that 
motor carrier's operations.
    (2) Every driver and employee shall be instructed regarding, and 
shall comply with, all applicable regulations contained in this 
subchapter.
    (3) All motor vehicle equipment and accessories required by this 
subchapter shall be maintained in compliance with all applicable 
performance and design criteria set forth in this subchapter.
    (f) Exceptions. Unless otherwise specifically provided, the rules in 
this subchapter do not apply to--
    (1) All school bus operations as defined in Sec. 390.5;
    (2) Transportation performed by the Federal government, a State, or 
any political subdivision of a State, or an agency established under a 
compact between States that has been approved by the Congress of the 
United States;
    (3) The occasional transportation of personal property by 
individuals not for compensation nor in the furtherance of a commercial 
enterprise;
    (4) The transportation of human corpses or sick and injured persons;
    (5) The operation of fire trucks and rescue vehicles while involved 
in emergency and related operations;
    (6)(i) The operation of commercial motor vehicles designed or used 
to transport between 9 and 15 passengers (including the driver), not for 
direct compensation, provided the vehicle does not otherwise meet the 
definition of a commercial motor vehicle, except that motor carriers 
operating such vehicles are required to comply with Secs. 390.15, 
390.19, and 390.21(a) and (b)(2).
    (ii) The operation of commercial motor vehicles designed or used to 
transport between 9 and 15 passengers (including the driver) for direct 
compensation, provided the vehicle is not

[[Page 1027]]

being operated beyond a 75 air-mile radius (86.3 statute miles or 138.9 
kilometers) from the driver's normal work-reporting location, and 
provided the vehicle does not otherwise meet the definition of a 
commercial motor vehicle, except that motor carriers operating such 
vehicles are required to comply with Secs. 390.15, 390.19, and 390.21(a) 
and (b)(2).

[53 FR 18052, May 19, 1988, as amended at 54 FR 12202, Mar. 24, 1989; 58 
FR 33776, June 21, 1993; 59 FR 8752, Feb. 23, 1994; 59 FR 67554, Dec. 
29, 1994; 62 FR 1296, Jan. 9, 1997; 63 FR 33276, June 18, 1998; 64 FR 
48516, Sept. 3, 1999; 66 FR 2766, Jan. 11, 2001; 68 FR 47875, Aug. 12, 
2003]



Sec. 390.5  Definitions.

    Unless specifically defined elsewhere, in this subchapter:
    Accident means--
    (1) Except as provided in paragraph (2) of this definition, an 
occurrence involving a commercial motor vehicle operating on a highway 
in interstate or intrastate commerce which results in:
    (i) A fatality;
    (ii) Bodily injury to a person who, as a result of the injury, 
immediately receives medical treatment away from the scene of the 
accident; or
    (iii) One or more motor vehicles incurring disabling damage as a 
result of the accident, requiring the motor vehicle(s) to be transported 
away from the scene by a tow truck or other motor vehicle.
    (2) The term accident does not include:
    (i) An occurrence involving only boarding and alighting from a 
stationary motor vehicle; or
    (ii) An occurrence involving only the loading or unloading of cargo.
    Alcohol concentration (AC) means the concentration of alcohol in a 
person's blood or breath. When expressed as a percentage it means grams 
of alcohol per 100 milliliters of blood or grams of alcohol per 210 
liters of breath.
    Bus means any motor vehicle designed, constructed, and or used for 
the transportation of passengers, including taxicabs.
    Business district means the territory contiguous to and including a 
highway when within any 600 feet along such highway there are buildings 
in use for business or industrial purposes, including but not limited to 
hotels, banks, or office buildings which occupy at least 300 feet of 
frontage on one side or 300 feet collectively on both sides of the 
highway.
    Charter transportation of passengers means transportation, using a 
bus, of a group of persons who pursuant to a common purpose, under a 
single contract, at a fixed charge for the motor vehicle, have acquired 
the exclusive use of the motor vehicle to travel together under an 
itinerary either specified in advance or modified after having left the 
place of origin.
    Commercial motor vehicle means any self-propelled or towed motor 
vehicle used on a highway in interstate commerce to transport passengers 
or property when the vehicle--
    (1) Has a gross vehicle weight rating or gross combination weight 
rating, or gross vehicle weight or gross combination weight, of 4,536 kg 
(10,001 pounds) or more, whichever is greater; or
    (2) Is designed or used to transport more than 8 passengers 
(including the driver) for compensation; or
    (3) Is designed or used to transport more than 15 passengers, 
including the driver, and is not used to transport passengers for 
compensation; or
    (4) Is used in transporting material found by the Secretary of 
Transportation to be hazardous under 49 U.S.C. 5103 and transported in a 
quantity requiring placarding under regulations prescribed by the 
Secretary under 49 CFR, subtitle B, chapter I, subchapter C.
    Conviction means an unvacated adjudication of guilt, or a 
determination that a person has violated or failed to comply with the 
law in a court of original jurisdiction or by an authorized 
administrative tribunal, an unvacated forfeiture of bail or collateral 
deposited to secure the person's appearance in court, a plea of guilty 
or nolo contendere accepted by the court, the payment of a fine or court 
cost, or violation of a condition of release without bail, regardless of 
whether or not the penalty is rebated, suspended, or probated.
    Direct assistance means transportation and other relief services 
provided by a motor carrier or its driver(s)

[[Page 1028]]

incident to the immediate restoration of essential services (such as, 
electricity, medial care, sewer, water, telecommunications, and 
telecommunication transmissions) or essential supplies (such as, food 
and fuel). It does not include transportation related to long-term 
rehabilitation of damaged physical infrastructure or routine commercial 
deliveries after the initial threat to life and property has passed.
    Direct compensation means payment made to the motor carrier by the 
passengers or a person acting on behalf of the passengers for the 
transportation services provided, and not included in a total package 
charge or other assessment for highway transportation services.
    Disabling damage means damage which precludes departure of a motor 
vehicle from the scene of the accident in its usual manner in daylight 
after simple repairs.
    (1) Inclusions. Damage to motor vehicles that could have been 
driven, but would have been further damaged if so driven.
    (2) Exclusions.
    (i) Damage which can be remedied temporarily at the scene of the 
accident without special tools or parts.
    (ii) Tire disablement without other damage even if no spare tire is 
available.
    (iii) Headlamp or taillight damage.
    (iv) Damage to turn signals, horn, or windshield wipers which makes 
them inoperative.
    Driveaway-towaway operation means any operation in which a motor 
vehicle constitutes the commodity being transported and one or more set 
of wheels of the motor vehicle being transported are on the surface of 
the roadway during transportation.
    Driver means any person who operates any commercial motor vehicle.
    Driving a commercial motor vehicle while under the influence of 
alcohol means committing any one or more of the following acts in a CMV: 
Driving a CMV while the person's alcohol concentration is 0.04 or more; 
driving under the influence of alcohol, as prescribed by State law; or 
refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Table 1 to Sec. 383.51 or 
Sec. 392.5(a)(2) of this subchapter.
    Emergency means any hurricane, tornado, storm (e.g. thunderstorm, 
snowstorm, icestorm, blizzard, sandstorm, etc.), high water, wind-driven 
water, tidal wave, tsunami, earthquake, volcanic eruption, mud slide, 
drought, forest fire, explosion, blackout or other occurrence, natural 
or man-made, which interrupts the delivery of essential services (such 
as, electricity, medical care, sewer, water, telecommunications, and 
telecommunication transmissions) or essential supplies (such as, food 
and fuel) or otherwise immediately threatens human life or public 
welfare, provided such hurricane, tornado, or other event results in:
    (1) A declaration of an emergency by the President of the United 
States, the Governor of a State, or their authorized representatives 
having authority to declare emergencies; by the FMCSA Field 
Administrator for the geographical area in which the occurrence happens; 
or by other Federal, State or local government officials having 
authority to declare emergencies, or
    (2) A request by a police officer for tow trucks to move wrecked or 
disabled motor vehicles.
    Emergency relief means an operation in which a motor carrier or 
driver of a commercial motor vehicle is providing direct assistance to 
supplement State and local efforts and capabilities to save lives or 
property or to protect public health and safety as a result of an 
emergency as defined in this section.
    Employee means any individual, other than an employer, who is 
employed by an employer and who in the course of his or her employment 
directly affects commercial motor vehicle safety. Such term includes a 
driver of a commercial motor vehicle (including an independent 
contractor while in the course of operating a commercial motor vehicle), 
a mechanic, and a freight handler. Such term does not include an 
employee of the United States, any State, any political subdivision of a 
State, or any agency established under a compact between States and 
approved by the Congress of the United States who is acting within the 
course of such employment.

[[Page 1029]]

    Employer means any person engaged in a business affecting interstate 
commerce who owns or leases a commercial motor vehicle in connection 
with that business, or assigns employees to operate it, but such terms 
does not include the United States, any State, any political subdivision 
of a State, or an agency established under a compact between States 
approved by the Congress of the United States.
    Exempt intracity zone means the geographic area of a municipality or 
the commercial zone of that municipality described in appendix F to 
subchapter B of this chapter. The term ``exempt intracity zone'' does 
not include any municipality or commercial zone in the State of Hawaii. 
For purposes of Sec. 391.62, a driver may be considered to operate a 
commercial motor vehicle wholly within an exempt intracity zone 
notwithstanding any common control, management, or arrangement for a 
continuous carriage or shipment to or from a point without such zone.
    Exempt motor carrier means a person engaged in transportation exempt 
from economic regulation by the Federal Motor Carrier Safety 
Administration (FMCSA) under 49 U.S.C. 13506. ``Exempt motor carriers'' 
are subject to the safety regulations set forth in this subchapter.
    Farm vehicle driver means a person who drives only a commercial 
motor vehicle that is--
    (a) Controlled and operated by a farmer as a private motor carrier 
of property;
    (b) Being used to transport either--
    (1) Agricultural products, or
    (2) Farm machinery, farm supplies, or both, to or from a farm;
    (c) Not being used in the operation of a for-hire motor carrier;
    (d) Not carrying hazardous materials of a type or quantity that 
requires the commercial motor vehicle to be placarded in accordance with 
Sec. 177.823 of this subtitle; and
    (e) Being used within 150 air-miles of the farmer's farm.
    Farmer means any person who operates a farm or is directly involved 
in the cultivation of land, crops, or livestock which--
    (a) Are owned by that person; or
    (b) Are under the direct control of that person.
    Fatality means any injury which results in the death of a person at 
the time of the motor vehicle accident or within 30 days of the 
accident.
    Federal Motor Carrier Safety Administrator means the chief executive 
of the Federal Motor Carrier Safety Administration, an agency within the 
Department of Transportation.
    For-hire motor carrier means a person engaged in the transportation 
of goods or passengers for compensation.
    Gross combination weight rating (GCWR) means the value specified by 
the manufacturer as the loaded weight of a combination (articulated) 
motor vehicle. In the absence of a value specified by the manufacturer, 
GCWR will be determined by adding the GVWR of the power unit and the 
total weight of the towed unit and any load thereon.
    Gross vehicle weight rating (GVWR) means the value specified by the 
manufacturer as the loaded weight of a single motor vehicle.
    Hazardous material means a substance or material which has been 
determined by the Secretary of Transportation to be capable of posing an 
unreasonable risk to health, safety, and property when transported in 
commerce, and which has been so designated.
    Hazardous substance means a material, and its mixtures or solutions, 
that is identified in the appendix to Sec. 172.101, List of Hazardous 
Substances and Reportable Quantities, of this title when offered for 
transportation in one package, or in one transport motor vehicle if not 
packaged, and when the quantity of the material therein equals or 
exceeds the reportable quantity (RQ). This definition does not apply to 
petroleum products that are lubricants or fuels, or to mixtures or 
solutions of hazardous substances if in a concentration less than that 
shown in the table in Sec. 171.8 of this title, based on the reportable 
quantity (RQ) specified for the materials listed in the appendix to 
Sec. 172.101.
    Hazardous waste means any material that is subject to the hazardous 
waste manifest requirements of the EPA specified in 40 CFR part 262 or 
would be subject to these requirements absent

[[Page 1030]]

an interim authorization to a State under 40 CFR part 123, subpart F.
    Highway means any road, street, or way, whether on public or private 
property, open to public travel. ``Open to public travel'' means that 
the road section is available, except during scheduled periods, extreme 
weather or emergency conditions, passable by four-wheel standard 
passenger cars, and open to the general public for use without 
restrictive gates, prohibitive signs, or regulation other than 
restrictions based on size, weight, or class of registration. Toll 
plazas of public toll roads are not considered restrictive gates.
    Interstate commerce means trade, traffic, or transportation in the 
United States--
    (1) Between a place in a State and a place outside of such State 
(including a place outside of the United States);
    (2) Between two places in a State through another State or a place 
outside of the United States; or
    (3) Between two places in a State as part of trade, traffic, or 
transportation originating or terminating outside the State or the 
United States.
    Intrastate commerce means any trade, traffic, or transportation in 
any State which is not described in the term ``interstate commerce.''
    Medical examiner means a person who is licensed, certified, and/or 
registered, in accordance with applicable State laws and regulations, to 
perform physical examinations. The term includes but is not limited to, 
doctors of medicine, doctors of osteopathy, physician assistants, 
advanced practice nurses, and doctors of chiropractic.
    Motor carrier means a for-hire motor carrier or a private motor 
carrier. The term includes a motor carrier's agents, officers and 
representatives as well as employees responsible for hiring, 
supervising, training, assigning, or dispatching of drivers and 
employees concerned with the installation, inspection, and maintenance 
of motor vehicle equipment and/or accessories. For purposes of 
subchapter B, this definition includes the terms employer, and exempt 
motor carrier.
    Motor vehicle means any vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used upon the 
highways in the transportation of passengers or property, or any 
combination thereof determined by the Federal Motor Carrier Safety 
Administration, but does not include any vehicle, locomotive, or car 
operated exclusively on a rail or rails, or a trolley bus operated by 
electric power derived from a fixed overhead wire, furnishing local 
passenger transportation similar to street-railway service.
    Multiple-employer driver means a driver, who in any period of 7 
consecutive days, is employed or used as a driver by more than one motor 
carrier.
    Operator -- See driver.
    Other terms -- Any other term used in this subchapter is used in its 
commonly accepted meaning, except where such other term has been defined 
elsewhere in this subchapter. In that event, the definition therein 
given shall apply.
    Out-of-service order means a declaration by an authorized 
enforcement officer of a Federal, State, Canadian, Mexican, or local 
jurisdiction that a driver, a commercial motor vehicle, or a motor 
carrier operation, is out-of-service pursuant to Secs. 386.72, 392.5, 
395.13, 396.9, or compatible laws, or the North American Uniform Out-of-
Service Criteria.
    Person means any individual, partnership, association, corporation, 
business trust, or any other organized group of individuals.
    Principal place of business means the single location designated by 
the motor carrier, normally its headquarters, for purposes of 
identification under this subchapter. The motor carrier must make 
records required by parts 382, 387, 390, 391, 395, 396, and 397 of this 
subchapter available for inspection at this location within 48 hours 
(Saturdays, Sundays, and Federal holidays excluded) after a request has 
been made by a special agent or authorized representative of the Federal 
Motor Carrier Safety Administration.
    Private motor carrier means a person who provides transportation of 
property or passengers, by commercial motor vehicle, and is not a for-
hire motor carrier.

[[Page 1031]]

    Private motor carrier of passengers (business) means a private motor 
carrier engaged in the interstate transportation of passengers which is 
provided in the furtherance of a commercial enterprise and is not 
available to the public at large.
    Private motor carrier of passengers (nonbusiness) means private 
motor carrier involved in the interstate transportation of passengers 
that does not otherwise meet the definition of a private motor carrier 
of passengers (business).
    Radar detector means any device or mechanism to detect the emission 
of radio microwaves, laser beams or any other future speed measurement 
technology employed by enforcement personnel to measure the speed of 
commercial motor vehicles upon public roads and highways for enforcement 
purposes. Excluded from this definition are radar detection devices that 
meet both of the following requirements:
    (1) Transported outside the driver's compartment of the commercial 
motor vehicle. For this purpose, the driver's compartment of a 
passenger-carrying CMV shall include all space designed to accommodate 
both the driver and the passengers; and
    (2) Completely inaccessible to, inoperable by, and imperceptible to 
the driver while operating the commercial motor vehicle.
    Regional Director of Motor Carriers means the Field Administrator, 
Federal Motor Carrier Safety Administration, for a given geographical 
area of the United States.
    Residential district means the territory adjacent to and including a 
highway which is not a business district and for a distance of 300 feet 
or more along the highway is primarily improved with residences.
    School bus means a passenger motor vehicle which is designed or used 
to carry more than 10 passengers in addition to the driver, and which 
the Secretary determines is likely to be significantly used for the 
purpose of transporting preprimary, primary, or secondary school 
students to such schools from home or from such schools to home.
    School bus operation means the use of a school bus to transport only 
school children and/or school personnel from home to school and from 
school to home.
    Secretary means the Secretary of Transportation.
    Single-employer driver means a driver who, in any period of 7 
consecutive days, is employed or used as a driver solely by a single 
motor carrier. This term includes a driver who operates a commercial 
motor vehicle on an intermittent, casual, or occasional basis.
    Special agent See appendix B to subchapter B -- Special agents.
    State means a State of the United States and the District of 
Columbia and includes a political subdivision of a State.
    Trailer includes:
    (a) Full trailer means any motor vehicle other than a pole trailer 
which is designed to be drawn by another motor vehicle and so 
constructed that no part of its weight, except for the towing device, 
rests upon the self-propelled towing motor vehicle. A semitrailer 
equipped with an auxiliary front axle (converter dolly) shall be 
considered a full trailer.
    (b) Pole trailer means any motor vehicle which is designed to be 
drawn by another motor vehicle and attached to the towing motor vehicle 
by means of a ``reach'' or ``pole,'' or by being ``boomed'' or otherwise 
secured to the towing motor vehicle, for transporting long or 
irregularly shaped loads such as poles, pipes, or structural members, 
which generally are capable of sustaining themselves as beams between 
the supporting connections.
    (c) Semitrailer means any motor vehicle, other than a pole trailer, 
which is designed to be drawn by another motor vehicle and is 
constructed so that some part of its weight rests upon the self-
propelled towing motor vehicle.
    Truck means any self-propelled commercial motor vehicle except a 
truck tractor, designed and/or used for the transportation of property.
    Truck tractor means a self-propelled commercial motor vehicle 
designed and/or used primarily for drawing other vehicles.
    United States means the 50 States and the District of Columbia.

[53 FR 18052, May 19, 1988]

[[Page 1032]]


    Editorial Note: For Federal Register citations affecting Sec. 390.5, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



Sec. 390.7  Rules of construction.

    (a) In part 325 of subchapter A and in this subchapter, unless the 
context requires otherwise:
    (1) Words imparting the singular include the plural;
    (2) Words imparting the plural include the singular;
    (3) Words imparting the present tense include the future tense.
    (b) In this subchapter the word--
    (1) Officer includes any person authorized by law to perform the 
duties of the office;
    (2) Writing includes printing and typewriting;
    (3) Shall is used in an imperative sense;
    (4) Must is used in an imperative sense;
    (5) Should is used in a recommendatory sense;
    (6) May is used in a permissive sense; and
    (7) Includes is used as a word of inclusion, not limitation.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995]



             Subpart B--General Requirements and Information



Sec. 390.9  State and local laws, effect on.

    Except as otherwise specifically indicated, subchapter B of this 
chapter is not intended to preclude States or subdivisions thereof from 
establishing or enforcing State or local laws relating to safety, the 
compliance with which would not prevent full compliance with these 
regulations by the person subject thereto.



Sec. 390.11  Motor carrier to require observance of driver regulations.

    Whenever in part 325 of subchapter A or in this subchapter a duty is 
prescribed for a driver or a prohibition is imposed upon the driver, it 
shall be the duty of the motor carrier to require observance of such 
duty or prohibition. If the motor carrier is a driver, the driver shall 
likewise be bound.



Sec. 390.13  Aiding or abetting violations.

    No person shall aid, abet, encourage, or require a motor carrier or 
its employees to violate the rules of this chapter.



Sec. 390.15  Assistance in investigations and special studies.

    (a) A motor carrier shall make all records and information 
pertaining to an accident available to an authorized representative or 
special agent of the Federal Motor Carrier Safety Administration upon 
request or as part of any inquiry within such time as the request or 
inquiry may specify. A motor carrier shall give an authorized 
representative of the Federal Motor Carrier Safety Administration all 
reasonable assistance in the investigation of any accident including 
providing a full, true and correct answer to any question of the 
inquiry.
    (b) Motor carriers shall maintain for a period of one year after an 
accident occurs, an accident register containing at least the following 
information:
    (1) A list of accidents containing for each accident:
    (i) Date of accident,
    (ii) City or town in which or most near where the accident occurred 
and the State in which the accident occurred,
    (iii) Driver name,
    (iv) Number of injuries,
    (v) Number of fatalities, and
    (vi) Whether hazardous materials, other than fuel spilled from the 
fuel tanks of motor vehicles involved in the accident, were released.
    (2) Copies of all accident reports required by State or other 
governmental entities or insurers.

(Approved by the Office of Management and Budget under control number 
2125-0526)

[58 FR 6729, February 2, 1993, as amended at 60 FR 38744, July 28, 1995; 
60 FR 44441, Aug. 28, 1995]



Sec. 390.16  [Reserved]



Sec. 390.17  Additional equipment and accessories.

    Nothing in this subchapter shall be construed to prohibit the use of 
additional equipment and accessories, not inconsistent with or 
prohibited by this subchapter, provided such equipment

[[Page 1033]]

and accessories do not decrease the safety of operation of the 
commercial motor vehicles on which they are used.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995. 
Redesignated at 65 FR 35296, June 2, 2000]



Sec. 390.19  Motor carrier identification report.

    (a) Each motor carrier that conducts operations in interstate 
commerce must file a Motor Carrier Identification Report, Form MCS-150 
at the following times:
    (1) Before it begins operations; and
    (2) Every 24 months, according to the following schedule:

------------------------------------------------------------------------
          USDOT Number ending in              Must file by last day of;
------------------------------------------------------------------------
1.........................................  January
2.........................................  February
3.........................................  March
4.........................................  April
5.........................................  May
6.........................................  June
7.........................................  July
8.........................................  August
9.........................................  September
0.........................................  October
------------------------------------------------------------------------

    (3) If the next-to-last digit of its USDOT number is odd, the motor 
carrier shall file its update in every odd-numbered calendar year. If 
the next-to-last digit of the USDOT number is even, the motor carrier 
shall file its update in every even-numbered calendar year.
    (b) The Motor Carrier Information Report, Form MCS-150, with 
complete instructions, is available from the FMCSA's web site at: http:/
/www.fmcsa.dot.gov (keyword ``MCS-150''), from all FMCSA Service Centers 
and Division offices nationwide, or by calling 1-800-832-5660.
    (c) The completed Motor Carrier Identification Report, Form MCS-150, 
shall be filed with the FMCSA's Office of Data Analysis and Information 
Systems.
    (1) The form may be filed electronically according to the 
instructions at the agency's web site, or it may be sent to Federal 
Motor Carrier Safety Administration, Data Analysis and Information 
Systems, MC-RIS, 400 Seventh Street, SW, Washington, DC 20590.
    (2) A for-hire motor carrier should submit the Form MCS-150 along 
with its application for operating authority (Form OP-1 or OP-2) to the 
appropriate address referenced on that form, or may submit it 
electronically or by mail separately to the address mentioned in this 
section.
    (d) Only the legal name or a single trade name of the motor carrier 
may be used on the motor carrier identification report (Form MCS-150).
    (e) A motor carrier that fails to file a Motor Carrier 
Identification Report, Form MCS-150, or furnishes misleading information 
or makes false statements upon Form MCS-150, is subject to the penalties 
prescribed in 49 U.S.C. 521(b)(2)(B).
    (f) Upon receipt and processing of the Motor Carrier Identification 
Report, Form MCS-150, the FMCSA will issue the motor carrier an 
identification number (USDOT number). The motor carrier must display the 
number on each self-propelled CMV, as defined in Sec. 390.5, along with 
the additional information required by Sec. 390.21.
    (g) A motor carrier that registers its vehicles in a State that 
participates in the Performance and Registration Information Systems 
Management (PRISM) program (authorized under section 4004 of the 
Transportation Equity Act for the 21st Century [(Public Law 105-178, 112 
Stat. 107]) is exempt from the requirements of this section, provided it 
files all the required information with the appropriate State office.

[Approved by the Office of Management and Budget under control number 
2126-0013]

[65 FR 35296, June 2, 2000, as amended at 65 FR 70514, Nov. 24, 2000; 67 
FR 9416, Mar. 1, 2002]



Sec. 390.21  Marking of CMVs.

    (a) General. Every self-propelled CMV, as defined in Sec. 390.5, 
subject to subchapter B of this chapter must be marked as specified in 
paragraphs (b), (c), and (d) of this section.
    (b) Nature of marking. The marking must display the following 
information:
    (1) The legal name or a single trade name of the motor carrier 
operating the self-propelled CMV, as listed on the motor carrier 
identification report (Form MCS-150) and submitted in accordance with 
Sec. 390.19.

[[Page 1034]]

    (2) The motor carrier identification number issued by the FMCSA, 
preceded by the letters ``USDOT''.
    (3) If the name of any person other than the operating carrier 
appears on the CMV, the name of the operating carrier must be followed 
by the information required by paragraphs (b)(1), and (2) of this 
section, and be preceded by the words ``operated by.''
    (4) Other identifying information may be displayed on the vehicle if 
it is not inconsistent with the information required by this paragraph.
    (5) Each motor carrier shall meet the following requirements 
pertaining to its operation:
    (i) All CMVs that are part of a motor carrier's existing fleet on 
July 3, 2000, and which are marked with an ICCMC number must come into 
compliance with paragraph (b)(2) of this section by July 3, 2002.
    (ii) All CMVs that are part of a motor carrier's existing fleet on 
July 3, 2000, and which are not marked with the legal name or a single 
trade name on both sides of their CMVs, as shown on the Motor Carrier 
Identification Report, Form MCS-150, must come into compliance with 
paragraph (b)(1) of this section by July 5, 2005.
    (iii) All CMVs added to a motor carrier's fleet on or after July 3, 
2000, must meet the requirements of this section before being put into 
service and operating on public ways.
    (c) Size, shape, location, and color of marking. The marking must--
    (1) Appear on both sides of the self-propelled CMV;
    (2) Be in letters that contrast sharply in color with the background 
on which the letters are placed;
    (3) Be readily legible, during daylight hours, from a distance of 50 
feet (15.24 meters) while the CMV is stationary; and
    (4) Be kept and maintained in a manner that retains the legibility 
required by paragraph (c)(3) of this section.
    (d) Construction and durability. The marking may be painted on the 
CMV or may consist of a removable device, if that device meets the 
identification and legibility requirements of paragraph (c) of this 
section, and such marking must be maintained as required by paragraph 
(c)(4) of this section.
    (e) Rented CMVs. A motor carrier operating a self-propelled CMV 
under a rental agreement having a term not in excess of 30 calendar days 
meets the requirements of this section if:
    (1) The CMV is marked in accordance with the provisions of 
paragraphs (b) through (d) of this section; or
    (2) The CMV is marked as set forth in paragraph (e)(2)(i) through 
(iv) of this section:
    (i) The legal name or a single trade name of the lessor is displayed 
in accordance with paragraphs (c) and (d) of this section.
    (ii) The lessor's identification number preceded by the letters 
``USDOT'' is displayed in accordance with paragraphs (c) and (d) of this 
section; and
    (iii) The rental agreement entered into by the lessor and the 
renting motor carrier conspicuously contains the following information:
    (A) The name and complete physical address of the principal place of 
business of the renting motor carrier;
    (B) The identification number issued the renting motor carrier by 
the FMCSA, preceded by the letters ``USDOT,'' if the motor carrier has 
been issued such a number. In lieu of the identification number required 
in this paragraph, the following may be shown in the rental agreement:
    (1) Information which indicates whether the motor carrier is engaged 
in ``interstate'' or ``intrastate'' commerce; and
    (2) Information which indicates whether the renting motor carrier is 
transporting hazardous materials in the rented CMV;
    (C) The sentence: ``This lessor cooperates with all Federal, State, 
and local law enforcement officials nationwide to provide the identity 
of customers who operate this rental CMV''; and
    (iv) The rental agreement entered into by the lessor and the renting 
motor carrier is carried on the rental CMV during the full term of the 
rental agreement. See the leasing regulations at 49 CFR 376 for 
information that should be included in all leasing documents.

[[Page 1035]]

    (f) Driveaway services. In driveaway services, a removable device 
may be affixed on both sides or at the rear of a single driven vehicle. 
In a combination driveaway operation, the device may be affixed on both 
sides of any one unit or at the rear of the last unit. The removable 
device must display the legal name or a single trade name of the motor 
carrier and the motor carrier's USDOT number.

[65 FR 35296, June 2, 2000]



Sec. 390.23  Relief from regulations.

    (a) Parts 390 through 399 of this chapter shall not apply to any 
motor carrier or driver operating a commercial motor vehicle to provide 
emergency relief during an emergency, subject to the following time 
limits:
    (1) Regional emergencies. (i) The exemption provided by paragraph 
(a)(1) of this section is effective only when:
    (A) An emergency has been declared by the President of the United 
States, the Governor of a State, or their authorized representatives 
having authority to declare emergencies; or
    (B) The FMCSA Field Administrator has declared that a regional 
emergency exists which justifies an exemption from parts 390 through 399 
of this chapter.
    (ii) Except as provided in Sec. 390.25, this exemption shall not 
exceed the duration of the motor carrier's or driver's direct assistance 
in providing emergency relief, or 30 days from the date of the initial 
declaration of the emergency or the exemption from the regulations by 
the FMCSA Field Administrator, whichever is less.
    (2) Local emergencies. (i) The exemption provided by paragraph 
(a)(2) of this section is effective only when:
    (A) An emergency has been declared by a Federal, State or local 
government official having authority to declare an emergency; or
    (B) The FMCSA Field Administrator has declared that a local 
emergency exists which justifies an exemption from parts 390 through 399 
of this chapter.
    (ii) This exemption shall not exceed the duration of the motor 
carrier's or driver's direct assistance in providing emergency relief, 
or 5 days from the date of the initial declaration of the emergency or 
the exemption from the regulations by the FMCSA Field Administrator, 
whichever is less.
    (3) Tow trucks responding to emergencies. (i) The exemption provided 
by paragraph (a)(3) of this section is effective only when a request has 
been made by a Federal, State or local police officer for tow trucks to 
move wrecked or disabled motor vehicles.
    (ii) This exemption shall not exceed the length of the motor 
carrier's or driver's direct assistance in providing emergency relief, 
or 24 hours from the time of the initial request for assistance by the 
Federal, State or local police officer, whichever is less.
    (b) Upon termination of direct assistance to the regional or local 
emergency relief effort, the motor carrier or driver is subject to the 
requirements of parts 390 through 399 of this chapter, with the 
following exception: A driver may return empty to the motor carrier's 
terminal or the driver's normal work reporting location without 
complying with parts 390 through 399 of this chapter. However, a driver 
who informs the motor carrier that he or she needs immediate rest must 
be permitted at least 10 consecutive hours off duty before the driver is 
required to return to such terminal or location. Having returned to the 
terminal or other location, the driver must be relieved of all duty and 
responsibilities. Direct assistance terminates when a driver or 
commercial motor vehicle is used in interstate commerce to transport 
cargo not destined for the emergency relief effort, or when the motor 
carrier dispatches such driver or commercial motor vehicle to another 
location to begin operations in commerce.
    (c) When the driver has been relieved of all duty and 
responsibilities upon termination of direct assistance to a regional or 
local emergency relief effort, no motor carrier shall permit or require 
any driver used by it to drive nor shall any such driver drive in 
commerce until:
    (1) The driver has met the requirements of Secs. 395.3(a) and 
395.5(a) of this chapter; and
    (2) The driver has had at least 34 consecutive hours off-duty when:

[[Page 1036]]

    (i) The driver has been on duty for more than 60 hours in any 7 
consecutive days at the time the driver is relieved of all duty if the 
employing motor carrier does not operate every day in the week, or
    (ii) The driver has been on duty for more than 70 hours in any 8 
consecutive days at the time the driver is relieved of all duty if the 
employing motor carrier operates every day in the week.

[57 FR 33647, July 30, 1992, as amended at 60 FR 38744, July 28, 1995; 
68 FR 22514, Apr. 28, 2003]



Sec. 390.25  Extension of relief from regulations--emergencies.

    The FMCSA Field Administrator may extend the 30-day time period of 
the exemption contained in Sec. 390.23(a)(1), but not the 5-day time 
period contained in Sec. 390.23(a)(2) or the 24-hour period contained in 
Sec. 390.23(a)(3). Any motor carrier or driver seeking to extend the 30-
day limit shall obtain approval from the FMCSA Field Administrator in 
the region in which the motor carrier's principal place of business is 
located before the expiration of the 30-day period. The motor carrier or 
driver shall give full details of the additional relief requested. The 
FMCSA Field Administrator shall determine if such relief is necessary 
taking into account both the severity of the ongoing emergency and the 
nature of the relief services to be provided by the carrier or driver. 
If the FMCSA Field Administrator approves an extension of the exemption, 
he or she shall establish a new time limit and place on the motor 
carrier or driver any other restrictions deemed necessary.

[57 FR 33647, July 30, 1992]



Sec. 390.27  Locations of motor carrier safety service centers.

------------------------------------------------------------------------
   Service center        Territory included        Location of office
------------------------------------------------------------------------
Eastern.............  CT, DC, DE, MA, MD, ME,   City Crescent Building,
                       NJ, NH, NY, PA, PR, RI,   10 South
                       VA, VT, Virgin Islands,   Howard Street, Suite
                       WV.                       4000, Baltimore, MD
                                                 21201-2819.
Midwestern..........  IA, IL, IN, KS, MI, MO,   19900 Governors Drive,
                       MN, NE, OH, WI.           Suite 210, Olympia
                                                 Fields, IL 60461-1021.
Southern............  AL, AR, FL, GA, KY, LA,   61 Forsyth Street, SW,
                       MS, NC, NM, OK, SC, TN,   Suite 17T75, Atlanta,
                       TX.                       GA 30303-3104.
Western.............  American Samoa, AK, AZ,   201 Mission Street,
                       CA, CO, Guam, HI, ID,     Suite 2100, San
                       Mariana Islands, MT,      Francisco, CA 94105-
                       ND, NV, OR, SD, UT, WA,   1838.
                       WY.
------------------------------------------------------------------------

    Note 1: Canadian carriers, for information regarding proper service 
center, contact a FMCSA division (State) office in AK, ME, MI, MT, NY, 
ND, VT, or WA.
    Note 2: Mexican carriers, for information regarding proper service 
center, contact a FMCSA division (State) office in AZ, CA, NM, or TX.

[65 FR 35297, June 2, 2000, as amended at 67 FR 61824, Oct. 2, 2002; 67 
FR 63019, Oct. 9, 2002]



Sec. 390.29  Location of records or documents.

    (a) A motor carrier with multiple offices or terminals may maintain 
the records and documents required by this subchapter at its principal 
place of business, a regional office, or driver work-reporting location 
unless otherwise specified in this subchapter.
    (b) All records and documents required by this subchapter which are 
maintained at a regional office or driver work-reporting location shall 
be made available for inspection upon request by a special agent or 
authorized representative of the Federal Motor Carrier Safety 
Administration at the motor carrier's principal place of business or 
other location specified by the agent or representative within 48 hours 
after a request is made. Saturdays, Sundays, and Federal holidays are 
excluded from the computation of the 48-hour period of time.

[63 FR 33276, June 18, 1998]

[[Page 1037]]



Sec. 390.31  Copies of records or documents.

    (a) All records and documents required to be maintained under this 
subchapter must be preserved in their original form for the periods 
specified, unless the records and documents are suitably photographed 
and the microfilm is retained in lieu of the original record for the 
required retention period.
    (b) To be acceptable in lieu of original records, photographic 
copies of records must meet the following minimum requirements:
    (1) Photographic copies shall be no less readily accessible than the 
original record or document as normally filed or preserved would be and 
suitable means or facilities shall be available to locate, identify, 
read, and reproduce such photographic copies.
    (2) Any significant characteristic, feature or other attribute of 
the original record or document, which photography in black and white 
will not preserve, shall be clearly indicated before the photograph is 
made.
    (3) The reverse side of printed forms need not be copied if nothing 
has been added to the printed matter common to all such forms, but an 
identified specimen of each form shall be on the film for reference.
    (4) Film used for photographing copies shall be of permanent record-
type meeting in all respects the minimum specifications of the National 
Bureau of Standards, and all processes recommended by the manufacturer 
shall be observed to protect it from deterioration or accidental 
destruction.
    (5) Each roll of film shall include a microfilm of a certificate or 
certificates stating that the photographs are direct or facsimile 
reproductions of the original records. Such certificate(s) shall be 
executed by a person or persons having personal knowledge of the 
material covered thereby.
    (c) All records and documents required to be maintained under this 
subchapter may be destroyed after they have been suitably photographed 
for preservation.
    (d) Exception. All records except those requiring a signature may be 
maintained through the use of computer technology provided the motor 
carrier can produce, upon demand, a computer printout of the required 
data.



Sec. 390.33  Commercial motor vehicles used for purposes other than defined.

    Whenever a commercial motor vehicle of one type is used to perform 
the functions normally performed by a commercial motor vehicle of 
another type, the requirements of this subchapter and part 325 of 
subchapter A shall apply to the commercial motor vehicle and to its 
operation in the same manner as though the commercial motor vehicle were 
actually a commercial motor vehicle of the latter type. Example: If a 
commercial motor vehicle other than a bus is used to perform the 
functions normally performed by a bus, the regulations pertaining to 
buses and to the transportation of passengers shall apply to that 
commercial motor vehicle.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995]



Sec. 390.35  Certificates, reports, and records: Falsification, reproduction, or alteration.

    No motor carrier, its agents, officers, representatives, or 
employees shall make or cause to make--
    (a) A fraudulent or intentionally false statement on any 
application, certificate, report, or record required by part 325 of 
subchapter A or this subchapter;
    (b) A fraudulent or intentionally false entry on any application, 
certificate, report, or record required to be used, completed, or 
retained, to comply with any requirement of this subchapter or part 325 
of subchapter A; or
    (c) A reproduction, for fraudulent purposes, of any application, 
certificate, report, or record required by this subchapter or part 325 
of subchapter A.



Sec. 390.37  Violation and penalty.

    Any person who violates the rules set forth in this subchapter or 
part 325 of subchapter A may be subject to civil or criminal penalties.

Subpart C [Reserved]

[[Page 1038]]



PART 391--QUALIFICATIONS OF DRIVERS--Table of Contents




                           Subpart A--General

Sec.
391.1 Scope of the rules in this part; additional qualifications; duties 
          of carrier-drivers.
391.2 General exemptions.

        Subpart B--Qualification and Disqualification of Drivers

391.11 General qualifications of drivers.
391.13 Responsibilities of drivers.
391.15 Disqualification of drivers.

                   Subpart C--Background and Character

391.21 Application for employment.
391.23 Investigation and inquiries.
391.25 Annual inquiry and review of driving record.
391.27 Record of violations.

                            Subpart D--Tests

391.31 Road test.
391.33 Equivalent of road test.

           Subpart E--Physical Qualifications and Examinations

391.41 Physical qualifications for drivers.
391.43 Medical examination; certificate of physical examination.
391.45 Persons who must be medically examined and certified.
391.47 Resolution of conflicts of medical evaluation.
391.49 Alternative physical qualification standards for the loss or 
          impairment of limbs.

                      Subpart F--Files and Records

391.51 General requirements for driver qualification files.

                      Subpart G--Limited Exemptions

391.61 Drivers who were regularly employed before January 1, 1971.
391.62 Limited exemptions for intra-city zone drivers.
391.63 Multiple-employer drivers.
391.64 Grandfathering for certain drivers participating in vision and 
          diabetes waiver study programs.
391.65 Drivers furnished by other motor carriers.
391.67 Farm vehicle drivers of articulated commercial motor vehicles.
391.68 Private motor carrier of passengers (nonbusiness).
391.69 Private motor carrier of passengers (business).
391.71 [Reserved]

    Authority: 49 U.S.C. 322, 504, 31133, 31136, and 31502; and 49 CFR 
1.73.

    Source: 35 FR 6460, Apr. 22, 1970, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 391 appear at 66 FR 
49873, Oct. 1, 2001.



                           Subpart A--General



Sec. 391.1  Scope of the rules in this part; additional qualifications; duties of carrier-drivers.

    (a) The rules in this part establish minimum qualifications for 
persons who drive commercial motor vehicles as, for, or on behalf of 
motor carriers. The rules in this part also establish minimum duties of 
motor carriers with respect to the qualifications of their drivers.
    (b) A motor carrier who employs himself/herself as a driver must 
comply with both the rules in this part that apply to motor carriers and 
the rules in this part that apply to drivers.

[35 FR 6460, Apr. 22, 1970, as amended at 53 FR 18057, May 19, 1988; 60 
FR 38744, July 28, 1995]



Sec. 391.2  General exemptions.

    (a) Farm custom operation. The rules in this part do not apply to a 
driver who drives a commercial motor vehicle controlled and operated by 
a person engaged in custom-harvesting operations, if the commercial 
motor vehicle is used to--
    (1) Transport farm machinery, supplies, or both, to or from a farm 
for custom-harvesting operations on a farm; or
    (2) Transport custom-harvested crops to storage or market.
    (b) Apiarian industries. The rules in this part do not apply to a 
driver who is operating a commercial motor vehicle controlled and 
operated by a beekeeper engaged in the seasonal transportation of bees.
    (c) Certain farm vehicle drivers. The rules in this part do not 
apply to a farm vehicle driver except a farm vehicle driver who drives 
an articulated (combination) commercial motor vehicle, as defined in 
Sec. 390.5. (For limited exemptions for farm vehicle drivers of

[[Page 1039]]

articulated commercial motor vehicles, see Sec. 391.67.)

[36 FR 24219, Dec. 22, 1971, as amended at 37 FR 26112, Dec. 8, 1972; 54 
FR 12202, Mar. 24, 1989; 60 FR 38745, July 28, 1995; 61 FR 13346, Mar. 
26, 1996; 61 FR 17253, Apr. 19, 1996]



        Subpart B--Qualification and Disqualification of Drivers



Sec. 391.11  General qualifications of drivers.

    (a) A person shall not drive a commercial motor vehicle unless he/
she is qualified to drive a commercial motor vehicle. Except as provided 
in Sec. 391.63, a motor carrier shall not require or permit a person to 
drive a commercial motor vehicle unless that person is qualified to 
drive a commercial motor vehicle.
    (b) Except as provided in subpart G of this part, a person is 
qualified to drive a motor vehicle if he/she--
    (1) Is at least 21 years old;
    (2) Can read and speak the English language sufficiently to converse 
with the general public, to understand highway traffic signs and signals 
in the English language, to respond to official inquiries, and to make 
entries on reports and records;
    (3) Can, by reason of experience, training, or both, safely operate 
the type of commercial motor vehicle he/she drives;
    (4) Is physically qualified to drive a commercial motor vehicle in 
accordance with subpart E--Physical Qualifications and Examinations of 
this part;
    (5) Has a currently valid commercial motor vehicle operator's 
license issued only by one State or jurisdiction;
    (6) Has prepared and furnished the motor carrier that employs him/
her with the list of violations or the certificate as required by 
Sec. 391.27;
    (7) Is not disqualified to drive a commercial motor vehicle under 
the rules in Sec. 391.15; and
    (8) Has successfully completed a driver's road test and has been 
issued a certificate of driver's road test in accordance with 
Sec. 391.31, or has presented an operator's license or a certificate of 
road test which the motor carrier that employs him/her has accepted as 
equivalent to a road test in accordance with Sec. 391.33.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 35 
FR 19181, Dec. 18, 1970; 36 FR 222, Jan. 7, 1971, 36 FR 24220, Dec. 22, 
1971; 45 FR 46424, July 10, 1980; 52 FR 20589, June 1, 1987; 59 FR 
60323, Nov. 23, 1994; 60 FR 38744, 38745, July 28, 1995; 63 FR 33276, 
June 18, 1998]



Sec. 391.13  Responsibilities of drivers.

    In order to comply with the requirements of Sec. 392.9(a) and 
Sec. 393.9 of this subchapter, a motor carrier shall not require or 
permit a person to drive a commercial motor vehicle unless the person--
    (a) Can, by reason of experience, training, or both, determine 
whether the cargo he/she transports (including baggage in a passenger-
carrying commercial motor vehicle) has been properly located, 
distributed, and secured in or on the commercial motor vehicle he/she 
drives;
    (b) Is familiar with methods and procedures for securing cargo in or 
on the commercial motor vehicle he/she drives.

[63 FR 33277, June 18, 1998]



Sec. 391.15  Disqualification of drivers.

    (a) General. A driver who is disqualified shall not drive a 
commercial motor vehicle. A motor carrier shall not require or permit a 
driver who is disqualified to drive a commercial motor vehicle.
    (b) Disqualification for loss of driving privileges. (1) A driver is 
disqualified for the duration of the driver's loss of his/her privilege 
to operate a commercial motor vehicle on public highways, either 
temporarily or permanently, by reason of the revocation, suspension, 
withdrawal, or denial of an operator's license, permit, or privilege, 
until that operator's license, permit, or privilege is restored by the 
authority that revoked, suspended, withdrew, or denied it.
    (2) A driver who receives a notice that his/her license, permit, or 
privilege to operate a commercial motor vehicle has been revoked, 
suspended, or withdrawn shall notify the motor carrier that employs him/
her of the contents of the notice before the end of the

[[Page 1040]]

business day following the day the driver received it.
    (c) Disqualification for criminal and other offenses-- (1) General 
rule. A driver who is convicted of (or forfeits bond or collateral upon 
a charge of) a disqualifying offense specified in paragraph (c)(2) of 
this section is disqualified for the period of time specified in 
paragraph (c)(3) of this section, if--
    (i) The offense was committed during on-duty time as defined in 
Sec. 395.2(a) of this subchapter or as otherwise specified; and
    (ii) The driver is employed by a motor carrier or is engaged in 
activities that are in furtherance of a commercial enterprise in 
interstate, intrastate, or foreign commerce;
    (2) Disqualifying offenses. The following offenses are disqualifying 
offenses:
    (i) Driving a commercial motor vehicle while under the influence of 
alcohol. This shall include:
    (A) Driving a commercial motor vehicle while the person's alcohol 
concentration is 0.04 percent or more;
    (B) Driving under the influence of alcohol, as prescribed by State 
law; or
    (C) Refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Sec. 391.15(c)(2)(i) (A) or (B), or 
Sec. 392.5(a)(2).
    (ii) Driving a commercial motor vehicle under the influence of a 21 
CFR 1308.11 Schedule I identified controlled substance, an amphetamine, 
a narcotic drug, a formulation of an amphetamine, or a derivative of a 
narcotic drug;
    (iii) Transportation, possession, or unlawful use of a 21 CFR 
1308.11 Schedule I identified controlled substance, amphetamines, 
narcotic drugs, formulations of an amphetamine, or derivatives of 
narcotic drugs while the driver is on duty, as the term on-duty time is 
defined in Sec. 395.2 of this subchapter;
    (iv) Leaving the scene of an accident while operating a commercial 
motor vehicle; or
    (v) A felony involving the use of a commercial motor vehicle.
    (3) Duration of disqualification--(i) First offenders. A driver is 
disqualified for 1 year after the date of conviction or forfeiture of 
bond or collateral if, during the 3 years preceding that date, the 
driver was not convicted of, or did not forfeit bond or collateral upon 
a charge of an offense that would disqualify the driver under the rules 
of this section. Exemption. The period of disqualification is 6 months 
if the conviction or forfeiture of bond or collateral soley concerned 
the transportation or possession of substances named in paragraph 
(c)(2)(iii) of this section.
    (ii) Subsequent offenders. A driver is disqualified for 3 years 
after the date of his/her conviction or forfeiture of bond or collateral 
if, during the 3 years preceding that date, he/she was convicted of, or 
forfeited bond or collateral upon a charge of, an offense that would 
disqualify him/her under the rules in this section.
    (d) Disqualification for violation of out-of-service orders--(1) 
General rule. A driver who is convicted of violating an out-of-service 
order is disqualified for the period of time specified in paragraph 
(d)(2) of this section.
    (2) Duration of disqualification for violation of out-of-service 
orders--(i) First violation. A driver is disqualified for not less than 
90 days nor more than one year if the driver is convicted of a first 
violation of an out-of-service order.
    (ii) Second violation. A driver is disqualified for not less than 
one year nor more than five years if, during any 10-year period, the 
driver is convicted of two violations of out-of-service orders in 
separate incidents.
    (iii) Third or subsequent violation. A driver is disqualified for 
not less than three years nor more than five years if, during any 10-
year period, the driver is convicted of three or more violations of out-
of-service orders in separate incidents.
    (iv) Special rule for hazardous materials and passenger offenses. A 
driver is disqualified for a period of not less than 180 days nor more 
than two years if the driver is convicted of a first violation of an 
out-of-service order while transporting hazardous materials required to 
be placarded under the Hazardous Materials Transportation Act (49 U.S.C. 
5101 et seq.), or while operating commercial motor vehicles designed to 
transport more than 15 passengers, including the driver. A driver is 
disqualified for a period of not less than three

[[Page 1041]]

years nor more than five years if, during any 10-year period, the driver 
is convicted of any subsequent violations of out-of-service orders, in 
separate incidents, while transporting hazardous materials required to 
be placarded under the Hazardous Materials Transportation Act, or while 
operating commercial motor vehicles designed to transport more than 15 
passengers, including the driver.

[37 FR 24902, Nov. 23, 1972, as amended at 49 FR 44215, Nov. 5, 1984; 51 
FR 8200, Mar. 10, 1986; 53 FR 18057, May 19, 1988; 53 FR 39051, Oct. 4, 
1988; 54 FR 40788, Oct. 3, 1989; 59 FR 26028, May 18, 1994; 60 FR 38744, 
38745, July 28, 1995; 62 FR 37152, July 11, 1997; 63 FR 33277, June 18, 
1998]



                   Subpart C--Background and Character



Sec. 391.21  Application for employment.

    (a) Except as provided in subpart G of this part, a person shall not 
drive a commercial motor vehicle unless he/she has completed and 
furnished the motor carrier that employs him/her with an application for 
employment that meets the requirements of paragraph (b) of this section.
    (b) The application for employment shall be made on a form furnished 
by the motor carrier. Each application form must be completed by the 
applicant, must be signed by him/her, and must contain the following 
information:
    (1) The name and address of the employing motor carrier;
    (2) The applicant's name, address, date of birth, and social 
security number;
    (3) The addresses at which the applicant has resided during the 3 
years preceding the date on which the application is submitted;
    (4) The date on which the application is submitted;
    (5) The issuing State, number, and expiration date of each unexpired 
commercial motor vehicle operator's license or permit that has been 
issued to the applicant;
    (6) The nature and extent of the applicant's experience in the 
operation of motor vehicles, including the type of equipment (such as 
buses, trucks, truck tractors, semitrailers, full trailers, and pole 
trailers) which he/she has operated;
    (7) A list of all motor vehicle accidents in which the applicant was 
involved during the 3 years preceding the date the application is 
submitted, specifying the date and nature of each accident and any 
fatalities or personal injuries it caused;
    (8) A list of all violations of motor vehicle laws or ordinances 
(other than violations involving only parking) of which the applicant 
was convicted or forfeited bond or collateral during the 3 years 
preceding the date the application is submitted;
    (9) A statement setting forth in detail the facts and circumstances 
of any denial, revocation, or suspension of any license, permit, or 
privilege to operate a motor vehicle that has been issued to the 
applicant, or a statement that no such denial, revocation, or suspension 
has occurred;
    (10) A list of the names and addresses of the applicant's employers 
during the 3 years preceding the date the application is submitted, 
together with the dates he/she was employed by, and his/her reason for 
leaving the employ of, each employer;
    (11) For those drivers applying to operate a commercial motor 
vehicle as defined by Part 383 of this subchapter, a list of the names 
and addresses of the applicant's employers during the 7-year period 
preceding the 3 years contained in paragraph (b)(10) of this section for 
which the applicant was an operator of a commercial motor vehicle, 
together with the dates of employment and the reasons for leaving such 
employment; and
    (12) The following certification and signature line, which must 
appear at the end of the application form and be signed by the 
applicant:

    This certifies that this application was completed by me, and that 
all entries on it and information in it are true and complete to the 
best of my knowledge.
________________________________________________________________________
                                                                  (Date)
________________________________________________________________________
                                                 (Applicant's signature)

    (c) A motor carrier may require an applicant to provide information 
in addition to the information required by

[[Page 1042]]

paragraph (b) of this section on the application form.
    (d) Before an application is submitted, the motor carrier shall 
inform the applicant that the information he/she provides in accordance 
with paragraph (b) (10) of this section may be used, and the applicant's 
prior employers may be contacted, for the purpose of investigating the 
applicant's background as required by Sec. 391.23.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 52 
FR 20589, June 1, 1987; 60 FR 38744, July 28, 1995]



Sec. 391.23  Investigation and inquiries.

    (a) Except as provided in subpart G of this part, each motor carrier 
shall make the following investigations and inquiries with respect to 
each driver it employs, other than a person who has been a regularly 
employed driver of the motor carrier for a continuous period which began 
before January 1, 1971:
    (1) An inquiry into the driver's driving record during the preceding 
3 years to the appropriate agency of every State in which the driver 
held a motor vehicle operator's license or permit during those 3 years; 
and
    (2) An investigation of the driver's employment record during the 
preceding 3 years.
    (b) The inquiry to State agencies required by paragraph (a)(1) of 
this section must be made within 30 days of the date the driver's 
employment begins and shall be made in the form and manner those 
agencies prescribe. A copy of the response by each State agency, showing 
the driver's driving record or certifying that no driving record exists 
for that driver, shall be retained in the carrier's files as part of the 
driver's qualification file.
    (c) The investigation of the driver's employment record required by 
paragraph (a)(2) of this section must be made within 30 days of the date 
his/her employment begins. The investigation may consist of personal 
interviews, telephone interviews, letters, or any other method of 
obtaining information that the carrier deems appropriate. Each motor 
carrier must make a written record with respect to each past employer 
who was contacted. The record must include the past employer's name and 
address, the date he/she was contacted, and his/her comments with 
respect to the driver. The record shall be retained in the motor 
carrier's files as part of the driver's qualification file.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970]



Sec. 391.25  Annual inquiry and review of driving record.

    (a) Except as provided in subpart G of this part, each motor carrier 
shall, at least once every 12 months, make an inquiry into the driving 
record of each driver it employs, covering at least the preceding 12 
months, to the appropriate agency of every State in which the driver 
held a commercial motor vehicle operator's license or permit during the 
time period.
    (b) Except as provided in subpart G of this part, each motor carrier 
shall, at least once every 12 months, review the driving record of each 
driver it employs to determine whether that driver meets minimum 
requirements for safe driving or is disqualified to drive a commercial 
motor vehicle pursuant to Sec. 391.15.
    (1) The motor carrier must consider any evidence that the driver has 
violated any applicable Federal Motor Carrier Safety Regulations in this 
subchapter or Hazardous Materials Regulations (49 CFR chapter I, 
subchapter C).
    (2) The motor carrier must consider the driver's accident record and 
any evidence that the driver has violated laws governing the operation 
of motor vehicles, and must give great weight to violations, such as 
speeding, reckless driving, and operating while under the influence of 
alcohol or drugs, that indicate that the driver has exhibited a 
disregard for the safety of the public.
    (c) Recordkeeping. (1) A copy of the response from each State agency 
to the inquiry required by paragraph (a) of this section shall be 
maintained in the driver's qualification file.
    (2) A note, including the name of the person who performed the 
review of the driving record required by paragraph (b) of this section 
and the date of such review, shall be maintained in the driver's 
qualification file.

[63 FR 33277, June 18, 1998]

[[Page 1043]]



Sec. 391.27  Record of violations.

    (a) Except as provided in subpart G of this part, each motor carrier 
shall, at least once every 12 months, require each driver it employs to 
prepare and furnish it with a list of all violations of motor vehicle 
traffic laws and ordinances (other than violations involving only 
parking) of which the driver has been convicted or on account of which 
he/she has forfeited bond or collateral during the preceding 12 months.
    (b) Each driver shall furnish the list required in accordance with 
paragraph (a) of this section. If the driver has not been convicted of, 
or forfeited bond or collateral on account of, any violation which must 
be listed, he/she shall so certify.
    (c) The form of the driver's list or certification shall be 
prescribed by the motor carrier. The following form may be used to 
comply with this section:

                         Driver's Certification

    I certify that the following is a true and complete list of traffic 
violations (other than parking violations) for which I have been 
convicted or forfeited bond or collateral during the past 12 months.

Date of conviction Offense
Location Type of motor vehicle operated

    If no violations are listed above, I certify that I have not been 
convicted or forfeited bond or collateral on account of any violation 
required to be listed during the past 12 months.

(Date of certification) (Driver's signature)

                         (Motor carrier's name)

                        (Motor carrier's address)

(Reviewed by: Signature) (Title)

    (d) The motor carrier shall retain the list or certificate required 
by this section, or a copy of it, in its files as part of the driver's 
qualification file.
    (e) Drivers who have provided information required by Sec. 383.31 of 
this subchapter need not repeat that information in the annual list of 
violations required by this section.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 52 
FR 20589, June 1, 1987; 60 FR 38745, July 28, 1995]



                            Subpart D--Tests



Sec. 391.31  Road test.

    (a) Except as provided in subpart G, a person shall not drive a 
commercial motor vehicle unless he/she has first successfully completed 
a road test and has been issued a certificate of driver's road test in 
accordance with this section.
    (b) The road test shall be given by the motor carrier or a person 
designated by it. However, a driver who is a motor carrier must be given 
the test by a person other than himself/herself. The test shall be given 
by a person who is competent to evaluate and determine whether the 
person who takes the test has demonstrated that he/she is capable of 
operating the commercial motor vehicle, and associated equipment, that 
the motor carrier intends to assign him/her.
    (c) The road test must be of sufficient duration to enable the 
person who gives it to evaluate the skill of the person who takes it at 
handling the commercial motor vehicle, and associated equipment, that 
the motor carriers intends to assign to him/her. As a minimum, the 
person who takes the test must be tested, while operating the type of 
commercial motor vehicle the motor carrier intends to assign him/her, on 
his/her skill at performing each of the following operations:
    (1) The pretrip inspection required by Sec. 392.7 of this 
subchapter;
    (2) Coupling and uncoupling of combination units, if the equipment 
he/she may drive includes combination units;
    (3) Placing the commercial motor vehicle in operation;
    (4) Use of the commercial motor vehicle's controls and emergency 
equipment;
    (5) Operating the commercial motor vehicle in traffic and while 
passing other motor vehicles;
    (6) Turning the commercial motor vehicle;
    (7) Braking, and slowing the commercial motor vehicle by means other 
than braking; and
    (8) Backing and parking the commercial motor vehicle.
    (d) The motor carrier shall provide a road test form on which the 
person who

[[Page 1044]]

gives the test shall rate the performance of the person who takes it at 
each operation or activity which is a part of the test. After he/she 
completes the form, the person who gave the test shall sign it.
    (e) If the road test is successfully completed, the person who gave 
it shall complete a certificate of driver's road test in substantially 
the form prescribed in paragraph (f) of this section.
    (f) The form for the certificate of driver's road test is 
substantially as follows:

                       Certification of Road Test

Driver's name___________________________________________________________
Social Security No______________________________________________________
Operator's or Chauffeur's License No____________________________________
State___________________________________________________________________
Type of power unit ------------ Type of trailer(s)______________________
If passenger carrier, type of bus ------------__________________________
    This is to certify that the above-named driver was given a road test 
under my supervision on ------------, 20----, consisting of 
approximately ------ miles of driving.
    It is my considered opinion that this driver possesses sufficient 
driving skill to operate safely the type of commercial motor vehicle 
listed above.

                                                 (Signature of examiner)

                                                                 (Title)

                                  (Organization and address of examiner)

    (g) A copy of the certificate required by paragraph (e) of this 
section shall be given to the person who was examined. The motor carrier 
shall retain in the driver qualification file of the person who was 
examined--
    (1) The original of the signed road test form required by paragraph 
(d) of this section; and
    (2) The original, or a copy of, the certificate required by 
paragraph (e) of this section.

[35 FR 6460, Apr. 22, 1970, as amended at 36 FR 223, Jan. 7, 1971; 59 FR 
8752, Feb. 23, 1994; 60 FR 38744, July 28, 1995]


Sec. 391.33  Equivalent of road test.

    (a) In place of, and as equivalent to, the road test required by 
Sec. 391.31, a person who seeks to drive a commercial motor vehicle may 
present, and a motor carrier may accept--
    (1) A valid Commercial Driver's License as defined in Sec. 383.5 of 
this subchapter, but not including double/triple trailer or tank vehicle 
endorsements, which has been issued to him/her to operate specific 
categories of commercial motor vehicles and which, under the laws of 
that State, licenses him/her after successful completion of a road test 
in a commercial motor vehicle of the type the motor carrier intends to 
assign to him/her; or
    (2) A copy of a valid certificate of driver's road test issued to 
him/her pursuant to Sec. 391.31 within the preceding 3 years.
    (b) If a driver presents, and a motor carrier accepts, a license or 
certificate as equivalent to the road test, the motor carrier shall 
retain a legible copy of the license or certificate in its files as part 
of the driver's qualification file.
    (c) A motor carrier may require any person who presents a license or 
certificate as equivalent to the road test to take a road test or any 
other test of his/her driving skill as a condition to his/her employment 
as a driver.

[35 FR 6460, Apr. 22, 1970, as amended at 60 FR 38744, July 28, 1995; 63 
FR 33277, June 18, 1998]

           Subpart E--Physical Qualifications and Examinations

Sec. 391.41  Physical qualifications for drivers.

    (a) A person shall not drive a commercial motor vehicle unless he/
she is physically qualified to do so and, except as provided in 
Sec. 391.67, has on his/her person the original, or a photographic copy, 
of a medical examiner's certificate that he/she is physically qualified 
to drive a commercial motor vehicle.
---------------------------------------------------------------------------

    The United States and Canada entered into a Reciprocity Agreement, 
effective March 30, 1999, recognizing that a Canadian commercial 
driver's license is proof of medical fitness to drive. Therefore, 
Canadian commercial motor vehicle (CMV) drivers are no longer required 
to have in their possession a medical examiner's certificate if the 
driver has been issued, and possesses, a valid commercial driver's 
license issued by a Canadian Province or Territory. However, Canadian 
drivers who are insulin-using diabetics, who have epilepsy, or who are 
hearing impaired as defined in Sec. 391.41(b)(11) are not qualified to 
drive CMVs in the United States. Furthermore, Canadian drivers who do 
not meet the medical fitness provisions of the Canadian National Safety 
Code for Motor Carriers but who have been issued a waiver by one of the 
Canadian Provinces or Territories are not qualified to drive CMVs in the 
United States.

---------------------------------------------------------------------------

[[Page 1045]]

    (b) A person is physically qualified to drive a commercial motor 
vehicle if that person--
    (1) Has no loss of a foot, a leg, a hand, or an arm, or has been 
granted a skill performance evaluation certificate pursuant to 
Sec. 391.49;
    (2) Has no impairment of:
    (i) A hand or finger which interferes with prehension or power 
grasping; or
    (ii) An arm, foot, or leg which interferes with the ability to 
perform normal tasks associated with operating a commercial motor 
vehicle; or any other significant limb defect or limitation which 
interferes with the ability to perform normal tasks associated with 
operating a commercial motor vehicle; or has been granted a skill 
performance evaluation certificate pursuant to Sec. 391.49.
    (3) Has no established medical history or clinical diagnosis of 
diabetes mellitus currently requiring insulin for control;
    (4) Has no current clinical diagnosis of myocardial infarction, 
angina pectoris, coronary insufficiency, thrombosis, or any other 
cardiovascular disease of a variety known to be accompanied by syncope, 
dyspnea, collapse, or congestive cardiac failure.
    (5) Has no established medical history or clinical diagnosis of a 
respiratory dysfunction likely to interfere with his/her ability to 
control and drive a commercial motor vehicle safely;
    (6) Has no current clinical diagnosis of high blood pressure likely 
to interfere with his/her ability to operate a commercial motor vehicle 
safely;
    (7) Has no established medical history or clinical diagnosis of 
rheumatic, arthritic, orthopedic, muscular, neuromuscular, or vascular 
disease which interferes with his/her ability to control and operate a 
commercial motor vehicle safely;
    (8) Has no established medical history or clinical diagnosis of 
epilepsy or any other condition which is likely to cause loss of 
consciousness or any loss of ability to control a commercial motor 
vehicle;
    (9) Has no mental, nervous, organic, or functional disease or 
psychiatric disorder likely to interfere with his/her ability to drive a 
commercial motor vehicle safely;
    (10) Has distant visual acuity of at least 20/40 (Snellen) in each 
eye without corrective lenses or visual acuity separately corrected to 
20/40 (Snellen) or better with corrective lenses, distant binocular 
acuity of at least 20/40 (Snellen) in both eyes with or without 
corrective lenses, field of vision of at least 70[deg] in the horizontal 
Meridian in each eye, and the ability to recognize the colors of traffic 
signals and devices showing standard red, green, and amber;
    (11) First perceives a forced whispered voice in the better ear at 
not less than 5 feet with or without the use of a hearing aid or, if 
tested by use of an audiometric device, does not have an average hearing 
loss in the better ear greater than 40 decibels at 500 Hz, 1,000 Hz, and 
2,000 Hz with or without a hearing aid when the audiometric device is 
calibrated to American National Standard (formerly ASA Standard) Z24.5--
1951.
    (12)(i) Does not use a controlled substance identified in 21 CFR 
1308.11 Schedule I, an amphetamine, a narcotic, or any other habit-
forming drug.
    (ii) Exception. A driver may use such a substance or drug, if the 
substance or drug is prescribed by a licensed medical practitioner who:
    (A) Is familiar with the driver's medical history and assigned 
duties; and
    (B) Has advised the driver that the prescribed substance or drug 
will not adversely affect the driver's ability to safely operate a 
commercial motor vehicle; and
    (13) Has no current clinical diagnosis of alcoholism.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 36 
FR 223, Jan. 7, 1971; 36 FR 12857, July 8, 1971; 43 FR 56900, Dec. 5, 
1978; 55 FR 3554, Feb. 1, 1990; 60 FR 38744, July 28, 1995; 62 FR 37152, 
July 11, 1997; 65 FR 59369, Oct. 5, 2000; 67 FR 61824, Oct. 2, 2002]

[[Page 1046]]


Sec. 391.43  Medical examination; certificate of physical examination.

    (a) Except as provided by paragraph (b) of this section, the medical 
examination shall be performed by a licensed medical examiner as defined 
in Sec. 390.5 of this subchapter.
    (b) A licensed optometrist may perform so much of the medical 
examination as pertains to visual acuity, field of vision, and the 
ability to recognize colors as specified in paragraph (10) of 
Sec. 391.41(b).
    (c) Medical examiners shall:
    (1) Be knowledgeable of the specific physical and mental demands 
associated with operating a commercial motor vehicle and the 
requirements of this subpart, including the medical advisory criteria 
prepared by the FMCSA as guidelines to aid the medical examiner in 
making the qualification determination; and
    (2) Be proficient in the use of and use the medical protocols 
necessary to adequately perform the medical examination required by this 
section.
    (d) Any driver authorized to operate a commercial motor vehicle 
within an exempt intracity zone pursuant to Sec. 391.62 of this part 
shall furnish the examining medical examiner with a copy of the medical 
findings that led to the issuance of the first certificate of medical 
examination which allowed the driver to operate a commercial motor 
vehicle wholly within an exempt intracity zone.
    (e) Any driver operating under a limited exemption authorized by 
Sec. 391.64 shall furnish the medical examiner with a copy of the annual 
medical findings of the endocrinologist, ophthalmologist or optometrist, 
as required under that section. If the medical examiner finds the driver 
qualified under the limited exemption in Sec. 391.64, such fact shall be 
noted on the Medical Examiner's Certificate.
    (f) The medical examination shall be performed, and its results 
shall be recorded, substantially in accordance with the following 
instructions and examination form. Existing forms may be used until 
current printed supplies are depleted or until September 30, 2004, 
whichever occurs first.

     Instructions for Performing and Recording Physical Examinations

    The medical examiner must be familiar with 49 CFR 391.41, Physical 
qualifications for drivers, and should review these instructions before 
performing the physical examination. Answer each question ``yes'' or 
``no'' and record numerical readings where indicated on the physical 
examination form.
    The medical examiner must be aware of the rigorous physical, mental, 
and emotional demands placed on the driver of a commercial motor 
vehicle. In the interest of public safety, the medical examiner is 
required to certify that the driver does not have any physical, mental, 
or organic condition that might affect the driver's ability to operate a 
commercial motor vehicle safely.
    General information. The purpose of this history and physical 
examination is to detect the presence of physical, mental, or organic 
conditions of such a character and extent as to affect the driver's 
ability to operate a commercial motor vehicle safely. The examination 
should be conducted carefully and should at least include all of the 
information requested in the following form. History of certain 
conditions may be cause for rejection. Indicate the need for further 
testing and/or require evaluation by a specialist. Conditions may be 
recorded which do not, because of their character or degree, indicate 
that certification of physical fitness should be denied. However, these 
conditions should be discussed with the driver and he/she should be 
advised to take the necessary steps to insure correction, particularly 
of those conditions which, if neglected, might affect the driver's 
ability to drive safely.
    General appearance and development. Note marked overweight. Note any 
postural defect, perceptible limp, tremor, or other conditions that 
might be caused by alcoholism, thyroid intoxication or other illnesses.
    Head-eyes. When other than the Snellen chart is used, the results of 
such test must be expressed in values comparable to the standard Snellen 
test. If the driver wears corrective lenses for driving, these should be 
worn while driver's visual acuity is being tested. If contact lenses are 
worn, there should be sufficient evidence of good tolerance of and 
adaptation to their use. Indicate the driver's need to wear corrective 
lenses to meet the vision standard on the Medical Examiner's Certificate 
by checking the box, ``Qualified only when wearing corrective lenses.'' 
In recording distance vision use 20 feet as normal. Report all vision as 
a fraction with 20 as the numerator and the smallest type read at 20 
feet as the denominator. Monocular drivers are not qualified to operate 
commercial motor vehicles in interstate commerce.

[[Page 1047]]

    Ears. Note evidence of any ear disease, symptoms of aural vertigo, 
or Meniere's Syndrome. When recording hearing, record distance from 
patient at which a forced whispered voice can first be heard. For the 
whispered voice test, the individual should be stationed at least 5 feet 
from the examiner with the ear being tested turned toward the examiner. 
The other ear is covered. Using the breath which remains after a normal 
expiration, the examiner whispers words or random numbers such as 66, 
18, 23, etc. The examiner should not use only sibilants (s-sounding test 
materials). The opposite ear should be tested in the same manner. If the 
individual fails the whispered voice test, the audiometric test should 
be administered. For the audiometric test, record decibel loss at 500 
Hz, 1,000 Hz, and 2,000 Hz. Average the decibel loss at 500 Hz, 1,000 Hz 
and 2,000 Hz and record as described on the form. If the individual 
fails the audiometric test and the whispered voice test has not been 
administered, the whispered voice test should be performed to determine 
if the standard applicable to that test can be met.
    Throat. Note any irremediable deformities likely to interfere with 
breathing or swallowing.
    Heart. Note murmurs and arrhythmias, and any history of an enlarged 
heart, congestive heart failure, or cardiovascular disease that is 
accompanied by syncope, dyspnea, or collapse. Indicate onset date, 
diagnosis, medication, and any current limitation. An electrocardiogram 
is required when findings so indicate.
    Blood pressure (BP). If a driver has hypertension and/or is being 
medicated for hypertension, he or she should be recertified more 
frequently. An individual diagnosed with Stage 1 hypertension (BP is 
140/90-159/99) may be certified for one year. At recertification, an 
individual with a BP equal to or less than 140/90 may be certified for 
one year; however, if his or her BP is greater than 140/90 but less than 
160/100, a one-time certificate for 3 months can be issued. An 
individual diagnosed with Stage 2 (BP is 160/100-179/109) should be 
treated and a one-time certificate for 3-month certification can be 
issued. Once the driver has reduced his or her BP to equal to or less 
than 140/90, he or she may be recertified annually thereafter. An 
individual diagnosed with Stage 3 hypertension (BP equal to or greater 
than 180/110) should not be certified until his or her BP is reduced to 
140/90 or less, and may be recertified every 6 months.
    Lungs. Note abnormal chest wall expansion, respiratory rate, breath 
sounds including wheezes or alveolar rales, impaired respiratory 
function, dyspnea, or cyanosis. Abnormal finds on physical exam may 
require further testing such as pulmonary tests and/or x-ray of chest.
    Abdomen and Viscera. Note enlarged liver, enlarged spleen, abnormal 
masses, bruits, hernia, and significant abdominal wall muscle weakness 
and tenderness. If the diagnosis suggests that the condition might 
interfere with the control and safe operation of a commercial motor 
vehicle, further testing and evaluation is required.
    Genital-urinary and rectal examination. A urinalysis is required. 
Protein, blood or sugar in the urine may be an indication for further 
testing to rule out any underlying medical problems. Note hernias. A 
condition causing discomfort should be evaluated to determine the extent 
to which the condition might interfere with the control and safe 
operation of a commercial motor vehicle.
    Neurological. Note impaired equilibrium, coordination, or speech 
pattern; paresthesia; asymmetric deep tendon reflexes; sensory or 
positional abnormalities; abnormal patellar and Babinski's reflexes; 
ataxia. Abnormal neurological responses may be an indication for further 
testing to rule out an underlying medical condition. Any neurological 
condition should be evaluated for the nature and severity of the 
condition, the degree of limitation present, the likelihood of 
progressive limitation, and the potential for sudden incapacitation. In 
instances where the medical examiner has determined that more frequent 
monitoring of a condition is appropriate, a certificate for a shorter 
period should be issued.
    Spine, musculoskeletal. Previous surgery, deformities, limitation of 
motion, and tenderness should be noted. Findings may indicate additional 
testing and evaluation should be conducted.
    Extremities. Carefully examine upper and lower extremities and note 
any loss or impairment of leg, foot, toe, arm, hand, or finger. Note any 
deformities, atrophy, paralysis, partial paralysis, clubbing, edema, or 
hypotonia. If a hand or finger deformity exists, determine whether 
prehension and power grasp are sufficient to enable the driver to 
maintain steering wheel grip and to control other vehicle equipment 
during routine and emergency driving operations. If a foot or leg 
deformity exists, determine whether sufficient mobility and strength 
exist to enable the driver to operate pedals properly. In the case of 
any loss or impairment to an extremity which may interfere with the 
driver's ability to operate a commercial motor vehicle safely, the 
medical examiner should state on the medical certificate ``medically 
unqualified unless accompanied by a Skill Performance Evaluation 
Certificate.'' The driver must then apply to the Field Service Center of 
the FMCSA, for the State in which the driver has legal residence, for a 
Skill Performance Evaluation Certificate under Sec. 391.49.
    Laboratory and Other Testing. Other test(s) may be indicated based 
upon the medical

[[Page 1048]]

history or findings of the physical examination.
    Diabetes. If insulin is necessary to control a diabetic driver's 
condition, the driver is not qualified to operate a commercial motor 
vehicle in interstate commerce. If mild diabetes is present and it is 
controlled by use of an oral hypoglycemic drug and/or diet and exercise, 
it should not be considered disqualifying. However, the driver must 
remain under adequate medical supervision.
    Upon completion of the examination, the medical examiner must date 
and sign the form, provide his/her full name, office address and 
telephone number. The completed medical examination form shall be 
retained on file at the office of the medical examiner.
[GRAPHIC] [TIFF OMITTED] TR30SE03.002


[[Page 1049]]


[GRAPHIC] [TIFF OMITTED] TR30SE03.003


[[Page 1050]]


[GRAPHIC] [TIFF OMITTED] TR30SE03.004


[[Page 1051]]


[GRAPHIC] [TIFF OMITTED] TR30SE03.005


[[Page 1052]]


[GRAPHIC] [TIFF OMITTED] TR30SE03.006


[[Page 1053]]


[GRAPHIC] [TIFF OMITTED] TR30SE03.007


[[Page 1054]]


[GRAPHIC] [TIFF OMITTED] TR30SE03.008


[[Page 1055]]


[GRAPHIC] [TIFF OMITTED] TR30SE03.009

    (g) If the medical examiner finds that the person he/she examined is 
physically qualified to drive a commercial motor vehicle in accordance 
with Sec. 391.41(b), the medical examiner shall complete a certificate 
in the form prescribed in paragraph (h) of this section and furnish one 
copy to the person who was examined and one copy to the motor carrier 
that employs him/her.
    (h) The medical examiner's certificate shall be substantially in 
accordance with the following form. Existing forms may be used until 
current printed supplies are depleted or until November 6, 2001, 
whichever occurs first.

[[Page 1056]]

[GRAPHIC] [TIFF OMITTED] TR05OC00.021


[35 FR 6460, Apr. 22, 1970, as amended at 68 FR 56199, Sept. 30, 2003]

    Editorial Note: For Federal Register citations affecting 
Sec. 391.43, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.

[[Page 1057]]



Sec. 391.45  Persons who must be medically examined and certified.

    Except as provided in Sec. 391.67, the following persons must be 
medically examined and certified in accordance with Sec. 391.43 as 
physically qualified to operate a commercial motor vehicle:
    (a) Any person who has not been medically examined and certified as 
physically qualified to operate a commercial motor vehicle;
    (b)(1) Any driver who has not been medically examined and certified 
as qualified to operate a commercial motor vehicle during the preceding 
24 months; or
    (2) Any driver authorized to operate a commercial motor vehicle only 
with an exempt intracity zone pursuant to Sec. 391.62, or only by 
operation of the exemption in Sec. 391.64, if such driver has not been 
medically examined and certified as qualified to drive in such zone 
during the preceding 12 months; and
    (c) Any driver whose ability to perform his/her normal duties has 
been impaired by a physical or mental injury or disease.

[35 FR 6460, Apr. 22, 1970, as amended at 36 FR 223, Jan. 7, 1971; 54 FR 
12202, Mar. 24, 1989; 61 FR 13347, Mar. 26, 1996]



Sec. 391.47  Resolution of conflicts of medical evaluation.

    (a) Applications. Applications for determination of a driver's 
medical qualifications under standards in this part will only be 
accepted if they conform to the requirements of this section.
    (b) Content. Applications will be accepted for consideration only if 
the following conditions are met.
    (1) The application must contain the name and address of the driver, 
motor carrier, and all physicians involved in the proceeding.
    (2) The applicant must submit proof that there is a disagreement 
between the physician for the driver and the physician for the motor 
carrier concerning the driver's qualifications.
    (3) The applicant must submit a copy of an opinion and report 
including results of all tests of an impartial medical specialist in the 
field in which the medical conflict arose. The specialist should be one 
agreed to by the motor carrier and the driver.
    (i) In cases where the driver refuses to agree on a specialist and 
the applicant is the motor carrier, the applicant must submit a 
statement of his/her agreement to submit the matter to an impartial 
medical specialist in the field, proof that he/she has requested the 
driver to submit to the medical specialist, and the response, if any, of 
the driver to his/her request.
    (ii) In cases where the motor carrier refuses to agree on a medical 
specialist, the driver must submit an opinion and test results of an 
impartial medical specialist, proof that he/she has requested the motor 
carrier to agree to submit the matter to the medical specialist and the 
response, if any, of the motor carrier to his/her request.
    (4) The applicant must include a statement explaining in detail why 
the decision of the medical specialist identified in paragraph (b)(3) of 
this section, is unacceptable.
    (5) The applicant must submit proof that the medical specialist 
mentioned in paragraph (b)(3) of this section was provided, prior to 
his/her determination, the medical history of the driver and an agreed-
upon statement of the work the driver performs.
    (6) The applicant must submit the medical history and statement of 
work provided to the medical specialist under paragraph (b)(5) of this 
section.
    (7) The applicant must submit all medical records and statements of 
the physicians who have given opinions on the driver's qualifications.
    (8) The applicant must submit a description and a copy of all 
written and documentary evidence upon which the party making application 
relies in the form set out in 49 CFR 386.37.
    (9) The application must be accompanied by a statement of the driver 
that he/she intends to drive in interstate commerce not subject to the 
commercial zone exemption or a statement of the carrier that he/she has 
used or intends to use the driver for such work.
    (10) The applicant must submit three copies of the application and 
all records.
    (c) Information. The Director, Office of Bus and Truck Standards and 
Operations (MC-PSD) may request further information from the applicant 
if he/

[[Page 1058]]

she determines that a decision cannot be made on the evidence submitted. 
If the applicant fails to submit the information requested, the Director 
may refuse to issue a determination.
    (d)(1) Action. Upon receiving a satisfactory application the 
Director, Office of Bus and Truck Standards and Operations (MC-PSD) 
shall notify the parties (the driver, motor carrier, or any other 
interested party) that the application has been accepted and that a 
determination will be made. A copy of all evidence received shall be 
attached to the notice.
    (2) Reply. Any party may submit a reply to the notification within 
15 days after service. Such reply must be accompanied by all evidence 
the party wants the Director, Office of Bus and Truck Standards and 
Operations (MC-PSD) to consider in making his/her determination. 
Evidence submitted should include all medical records and test results 
upon which the party relies.
    (3) Parties. A party for the purposes of this section includes the 
motor carrier and the driver, or anyone else submitting an application.
    (e) Petitions to review, burden of proof. The driver or motor 
carrier may petition to review the Director's determination. Such 
petition must be submitted in accordance with Sec. 386.13(a) of this 
chapter. The burden of proof in such a proceeding is on the petitioner.
    (f) Status of driver. Once an application is submitted to the 
Director, Office of Bus and Truck Standards and Operations (MC-PSD), the 
driver shall be deemed disqualified until such time as the Director, 
Office of Bus and Truck Standards and Operations (MC-PSD) makes a 
determination, or until the Director, Office of Bus and Truck Standards 
and Operations (MC-PSD) orders otherwise.

(49 U.S.C. 304, 322; 18 U.S.C. 831-835; Pub. L. 93-633, 88 Stat. 8156 
(49 U.S.C. 1801, et seq.); 49 CFR 1.48, 301.60)

[42 FR 18081, Apr. 5, 1977, as amended at 42 FR 53966, Oct. 4, 1977; 60 
FR 38746, July 28, 1995]



Sec. 391.49  Alternative physical qualification standards for the loss or impairment of limbs.

    (a) A person who is not physically qualified to drive under 
Sec. 391.41(b)(1) or (b)(2) and who is otherwise qualified to drive a 
commercial motor vehicle, may drive a commercial motor vehicle, if the 
Division Administrator, FMCSA, has granted a Skill Performance 
Evaluation (SPE) Certificate to that person.
    (b) SPE certificate.--(1) Application. A letter of application for 
an SPE certificate may be submitted jointly by the person (driver 
applicant) who seeks an SPE certificate and by the motor carrier that 
will employ the driver applicant, if the application is accepted.
    (2) Application address. The application must be addressed to the 
applicable field service center, FMCSA, for the State in which the co-
applicant motor carrier's principal place of business is located. The 
address of each, and the States serviced, are listed in Sec. 390.27 of 
this chapter.
    (3) Exception. A letter of application for an SPE certificate may be 
submitted unilaterally by a driver applicant. The application must be 
addressed to the field service center, FMCSA, for the State in which the 
driver has legal residence. The driver applicant must comply with all 
the requirements of paragraph (c) of this section except those in 
(c)(1)(i) and (iii). The driver applicant shall respond to the 
requirements of paragraphs (c)(2)(i) to (v) of this section, if the 
information is known.
    (c) A letter of application for an SPE certificate shall contain:
    (1) Identification of the applicant(s):
    (i) Name and complete address of the motor carrier coapplicant;
    (ii) Name and complete address of the driver applicant;
    (iii) The U.S. DOT Motor Carrier Identification Number, if known; 
and
    (iv) A description of the driver applicant's limb impairment for 
which SPE certificate is requested.
    (2) Description of the type of operation the driver will be employed 
to perform:

[[Page 1059]]

    (i) State(s) in which the driver will operate for the motor carrier 
coapplicant (if more than 10 States, designate general geographic area 
only);
    (ii) Average period of time the driver will be driving and/or on 
duty, per day;
    (iii) Type of commodities or cargo to be transported;
    (iv) Type of driver operation (i.e., sleeper team, relay, owner 
operator, etc.); and
    (v) Number of years experience operating the type of commercial 
motor vehicle(s) requested in the letter of application and total years 
of experience operating all types of commercial motor vehicles.
    (3) Description of the commercial motor vehicle(s) the driver 
applicant intends to drive:
    (i) Truck, truck tractor, or bus make, model, and year (if known);
    (ii) Drive train;
    (A) Transmission type (automatic or manual--if manual, designate 
number of forward speeds);
    (B) Auxiliary transmission (if any) and number of forward speeds; 
and
    (C) Rear axle (designate single speed, 2 speed, or 3 speed).
    (iii) Type of brake system;
    (iv) Steering, manual or power assisted;
    (v) Description of type of trailer(s) (i.e., van, flatbed, cargo 
tank, drop frame, lowboy, or pole);
    (vi) Number of semitrailers or full trailers to be towed at one 
time;
    (vii) For commercial motor vehicles designed to transport 
passengers, indicate the seating capacity of commercial motor vehicle; 
and
    (viii) Description of any modification(s) made to the commercial 
motor vehicle for the driver applicant; attach photograph(s) where 
applicable.
    (4) Otherwise qualified:
    (i) The coapplicant motor carrier must certify that the driver 
applicant is otherwise qualified under the regulations of this part;
    (ii) In the case of a unilateral application, the driver applicant 
must certify that he/she is otherwise qualified under the regulations of 
this part.
    (5) Signature of applicant(s):
    (i) Driver applicant's signature and date signed;
    (ii) Motor carrier official's signature (if application has a 
coapplicant), title, and date signed. Depending upon the motor carrier's 
organizational structure (corporation, partnership, or proprietorship), 
the signer of the application shall be an officer, partner, or the 
proprietor.
    (d) The letter of application for an SPE certificate shall be 
accompanied by:
    (1) A copy of the results of the medical examination performed 
pursuant to Sec. 391.43;
    (2) A copy of the medical certificate completed pursuant to 
Sec. 391.43(h);
    (3) A medical evaluation summary completed by either a board 
qualified or board certified physiatrist (doctor of physical medicine) 
or orthopedic surgeon. The coapplicant motor carrier or the driver 
applicant shall provide the physiatrist or orthopedic surgeon with a 
description of the job-related tasks the driver applicant will be 
required to perform;
    (i) The medical evaluation summary for a driver applicant 
disqualified under Sec. 391.41(b)(1) shall include:
    (A) An assessment of the functional capabilities of the driver as 
they relate to the ability of the driver to perform normal tasks 
associated with operating a commercial motor vehicle; and
    (B) A statement by the examiner that the applicant is capable of 
demonstrating precision prehension (e.g., manipulating knobs and 
switches) and power grasp prehension (e.g., holding and maneuvering the 
steering wheel) with each upper limb separately. This requirement does 
not apply to an individual who was granted a waiver, absent a prosthetic 
device, prior to the publication of this amendment.
    (ii) The medical evaluation summary for a driver applicant 
disqualified under Sec. 391.41(b)(2) shall include:
    (A) An explanation as to how and why the impairment interferes with 
the ability of the applicant to perform normal tasks associated with 
operating a commercial motor vehicle;
    (B) An assessment and medical opinion of whether the condition will 
likely remain medically stable over the lifetime of the driver 
applicant; and

[[Page 1060]]

    (C) A statement by the examiner that the applicant is capable of 
demonstrating precision prehension (e.g., manipulating knobs and 
switches) and power grasp prehension (e.g., holding and maneuvering the 
steering wheel) with each upper limb separately. This requirement does 
not apply to an individual who was granted an SPE certificate, absent an 
orthotic device, prior to the publication of this amendment.
    (4) A description of the driver applicant's prosthetic or orthotic 
device worn, if any;
    (5) Road test:
    (i) A copy of the driver applicant's road test administered by the 
motor carrier coapplicant and the certificate issued pursuant to 
Sec. 391.31(b) through (g); or
    (ii) A unilateral applicant shall be responsible for having a road 
test administered by a motor carrier or a person who is competent to 
administer the test and evaluate its results.
    (6) Application for employment:
    (i) A copy of the driver applicant's application for employment 
completed pursuant to Sec. 391.21; or
    (ii) A unilateral applicant shall be responsible for submitting a 
copy of the last commercial driving position's employment application 
he/she held. If not previously employed as a commercial driver, so 
state.
    (7) A copy of the driver applicant's SPE certificate of certain 
physical defects issued by the individual State(s), where applicable; 
and
    (8) A copy of the driver applicant's State Motor Vehicle Driving 
Record for the past 3 years from each State in which a motor vehicle 
driver's license or permit has been obtained.
    (e) Agreement. A motor carrier that employs a driver with an SPE 
certificate agrees to:
    (1) File promptly (within 30 days of the involved incident) with the 
Medical Program Specialist, FMCSA service center, such documents and 
information as may be required about driving activities, accidents, 
arrests, license suspensions, revocations, or withdrawals, and 
convictions which involve the driver applicant. This applies whether the 
driver's SPE certificate is a unilateral one or has a coapplicant motor 
carrier;
    (i) A motor carrier who is a coapplicant must file the required 
documents with the Medical Program Specialist, FMCSA for the State in 
which the carrier's principal place of business is located; or
    (ii) A motor carrier who employs a driver who has been issued a 
unilateral SPE certificate must file the required documents with the 
Medical Program Specialist, FMCSA service center, for the State in which 
the driver has legal residence.
    (2) Evaluate the driver with a road test using the trailer the motor 
carrier intends the driver to transport or, in lieu of, accept a 
certificate of a trailer road test from another motor carrier if the 
trailer type(s) is similar, or accept the trailer road test done during 
the Skill Performance Evaluation if it is a similar trailer type(s) to 
that of the prospective motor carrier. Job tasks, as stated in paragraph 
(e)(3) of this section, are not evaluated in the Skill Performance 
Evaluation;
    (3) Evaluate the driver for those nondriving safety related job 
tasks associated with whatever type of trailer(s) will be used and any 
other nondriving safety related or job related tasks unique to the 
operations of the employing motor carrier; and
    (4) Use the driver to operate the type of commercial motor vehicle 
defined in the SPE certificate only when the driver is in compliance 
with the conditions and limitations of the SPE certificate.
    (f) The driver shall supply each employing motor carrier with a copy 
of the SPE certificate.
    (g) The State Director, FMCSA, may require the driver applicant to 
demonstrate his or her ability to safely operate the commercial motor 
vehicle(s) the driver intends to drive to an agent of the State 
Director, FMCSA. The SPE certificate form will identify the power unit 
(bus, truck, truck tractor) for which the SPE certificate has been 
granted. The SPE certificate forms will also identify the trailer type 
used in the Skill Performance Evaluation; however, the SPE certificate 
is not limited to that specific trailer type. A driver may use the SPE 
certificate with other trailer types if a successful trailer road test 
is completed in accordance with paragraph (e)(2) of this

[[Page 1061]]

section. Job tasks, as stated in paragraph (e)(3) of this section, are 
not evaluated during the Skill Performance Evaluation.
    (h) The State Director, FMCSA, may deny the application for SPE 
certificate or may grant it totally or in part and issue the SPE 
certificate subject to such terms, conditions, and limitations as deemed 
consistent with the public interest. The SPE certificate is valid for a 
period not to exceed 2 years from date of issue, and may be renewed 30 
days prior to the expiration date.
    (i) The SPE certificate renewal application shall be submitted to 
the Medical Program Specialist, FMCSA service center, for the State in 
which the driver has legal residence, if the SPE certificate was issued 
unilaterally. If the SPE certificate has a coapplicant, then the renewal 
application is submitted to the Medical Program Specialist, FMCSA field 
service center, for the State in which the coapplicant motor carrier's 
principal place of business is located. The SPE certificate renewal 
application shall contain the following:
    (1) Name and complete address of motor carrier currently employing 
the applicant;
    (2) Name and complete address of the driver;
    (3) Effective date of the current SPE certificate;
    (4) Expiration date of the current SPE certificate;
    (5) Total miles driven under the current SPE certificate;
    (6) Number of accidents incurred while driving under the current SPE 
certificate, including date of the accident(s), number of fatalities, 
number of injuries, and the estimated dollar amount of property damage;
    (7) A current medical examination report;
    (8) A medical evaluation summary pursuant to paragraph (d)(3) of 
this section, if an unstable medical condition exists. All handicapped 
conditions classified under Sec. 391.41(b)(1) are considered unstable. 
Refer to paragraph (d)(3)(ii) of this section for the condition under 
Sec. 391.41(b)(2) which may be considered medically stable.
    (9) A copy of driver's current State motor vehicle driving record 
for the period of time the current SPE certificate has been in effect;
    (10) Notification of any change in the type of tractor the driver 
will operate;
    (11) Driver's signature and date signed; and
    (12) Motor carrier coapplicant's signature and date signed.
    (j)(1) Upon granting an SPE certificate, the State Director, FMCSA, 
will notify the driver applicant and co-applicant motor carrier (if 
applicable) by letter. The terms, conditions, and limitations of the SPE 
certificate will be set forth. A motor carrier shall maintain a copy of 
the SPE certificate in its driver qualification file. A copy of the SPE 
certificate shall be retained in the motor carrier's file for a period 
of 3 years after the driver's employment is terminated. The driver 
applicant shall have the SPE certificate (or a legible copy) in his/her 
possession whenever on duty.
    (2) Upon successful completion of the skill performance evaluation, 
the State Director, FMCSA, for the State where the driver applicant has 
legal residence, must notify the driver by letter and enclose an SPE 
certificate substantially in the following form:

                Skill Performance Evaluation Certificate

Name of Issuing Agency:_________________________________________________
Agency Address:_________________________________________________________
Telephone Number: ( )___________________________________________________

 Issued Under 49 CFR 391.49, subchapter B of the Federal Motor Carrier 
                           Safety Regulations

Driver's Name:__________________________________________________________
Effective Date:_________________________________________________________
SSN:____________________________________________________________________
DOB:____________________________________________________________________
Expiration Date:________________________________________________________
Address:________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Driver Disability:______________________________________________________
Check One:--New--Renewal
Driver's License:----------_____________________________________________
 (State) (Number)
    In accordance with 49 CFR 391.49, subchapter B of the Federal Motor 
Carrier Safety Regulations (FMCSRs), the driver application for a skill 
performance evaluation (SPE) certificate is hereby granted authorizing 
the above-named driver to operate in interstate or foreign commerce 
under the provisions set forth below. This certificate is granted for 
the period shown above, not to exceed 2 years, subject to periodic 
review as

[[Page 1062]]

may be found necessary. This certificate may be renewed upon submission 
of a renewal application. Continuation of this certificate is dependent 
upon strict adherence by the above-named driver to the provisions set 
forth below and compliance with the FMCSRs. Any failure to comply with 
provisions herein may be cause for cancellation.
    CONDITIONS: As a condition of this certificate, reports of all 
accidents, arrests, suspensions, revocations, withdrawals of driver 
licenses or permits, and convictions involving the above-named driver 
shall be reported in writing to the Issuing Agency by the EMPLOYING 
MOTOR CARRIER within 30 days after occurrence.
    LIMITATIONS:
1. Vehicle Type (power unit):*__________________________________________
2. Vehicle modification(s):_____________________________________________
________________________________________________________________________
3. Prosthetic or Orthotic device(s) (Required to be Worn While Driving):

________________________________________________________________________
4. Additional Provision(s):_____________________________________________

________________________________________________________________________
    NOTICE: To all MOTOR CARRIERS employing a driver with an SPE 
certificate. This certificate is granted for the operation of the power 
unit only. It is the responsibility of the employing motor carrier to 
evaluate the driver with a road test using the trailer type(s) the motor 
carrier intends the driver to transport, or in lieu of, accept the 
trailer road test done during the SPE if it is a similar trailer type(s) 
to that of the prospective motor carrier. Also, it is the responsibility 
of the employing motor carrier to evaluate the driver for those non-
driving safety-related job tasks associated with the type of trailer(s) 
utilized, as well as, any other non-driving safety-related or job-
related tasks unique to the operations of the employing motor carrier.
    The SPE of the above named driver was given by a Skill Performance 
Evaluation Program Specialist. It was successfully completed utilizing 
the above named power unit and ----------------(trailer, if applicable)
    The tractor or truck had a ---------------- transmission.
    Please read the NOTICE paragraph above.
Name:___________________________________________________________________
Signature:______________________________________________________________
Title:__________________________________________________________________
Date:___________________________________________________________________

    (k) The State Director, FMCSA, may revoke an SPE certificate after 
the person to whom it was issued is given notice of the proposed 
revocation and has been allowed a reasonable opportunity to appeal.
    (l) Falsifying information in the letter of application, the renewal 
application, or falsifying information required by this section by 
either the applicant or motor carrier is prohibited.

[65 FR 25287, May 1, 2000, as amended at 65 FR 59380, Oct. 5, 2000; 67 
FR 61824, Oct. 2, 2002]

                      Subpart F--Files and Records

Sec. 391.51  General requirements for driver qualification files.

    (a) Each motor carrier shall maintain a driver qualification file 
for each driver it employs. A driver's qualification file may be 
combined with his/her personnel file.
    (b) The qualification file for a driver must include:
    (1) The driver's application for employment completed in accordance 
with Sec. 391.21;
    (2) A written record with respect to each past employer who was 
contacted and a copy of the response by each State agency, pursuant to 
Sec. 391.23 involving investigation and inquiries;
    (3) The certificate of driver's road test issued to the driver 
pursuant to Sec. 391.31(e), or a copy of the license or certificate 
which the motor carrier accepted as equivalent to the driver's road test 
pursuant to Sec. 391.33;
    (4) The response of each State agency to the annual driver record 
inquiry required by Sec. 391.25(a);
    (5) A note relating to the annual review of the driver's driving 
record as required by Sec. 391.25(c)(2);
    (6) A list or certificate relating to violations of motor vehicle 
laws and ordinances required by Sec. 391.27;
    (7) The medical examiner's certificate of his/her physical 
qualification to drive a commercial motor vehicle as required by 
Sec. 391.43(f) or a legible photographic copy of the certificate; and
    (8) A letter from the Field Administrator, Division Administrator, 
or State Director granting a waiver of a physical disqualification, if a 
waiver was issued under Sec. 391.49.
    (c) Except as provided in paragraph (d) of this section, each 
driver's qualification file shall be retained for as long as a driver is 
employed by that motor carrier and for three years thereafter.
    (d) The following records may be removed from a driver's 
qualification file three years after the date of execution:

[[Page 1063]]

    (1) The response of each State agency to the annual driver record 
inquiry required by Sec. 391.25(a);
    (2) The note relating to the annual review of the driver's driving 
record as required by Sec. 391.25(c)(2);
    (3) The list or certificate relating to violations of motor vehicle 
laws and ordinances required by Sec. 391.27;
    (4) The medical examiner's certificate of the driver's physical 
qualification to drive a commercial motor vehicle or the photographic 
copy of the certificate as required by Sec. 391.43(f); and
    (5) The letter issued under Sec. 391.49 granting a waiver of a 
physical disqualification.

(Approved by the Office of Management and Budget under control number 
2125-0065)

[63 FR 33277, June 18, 1998]

                      Subpart G--Limited Exemptions

Sec. 391.61  Drivers who were regularly employed before January 1, 1971.

    The provisions of Sec. 391.21 (relating to applications for 
employment), Sec. 391.23 (relating to investigations and inquiries), and 
Sec. 391.33 (relating to road tests) do not apply to a driver who has 
been a single-employer driver (as defined in Sec. 390.5 of this 
subchapter) of a motor carrier for a continuous period which began 
before January 1, 1971, as long as he/she continues to be a single-
employer driver of that motor carrier.

[63 FR 33278, June 18, 1998]

Sec. 391.62  Limited exemptions for intra-city zone drivers.

    The provisions of Secs. 391.11(b)(1) and 391.41(b)(1) through 
(b)(11) do not apply to a person who:
    (a) Was otherwise qualified to operate and operated a commercial 
motor vehicle in a municipality or exempt intracity zone thereof 
throughout the one-year period ending November 18, 1988;
    (b) Meets all the other requirements of this section;
    (c) Operates wholly within the exempt intracity zone (as defined in 
49 CFR 390.5);
    (d) Does not operate a vehicle used in the transportation of 
hazardous materials in a quantity requiring placarding under regulations 
issued by the Secretary under 49 U.S.C. chapter 51.; and
    (e) Has a medical or physical condition which:
    (1) Would have prevented such person from operating a commercial 
motor vehicle under the Federal Motor Carrier Safety Regulations 
contained in this subchapter;
    (2) Existed on July 1, 1988, or at the time of the first required 
physical examination after that date; and
    (3) The examining physician has determined this condition has not 
substantially worsened since July 1, 1988, or at the time of the first 
required physical examination after that date.

[61 FR 13346, Mar. 26, 1996; 61 FR 17253, Apr. 19, 1996]

Sec. 391.63  Multiple-employer drivers.

    (a) If a motor carrier employs a person as a multiple-employer 
driver (as defined in Sec. 390.5 of this subchapter), the motor carrier 
shall comply with all requirements of this part, except that the motor 
carrier need not--
    (1) Require the person to furnish an application for employment in 
accordance with Sec. 391.21;
    (2) Make the investigations and inquiries specified in Sec. 391.23 
with respect to that person;
    (3) Perform the annual driving record inquiry required by 
Sec. 391.25(a);
    (4) Perform the annual review of the person's driving record 
required by Sec. 391.25(b); or
    (5) Require the person to furnish a record of violations or a 
certificate in accordance with Sec. 391.27.
    (b) Before a motor carrier permits a multiple-employer driver to 
drive a commercial motor vehicle, the motor carrier must obtain his/her 
name, his/her social security number, and the identification number, 
type and issuing State of his/her commercial motor vehicle operator's 
license. The motor carrier must maintain this information for three 
years after employment of the multiple-employer driver ceases.

(Approved by the Office of Management and Budget under control number 
2125-0081)

[63 FR 33278, June 18, 1998]

[[Page 1064]]

Sec. 391.64  Grandfathering for certain drivers participating in vision 
          and diabetes waiver study programs.

    (a) The provisions of Sec. 391.41(b)(3) do not apply to a driver who 
was a participant in good standing on March 31, 1996, in a waiver study 
program concerning the operation of commercial motor vehicles by 
insulin-controlled diabetic drivers; provided:
    (1) The driver is physically examined every year, including an 
examination by a board-certified/eligible endocrinologist attesting to 
the fact that the driver is:
    (i) Otherwise qualified under Sec. 391.41;
    (ii) Free of insulin reactions (an individual is free of insulin 
reactions if that individual does not have severe hypoglycemia or 
hypoglycemia unawareness, and has less than one documented, symptomatic 
hypoglycemic reaction per month);
    (iii) Able to and has demonstrated willingness to properly monitor 
and manage his/her diabetes; and
    (iv) Not likely to suffer any diminution in driving ability due to 
his/her diabetic condition.
    (2) The driver agrees to and complies with the following conditions:
    (i) A source of rapidly absorbable glucose shalll be carried at all 
times while driving;
    (ii) Blood glucose levels shall be self-monitored one hour prior to 
driving and at least once every four hours while driving or on duty 
prior to driving using a portable glucose monitoring device equipped 
with a computerized memory;
    (iii) Submit blood glucose logs to the endocrinologist or medical 
examiner at the annual examination or when otherwise directed by an 
authorized agent of the FMCSA;
    (iv) Provide a copy of the endocrinologist's report to the medical 
examiner at the time of the annual medical examination; and
    (v) Provide a copy of the annual medical certification to the 
employer for retention in the driver's qualification file and retain a 
copy of the certification on his/her person while driving for 
presentation to a duly authorized Federal, State or local enforcement 
official.
    (b) The provisions of Sec. 391.41(b)(10) do not apply to a driver 
who was a participant in good standing on March 31, 1996, in a waiver 
study program concerning the operation of commercial motor vehicles by 
drivers with visual impairment in one eye; provided:
    (1) The driver is physically examined every year, including an 
examination by an ophthalmologist or optometrist attesting to the fact 
that the driver:
    (i) Is otherwise qualified under Sec. 391.41; and
    (ii) Continues to measure at least 20/40 (Snellen) in the better 
eye.
    (2) The driver provides a copy of the ophthalmologist or optometrist 
report to the medical examiner at the time of the annual medical 
examination.
    (3) The driver provides a copy of the annual medical certification 
to the employer for retention in the driver's qualification file and 
retains a copy of the certification on his/her person while driving for 
presentation to a duly authorized federal, state or local enforcement 
official.

[61 FR 13346, Mar. 26, 1996]

Sec. 391.65  Drivers furnished by other motor carriers.

    (a) A motor carrier may employ a driver who is not a regularly 
employed driver of that motor carrier without complying with the 
generally applicable driver qualification file requirements in this 
part, if--
    (1) The driver is regularly employed by another motor carrier; and
    (2) The motor carrier which regularly employs the driver certifies 
that the driver is fully qualified to drive a commercial motor vehicle 
in a written statement which--
    (i) Is signed and dated by an officer or authorized employee of the 
regularly employing carrier;
    (ii) Contains the driver's name and signature;
    (iii) Certifies that the driver has been regularly employed as 
defined in Sec. 390.5;
    (iv) Certifies that the driver is fully qualified to drive a 
commercial motor vehicle under the rules in part 391 of the Federal 
Motor Carrier Safety Regulations;
    (v) States the expiration date of the driver's medical examiner's 
certificate;

[[Page 1065]]

    (vi) Specifies an expiration date for the certificate, which shall 
be not longer than 2 years or, if earlier, the expiration date of the 
driver's current medical examiner's certificate; and
    (vii) After April 1, 1977, is substantially in accordance with the 
following form:

                                                        (Name of driver)
________________________________________________________________________
                                                                (SS No.)

                                                   (Signature of driver)

    I certify that the above named driver, as defined in Sec. 390.5 is 
regularly driving a commercial motor vehicle operated by the below named 
carrier and is fully qualified under part 391, Federal Motor Carrier 
Safety Regulations. His/her current medical examiner's certificate 
expires on -------- (Date)
This certificate expires:

      (Date not later than expiration date of medical certificate)

Issued on -------- (date)

                                          Issued by --------------------
                                                       (Name of carrier)

                                                               (Address)

                                                             (Signature)

                                                                 (Title)

    (b) A motor carrier that obtains a certificate in accordance with 
paragraph (a)(2) of this section shall:
    (1) Contact the motor carrier which certified the driver's 
qualifications under this section to verify the validity of the 
certificate. This contact may be made in person, by telephone, or by 
letter.
    (2) Retain a copy of that certificate in its files for three years.
    (c) A motor carrier which certifies a driver's qualifications under 
this section shall be responsible for the accuracy of the certificate. 
The certificate is no longer valid if the driver leaves the employment 
of the motor carrier which issued the certificate or is no longer 
qualified under the rules in this part.

[41 FR 36656, Aug. 31, 1976, as amended at 53 FR 18057, May 19, 1988; 60 
FR 38745, July 28, 1995; 63 FR 33278, June 18, 1998; 67 FR 61824, Oct. 
2, 2002]



Sec. 391.67  Farm vehicle drivers of articulated commercial motor vehicles.

    The following rules in this part do not apply to a farm vehicle 
driver (as defined in Sec. 390.5 of this subchapter) who is 18 years of 
age or older and who drives an articulated commercial motor vehicle:
    (a) Section 391.11(b)(1), (b)(6) and (b)(8) (relating to general 
qualifications of drivers);
    (b) Subpart C (relating to disclosure of, investigation into, and 
inquiries about the background, character, and driving record of 
drivers);
    (c) Subpart D (relating to road tests); and
    (d) Subpart F (relating to maintenance of files and records).

[63 FR 33278, June 18, 1998]



Sec. 391.68  Private motor carrier of passengers (nonbusiness).

    The following rules in this part do not apply to a private motor 
carrier of passengers (nonbusiness) and its drivers:
    (a) Section 391.11(b)(1), (b)(6) and (b)(8) (relating to general 
qualifications of drivers);
    (b) Subpart C (relating to disclosure of, investigation into, and 
inquiries about the background, character, and driving record of, 
drivers);
    (c) So much of Secs. 391.41 and 391.45 as require a driver to be 
medically examined and to have a medical examiner's certificate on his/
her person; and
    (d) Subpart F (relating to maintenance of files and records).

[63 FR 33278, June 18, 1998]



Sec. 391.69  Private motor carrier of passengers (business).

    The provisions of Sec. 391.21 (relating to applications for 
employment), Sec. 391.23 (relating to investigations and inquiries), and 
Sec. 391.31 (relating to road tests) do not apply to a driver who was a 
single-employer driver (as defined in Sec. 390.5 of this subchapter) of 
a private motor carrier of passengers (business) as of July 1, 1994, so 
long as the driver continues to be a single-employer driver of that 
motor carrier.

[63 FR 33278, June 18, 1998]

[[Page 1066]]



Sec. 391.71  [Reserved]



PART 392--DRIVING OF COMMERCIAL MOTOR VEHICLES--Table of Contents




                           Subpart A--General

Sec.
392.1 Scope of the rules in this part.
392.2 Applicable operating rules.
392.3 Ill or fatigued operator.
392.4 Drugs and other substances.
392.5 Alcohol prohibition.
392.6 Schedules to conform with speed limits.
392.7 Equipment, inspection and use.
392.8 Emergency equipment, inspection, and use.
392.9 Inspection of cargo, cargo securement devices and systems.
392.9a Operating authority.

             Subpart B--Driving of Commercial Motor Vehicles

392.10 Railroad grade crossings; stopping required.
392.11 Railroad grade crossings; slowing down required.
392.12-392.13 [Reserved]
392.14 Hazardous conditions; extreme caution.
392.15 [Reserved]
392.16 Use of seat belts.
392.18 [Reserved]

              Subpart C--Stopped Commercial Motor Vehicles

392.20-392.21 [Reserved]
392.22 Emergency signals; stopped commercial motor vehicles.
392.24 Emergency signals; flame-producing.
392.25 Flame producing devices.

             Subpart D--Use of Lighted Lamps and Reflectors

392.30-392.32 [Reserved]
392.33 Obscured lamps or reflectors.

             Subpart E--License Revocation; Duties of Driver

392.40-392.41 [Reserved]

                     Subpart F--Fueling Precautions

392.50 Ignition of fuel; prevention.
392.51 Reserve fuel; materials of trade.
392.52 [Reserved]

                     Subpart G--Prohibited Practices

392.60 Unauthorized persons not to be transported.
392.61 [Reserved]
392.62 Safe operation, buses.
392.63 Towing or pushing loaded buses.
392.64 Riding within closed commercial motor vehicles without proper 
          exits.
392.65 [Reserved]
392.66 Carbon monoxide; use of commercial motor vehicle when detected.
392.67 Heater, flame-producing; on commercial motor vehicle in motion.
392.68-392.69 [Reserved]
392.71 Radar detectors; use and/or possession.

    Authority: 49 U.S.C. 13902, 31136, 31502; and 49 CFR 1.73.

    Source: 33 FR 19732, Dec. 25, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 392 appear at 66 FR 
49874, Oct. 1, 2001.



                           Subpart A--General



Sec. 392.1  Scope of the rules in this part.

    Every motor carrier, its officers, agents, representatives, and 
employees responsible for the management, maintenance, operation, or 
driving of commercial motor vehicles, or the hiring, supervising, 
training, assigning, or dispatching of drivers, shall be instructed in 
and comply with the rules in this part.

[53 FR 18057, May 19, 1988, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.2  Applicable operating rules.

    Every commercial motor vehicle must be operated in accordance with 
the laws, ordinances, and regulations of the jurisdiction in which it is 
being operated. However, if a regulation of the Federal Motor Carrier 
Safety Administration imposes a higher standard of care than that law, 
ordinance or regulation, the Federal Motor Carrier Safety Administration 
regulation must be complied with.

[35 FR 7800, May 21, 1970, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.3  Ill or fatigued operator.

    No driver shall operate a commercial motor vehicle, and a motor 
carrier shall not require or permit a driver to operate a commercial 
motor vehicle, while the driver's ability or alertness is so impaired, 
or so likely to become impaired, through fatigue, illness, or any other 
cause, as to make it unsafe for him/her to begin or continue to operate

[[Page 1067]]

the commercial motor vehicle. However, in a case of grave emergency 
where the hazard to occupants of the commercial motor vehicle or other 
users of the highway would be increased by compliance with this section, 
the driver may continue to operate the commercial motor vehicle to the 
nearest place at which that hazard is removed.

[35 FR 7800, May 21, 1970, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.4  Drugs and other substances.

    (a) No driver shall be on duty and possess, be under the influence 
of, or use, any of the following drugs or other substances:
    (1) Any 21 CFR 1308.11 Schedule I substance;
    (2) An amphetamine or any formulation thereof (including, but not 
limited, to ``pep pills,'' and ``bennies'');
    (3) A narcotic drug or any derivative thereof; or
    (4) Any other substance, to a degree which renders the driver 
incapable of safely operating a motor vehicle.
    (b) No motor carrier shall require or permit a driver to violate 
paragraph (a) of this section.
    (c) Paragraphs (a) (2), (3), and (4) do not apply to the possession 
or use of a substance administered to a driver by or under the 
instructions of a licensed medical practitioner, as defined in 
Sec. 382.107 of this subchapter, who has advised the driver that the 
substance will not affect the driver's ability to safely operate a motor 
vehicle.
    (d) As used in this section, ``possession'' does not include 
possession of a substance which is manifested and transported as part of 
a shipment.

[61 FR 9567, Mar. 8, 1996, as amended at 62 FR 37153, July 11, 1997]



Sec. 392.5  Alcohol prohibition.

    (a) No driver shall--
    (1) Use alcohol, as defined in Sec. 382.107 of this subchapter, or 
be under the influence of alcohol, within 4 hours before going on duty 
or operating, or having physical control of, a commercial motor vehicle; 
or
    (2) Use alcohol, be under the influence of alcohol, or have any 
measured alcohol concentration or detected presence of alcohol, while on 
duty, or operating, or in physical control of a commercial motor 
vehicle; or
    (3) Be on duty or operate a commercial motor vehicle while the 
driver possesses wine of not less than one-half of one per centum of 
alcohol by volume, beer as defined in 26 U.S.C. 5052(a), of the Internal 
Revenue Code of 1954, and distilled spirits as defined in section 
5002(a)(8), of such Code. However, this does not apply to possession of 
wine, beer, or distilled spirits which are:
    (i) Manifested and transported as part of a shipment; or
    (ii) Possessed or used by bus passengers.
    (b) No motor carrier shall require or permit a driver to--
    (1) Violate any provision of paragraph (a) of this section; or
    (2) Be on duty or operate a commercial motor vehicle if, by the 
driver's general appearance or conduct or by other substantiating 
evidence, the driver appears to have used alcohol within the preceding 
four hours.
    (c) Any driver who is found to be in violation of the provisons of 
paragraph (a) or (b) of this section shall be placed out-of-service 
immediately for a period of 24 hours.
    (1) The 24-hour out-of-service period will commence upon issuance of 
an out-of-service order.
    (2) No driver shall violate the terms of an out-of-service order 
issued under this section.
    (d) Any driver who is issued an out-of-service order under this 
section shall:
    (1) Report such issuance to his/her employer within 24 hours; and
    (2) Report such issuance to a State official, designated by the 
State which issued his/her driver's license, within 30 days unless the 
driver chooses to request a review of the order. In this case, the 
driver shall report the order to the State official within 30 days of an 
affirmation of the order by either the Division Administrator or State 
Director for the geographical area or the Administrator.
    (e) Any driver who is subject to an out-of-service order under this 
section may petition for review of that order by submitting a petition 
for review in writing within 10 days of the issuance

[[Page 1068]]

of the order to the Division Administrator or State Director for the 
geographical area in which the order was issued. The Division 
Administrator or State Director may affirm or reverse the order. Any 
driver adversely affected by such order of the Regional Director of 
Motor Carriers may petition the Administrator for review in accordance 
with 49 CFR 386.13.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[47 FR 47837, Oct. 28, 1982, as amended at 52 FR 27201, July 20, 1987; 
59 FR 7515, Feb. 15, 1994; 61 FR 9567, Mar. 8, 1996]



Sec. 392.6  Schedules to conform with speed limits.

    No motor carrier shall schedule a run nor permit nor require the 
operation of any commercial motor vehicle between points in such period 
of time as would necessitate the commercial motor vehicle being operated 
at speeds greater than those prescribed by the jurisdictions in or 
through which the commercial motor vehicle is being operated.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.7  Equipment, inspection and use.

    No commercial motor vehicle shall be driven unless the driver is 
satisfied that the following parts and accessories are in good working 
order, nor shall any driver fail to use or make use of such parts and 
accessories when and as needed:

Service brakes, including trailer brake connections.
Parking (hand) brake.
Steering mechanism.
Lighting devices and reflectors.
Tires.
Horn.
Windshield wiper or wipers.
Rear-vision mirror or mirrors.
Coupling devices.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.8  Emergency equipment, inspection and use.

    No commercial motor vehicle shall be driven unless the driver 
thereof is satisfied that the emergency equipment required by 
Sec. 393.95 of this subchapter is in place and ready for use; nor shall 
any driver fail to use or make use of such equipment when and as needed.

[49 FR 38290, Sept. 28, 1984, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.9  Inspection of cargo, cargo securement devices and systems.

    (a) General. A driver may not operate a commercial motor vehicle and 
a motor carrier may not require or permit a driver to operate a 
commercial motor vehicle unless--
    (1) The commercial motor vehicle's cargo is properly distributed and 
adequately secured as specified in Secs. 393.100 through 393.142 of this 
subchapter.
    (2) The commercial motor vehicle's tailgate, tailboard, doors, 
tarpaulins, spare tire and other equipment used in its operation, and 
the means of fastening the commercial motor vehicle's cargo, are 
secured; and
    (3) The commercial motor vehicle's cargo or any other object does 
not obscure the driver's view ahead or to the right or left sides 
(except for drivers of self-steer dollies), interfere with the free 
movement of his/her arms or legs, prevent his/her free and ready access 
to accessories required for emergencies, or prevent the free and ready 
exit of any person from the commercial motor vehicle's cab or driver's 
compartment.
    (b) Drivers of trucks and truck tractors. Except as provided in 
paragraph (b)(4) of this section, the driver of a truck or truck tractor 
must--
    (1) Assure himself/herself that the provisions of paragraph (a) of 
this section have been complied with before he/she drives that 
commercial motor vehicle;
    (2) Inspect the cargo and the devices used to secure the cargo 
within the first 50 miles after beginning a trip and cause any 
adjustments to be made to the cargo or load securement devices as 
necessary, including adding more securement devices, to ensure that 
cargo cannot shift on or within, or fall from the commercial motor 
vehicle; and
    (3) Reexamine the commercial motor vehicle's cargo and its load 
securement devices during the course of transportation and make any 
necessary adjustment to the cargo or load securement devices, including 
adding more securement devices, to ensure that cargo cannot shift on or 
within, or fall from, the

[[Page 1069]]

commercial motor vehicle. Reexamination and any necessary adjustments 
must be made whenever --
    (i) The driver makes a change of his/her duty status; or
    (ii) The commercial motor vehicle has been driven for 3 hours; or
    (iii) The commercial motor vehicle has been driven for 150 miles, 
whichever occurs first.
    (4) The rules in this paragraph (b) do not apply to the driver of a 
sealed commercial motor vehicle who has been ordered not to open it to 
inspect its cargo or to the driver of a commercial motor vehicle that 
has been loaded in a manner that makes inspection of its cargo 
impracticable.

[67 FR 61224, Sept. 27, 2002]



Sec. 392.9a  Operating authority.

    (a) Registration required. A motor vehicle providing transportation 
requiring registration under 49 U.S.C. 13902 may not be operated without 
the required registration or operated beyond the scope of its 
registration.
    (b) Penalties. Every motor vehicle providing transportation 
requiring registration under 49 U.S.C. 13902 shall be ordered out-of-
service if determined to be operating without registration or beyond the 
scope of its registration. In addition, the motor carrier may be subject 
to penalties in accordance with 49 U.S.C. 14901.
    (c) Administrative Review. Upon the issuance of the out-of-service 
order under paragraph (b) of this section, the driver shall comply 
immediately with such order. Opportunity for review shall be provided in 
accordance with section 554 of title 5, United States Code not later 
than 10 days after issuance of such order.

[67 FR 55165, Aug. 28, 2002]



             Subpart B--Driving of Commercial Motor Vehicles



Sec. 392.10  Railroad grade crossings; stopping required.

    (a) Except as provided in paragraph (b) of this section, the driver 
of a commercial motor vehicle specified in paragraphs (a) (1) through 
(6) of this section shall not cross a railroad track or tracks at grade 
unless he/she first: Stops the commercial motor vehicle within 50 feet 
of, and not closer than 15 feet to, the tracks; thereafter listens and 
looks in each direction along the tracks for an approaching train; and 
ascertains that no train is approaching. When it is safe to do so, the 
driver may drive the commercial motor vehicle across the tracks in a 
gear that permits the commercial motor vehicle to complete the crossing 
without a change of gears. The driver must not shift gears while 
crossing the tracks.
    (1) Every bus transporting passengers,
    (2) Every commercial motor vehicle transporting any quantity of a 
Division 2.3 chlorine.
    (3) Every commercial motor vehicle which, in accordance with the 
regulations of the Department of Transportation, is required to be 
marked or placarded with one of the following classifications:
    (i) Division 1.1
    (ii) Division 1.2, or Division 1.3
    (iii) Division 2.3 Poison gas
    (iv) Division 4.3
    (v) Class 7
    (vi) Class 3 Flammable
    (vii) Division 5.1
    (viii) Division 2.2
    (ix) Division 2.3 Chlorine
    (x) Division 6.1 Poison
    (xi) Division 2.2 Oxygen
    (xii) Division 2.1
    (xiii) Class 3 Combustible liquid
    (xiv) Division 4.1
    (xv) Division 5.1
    (xvi) Division 5.2
    (xvii) Class 8
    (xviii) Division 1.4
    (4) Every cargo tank motor vehicle, whether loaded or empty, used 
for the transportation of any hazardous material as defined in the 
Hazardous Materials Regulations of the Department of Transportation, 
Parts 107 through 180 of this title.
    (5) Every cargo tank motor vehicle transporting a commodity which at 
the time of loading has a temperature above its flashpoint as determined 
by Sec. 173.120 of this title.
    (6) Every cargo tank motor vehicle, whether loaded or empty, 
transporting any commodity under exemption in accordance with the 
provisions of subpart B of part 107 of this title.

[[Page 1070]]

    (b) A stop need not be made at:
    (1) A streetcar crossing, or railroad tracks used exclusively for 
industrial switching purposes, within a business district, as defined in 
Sec. 390.5 of this chapter.
    (2) A railroad grade crossing when a police officer or crossing 
flagman directs traffic to proceed,
    (3) A railroad grade crossing controlled by a functioning highway 
traffic signal transmitting a green indication which, under local law, 
permits the commercial motor vehicle to proceed across the railroad 
tracks without slowing or stopping.
    (4) An abandoned railroad grade crossing which is marked with a sign 
indicating that the rail line is abandoned,
    (5) An industrial or spur line railroad grade crossing marked with a 
sign reading ``Exempt.'' Such ``Exempt'' signs shall be erected only by 
or with the consent of the appropriate State or local authority.

(Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; 49 U.S.C. 304, 1655; 49 CFR 
1.48(b) and 301.60)

[33 FR 19732, Dec. 25, 1968, as amended at 35 FR 7801, May 21, 1970; 38 
FR 1589, Jan. 16, 1973; 40 FR 44555, Sept. 29, 1975; 45 FR 46424, July 
10, 1980; 47 FR 47837, Oct. 28, 1982; 59 FR 63924, Dec. 12, 1994; 60 FR 
38746, 38747, July 28, 1995]



Sec. 392.11  Railroad grade crossings; slowing down required.

    Every commercial motor vehicle other than those listed in 
Sec. 392.10 shall, upon approaching a railroad grade crossing, be driven 
at a rate of speed which will permit said commercial motor vehicle to be 
stopped before reaching the nearest rail of such crossing and shall not 
be driven upon or over such crossing until due caution has been taken to 
ascertain that the course is clear.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Secs. 392.12-392.13  [Reserved]



Sec. 392.14  Hazardous conditions; extreme caution.

    Extreme caution in the operation of a commercial motor vehicle shall 
be exercised when hazardous conditions, such as those caused by snow, 
ice, sleet, fog, mist, rain, dust, or smoke, adversely affect visibility 
or traction. Speed shall be reduced when such conditions exist. If 
conditions become sufficiently dangerous, the operation of the 
commercial motor vehicle shall be discontinued and shall not be resumed 
until the commercial motor vehicle can be safely operated. Whenever 
compliance with the foregoing provisions of this rule increases hazard 
to passengers, the commercial motor vehicle may be operated to the 
nearest point at which the safety of passengers is assured.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec. 392.15  [Reserved]



Sec. 392.16  Use of seat belts.

    A commercial motor vehicle which has a seat belt assembly installed 
at the driver's seat shall not be driven unless the driver has properly 
restrained himself/herself with the seat belt assembly.

[35 FR 10860, July 3, 1970, as amended at 60 FR 38747, July 28, 1995]



Sec. 392.18  [Reserved]



              Subpart C--Stopped Commercial Motor Vehicles



Secs. 392.20-392.21  [Reserved]



Sec. 392.22  Emergency signals; stopped commercial motor vehicles.

    (a) Hazard warning signal flashers. Whenever a commercial motor 
vehicle is stopped upon the traveled portion of a highway or the 
shoulder of a highway for any cause other than necessary traffic stops, 
the driver of the stopped commercial motor vehicle shall immediately 
activate the vehicular hazard warning signal flashers and continue the 
flashing until the driver places the warning devices required by 
paragraph (b) of this section. The flashing signals shall be used during 
the time the warning devices are picked up for storage before movement 
of the commercial motor vehicle. The flashing lights may be used at 
other times while a commercial motor vehicle is stopped in addition to, 
but not in lieu of, the warning

[[Page 1071]]

devices required by paragraph (b) of this section.
    (b) Placement of warning devices--(1) General rule. Except as 
provided in paragraph (b)(2) of this section, whenever a commercial 
motor vehicle is stopped upon the traveled portion or the shoulder of a 
highway for any cause other than necessary traffic stops, the driver 
shall, as soon as possible, but in any event within 10 minutes, place 
the warning devices required by Sec. 393.95 of this subchapter, in the 
following manner:
    (i) One on the traffic side of and 4 paces (approximately 3 meters 
or 10 feet) from the stopped commercial motor vehicle in the direction 
of approaching traffic;
    (ii) One at 40 paces (approximately 30 meters or 100 feet) from the 
stopped commercial motor vehicle in the center of the traffic lane or 
shoulder occupied by the commercial motor vehicle and in the direction 
of approaching traffic; and
    (iii) One at 40 paces (approximately 30 meters or 100 feet) from the 
stopped commercial motor vehicle in the center of the traffic lane or 
shoulder occupied by the commercial motor vehicle and in the direction 
away from approaching traffic.
    (2) Special rules--(i) Fusees and liquid-burning flares. The driver 
of a commercial motor vehicle equipped with only fusees or liquid-
burning flares shall place a lighted fusee or liquid-burning flare at 
each of the locations specified in paragraph (b)(1) of this section. 
There shall be at least one lighted fusee or liquid-burning flare at 
each of the prescribed locations, as long as the commercial motor 
vehicle is stopped. Before the stopped commercial motor vehicle is 
moved, the driver shall extinguish and remove each fusee or liquid-
burning flare.
    (ii) Daylight hours. Except as provided in paragraph (b)(2)(iii) of 
this section, during the period lighted lamps are not required, three 
bidirectional reflective triangles, or three lighted fusees or liquid-
burning flares shall be placed as specified in paragraph (b)(1) of this 
section within a time of 10 minutes. In the event the driver elects to 
use only fusees or liquid-burning flares in lieu of bidirectional 
reflective triangles or red flags, the driver must ensure that at least 
one fusee or liquid-burning flare remains lighted at each of the 
prescribed locations as long as the commercial motor vehicle is stopped 
or parked.
    (iii) Business or residential districts. The placement of warning 
devices is not required within the business or residential district of a 
municipality, except during the time lighted lamps are required and when 
street or highway lighting is insufficient to make a commercial motor 
vehicle clearly discernable at a distance of 500 feet to persons on the 
highway.
    (iv) Hills, curves, and obstructions. If a commercial motor vehicle 
is stopped within 500 feet of a curve, crest of a hill, or other 
obstruction to view, the driver shall place the warning signal required 
by paragraph (b)(1) of this section in the direction of the obstruction 
to view a distance of 100 feet to 500 feet from the stopped commercial 
motor vehicle so as to afford ample warning to other users of the 
highway.
    (v) Divided or one-way roads. If a commercial motor vehicle is 
stopped upon the traveled portion or the shoulder of a divided or one-
way highway, the driver shall place the warning devices required by 
paragraph (b)(1) of this section, one warning device at a distance of 
200 feet and one warning device at a distance of 100 feet in a direction 
toward approaching traffic in the center of the lane or shoulder 
occupied by the commercial motor vehicle. He/she shall place one warning 
device at the traffic side of the commercial motor vehicle within 10 
feet of the rear of the commercial motor vehicle.
    (vi) Leaking, flammable material. If gasoline or any other flammable 
liquid, or combustible liquid or gas seeps or leaks from a fuel 
container or a commercial motor vehicle stopped upon a highway, no 
emergency warning signal producing a flame shall be lighted or placed 
except at such a distance from any such liquid or gas as will assure the 
prevention of a fire or explosion.

[37 FR 17175, Aug. 25, 1972, as amended at 40 FR 10685, Mar. 7, 1975; 47 
FR 47837, Oct. 28, 1982; 48 FR 57139, Dec. 23, 1983; 59 FR 34711, July 
6, 1994; 60 FR 38747, July 28, 1995; 63 FR 33279, June 18, 1998]

[[Page 1072]]



Sec. 392.24  Emergency signals; flame-producing.

    No driver shall attach or permit any person to attach a lighted 
fusee or other flame-producing emergency signal to any part of a 
commercial motor vehicle.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec. 392.25  Flame producing devices.

    No driver shall use or permit the use of any flame-producing 
emergency signal for protecting any commercial motor vehicle 
transporting Division 1.1, Division 1.2, or Division 1.3 explosives; any 
cargo tank motor vehicle used for the transportation of any Class 3 or 
Division 2.1, whether loaded or empty; or any commercial motor vehicle 
using compressed gas as a motor fuel. In lieu thereof, emergency 
reflective triangles, red electric lanterns, or red emergency reflectors 
shall be used, the placement of which shall be in the same manner as 
prescribed in Sec. 392.22(b).

[59 FR 63925, Dec. 12, 1994, as amended at 60 FR 38747, July 28, 1995]



             Subpart D--Use of Lighted Lamps and Reflectors



Secs. 392.30-392.32  [Reserved]



Sec. 392.33  Obscured lamps or reflectors.

    No commercial motor vehicle shall be driven when any of the required 
lamps or reflectors are obscured by the tailboard, by any part of the 
load, by dirt, or otherwise.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



             Subpart E--License Revocation; Duties of Driver



Secs. 392.40-392.41  [Reserved]



                     Subpart F--Fueling Precautions



Sec. 392.50  Ignition of fuel; prevention.

    No driver or any employee of a motor carrier shall:
    (a) Fuel a commercial motor vehicle with the engine running, except 
when it is necessary to run the engine to fuel the commercial motor 
vehicle;
    (b) Smoke or expose any open flame in the vicinity of a commercial 
motor vehicle being fueled;
    (c) Fuel a commercial motor vehicle unless the nozzle of the fuel 
hose is continuously in contact with the intake pipe of the fuel tank;
    (d) Permit, insofar as practicable, any other person to engage in 
such activities as would be likely to result in fire or explosion.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec. 392.51  Reserve fuel; materials of trade.

    Small amounts of fuel for the operation or maintenance of a 
commercial motor vehicle (including its auxiliary equipment) may be 
designated as materials of trade (see 49 CFR 171.8).
    (a) The aggregate gross weight of all materials of trade on a motor 
vehicle may not exceed 200 kg (440 pounds).
    (b) Packaging for gasoline must be made of metal or plastic and 
conform to requirements of 49 CFR Parts 171, 172, 173, and 178 or 
requirements of the Occupational Safety and Health Administration 
contained in 29 CFR 1910.106.
    (c) For Packing Group II (including gasoline), Packing Group III 
(including aviation fuel and fuel oil), or ORM-D, the material is 
limited to 30 kg (66 pounds) or 30 L (8 gallons).
    (d) For diesel fuel, the capacity of the package is limited to 450 L 
(119 gallons).
    (e) A Division 2.1 material in a cylinder is limited to a gross 
weight of 100 kg (220 pounds). (A Division 2.1 material is a flammable 
gas, including liquefied petroleum gas, butane, propane, liquefied 
natural gas, and methane).

[63 FR 33279, June 18, 1998]



Sec. 392.52  [Reserved]



                     Subpart G--Prohibited Practices



Sec. 392.60  Unauthorized persons not to be transported.

    (a) Unless specifically authorized in writing to do so by the motor 
carrier under whose authority the commercial motor vehicle is being 
operated, no

[[Page 1073]]

driver shall transport any person or permit any person to be transported 
on any commercial motor vehicle other than a bus. When such 
authorization is issued, it shall state the name of the person to be 
transported, the points where the transportation is to begin and end, 
and the date upon which such authority expires. No written 
authorization, however, shall be necessary for the transportation of:
    (1) Employees or other persons assigned to a commercial motor 
vehicle by a motor carrier;
    (2) Any person transported when aid is being rendered in case of an 
accident or other emergency;
    (3) An attendant delegated to care for livestock.
    (b) This section shall not apply to the operation of commercial 
motor vehicles controlled and operated by any farmer and used in the 
transportation of agricultural commodities or products thereof from his/
her farm or in the transportation of supplies to his/her farm.

[60 FR 38747, July 28, 1995]



Sec. 392.61  [Reserved]



Sec. 392.62  Safe operation, buses.

    No person shall drive a bus and a motor carrier shall not require or 
permit a person to drive a bus unless--
    (a) All standees on the bus are rearward of the standee line or 
other means prescribed in Sec. 393.90 of this subchapter;
    (b) All aisle seats in the bus conform to the requirements of 
Sec. 393.91 of this subchapter; and
    (c) Baggage or freight on the bus is stowed and secured in a manner 
which assures--
    (1) Unrestricted freedom of movement to the driver and his proper 
operation of the bus;
    (2) Unobstructed access to all exits by any occupant of the bus; and
    (3) Protection of occupants of the bus against injury resulting from 
the falling or displacement of articles transported in the bus.

[63 FR 33278, June 18, 1998]



Sec. 392.63  Towing or pushing loaded buses.

    No disabled bus with passengers aboard shall be towed or pushed; nor 
shall any person use or permit to be used a bus with passengers aboard 
for the purpose of towing or pushing any disabled motor vehicle, except 
in such circumstances where the hazard to passengers would be increased 
by observance of the foregoing provisions of this section, and then only 
in traveling to the nearest point where the safety of the passengers is 
assured.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec. 392.64  Riding within closed commercial motor vehicles without proper exits.

    No person shall ride within the closed body of any commercial motor 
vehicle unless there are means on the inside thereof of obtaining exit. 
Said means shall be in such condition as to permit ready operation by 
the occupant.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec. 392.65  [Reserved]



Sec. 392.66  Carbon monoxide; use of commercial motor vehicle when detected.

    (a) No person shall dispatch or drive any commercial motor vehicle 
or permit any passengers thereon, when the following conditions are 
known to exist, until such conditions have been remedied or repaired:
    (1) Where an occupant has been affected by carbon monoxide;
    (2) Where carbon monoxide has been detected in the interior of the 
commercial motor vehicle;
    (3) When a mechanical condition of the commercial motor vehicle is 
discovered which would be likely to produce a hazard to the occupants by 
reason of carbon monoxide.
    (b) [Reserved]

[60 FR 38747, July 28, 1995]



Sec. 392.67  Heater, flame-producing; on commercial motor vehicle in motion.

    No open flame heater used in the loading or unloading of the 
commodity transported shall be in operation while

[[Page 1074]]

the commercial motor vehicle is in motion.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Secs. 392.68-392.69  [Reserved]



Sec. 392.71  Radar detectors; use and/or possession.

    (a) No driver shall use a radar detector in a commercial motor 
vehicle, or operate a commercial motor vehicle that is equipped with or 
contains any radar detector.
    (b) No motor carrier shall require or permit a driver to violate 
paragraph (a) of this section.

[58 FR 67375, Dec. 21, 1993]



PART 393--PARTS AND ACCESSORIES NECESSARY FOR SAFE OPERATION--Table of Contents




                           Subpart A--General

Sec.
393.1 Scope of the rules of this part.
393.3 Additional equipment and accessories.
393.5 Definitions.
393.7 Matter incorporated by reference.

    Subpart B--Lighting Devices, Reflectors, and Electrical Equipment

393.9 Lamps operable.
393.11 Lighting devices and reflectors.
393.13 Retroreflective sheeting and reflex reflectors, requirements for 
          semitrailers and trailers manufactured before December 1, 
          1993.
393.17 Lamps and reflectors--combinations in driveaway-towaway 
          operation.
393.19 Requirements for turn signaling systems.
393.20 Clearance lamps to indicate extreme width and height.
393.22 Combination of lighting devices and reflectors.
393.23 Lighting devices to be electric.
393.24 Requirements for head lamps and auxiliary road lighting lamps.
393.25 Requirements for lamps other than head lamps.
393.26 Requirements for reflectors.
393.27 Wiring specifications.
393.28 Wiring to be protected.
393.29 Grounds.
393.30 Battery installation.
393.31 Overload protective devices.
393.32 Detachable electrical connections.
393.33 Wiring, installation.

                            Subpart C--Brakes

393.40 Required brake systems.
393.41 Parking brake system.
393.42 Brakes required on all wheels.
393.43 Breakaway and emergency braking.
393.44 Front brake lines, protection.
393.45 Brake tubing and hose, adequacy.
393.46 Brake tubing and hose connections.
393.47 Brake lining.
393.48 Brakes to be operative.
393.49 Single valve to operate all brakes.
393.50 Reservoirs required.
393.51 Warning devices and gauges.
393.52 Brake performance.
393.53 Automatic brake adjusters and brake adjustment indicators.
393.55 Antilock brake systems.

               Subpart D--Glazing and Window Construction

393.60 Glazing in specified openings.
393.61 Window construction.
393.62 Window obstructions.
393.63 Windows, markings.

                         Subpart E--Fuel Systems

393.65 All fuel systems.
393.67 Liquid fuel tanks.
393.69 Liquefied petroleum gas systems.

             Subpart F--Coupling Devices and Towing Methods

393.70 Coupling devices and towing methods, except for driveaway-towaway 
          operations.
393.71 Coupling devices and towing methods, driveaway-towaway 
          operations.

             Subpart G--Miscellaneous Parts and Accessories

393.75 Tires.
393.76 Sleeper berths.
393.77 Heaters.
393.78 Windshield wipers.
393.79 Defrosting device.
393.80 Rear-vision mirrors.
393.81 Horn.
393.82 Speedometer.
393.83 Exhaust systems.
393.84 Floors.
393.85 [Reserved]
393.86 Rear impact guards and rear end protection.
393.87 Flags on projecting loads.
393.88 Television receivers.
393.89 Buses, driveshaft protection.
393.90 Buses, standee line or bar.
393.91 Buses, aisle seats prohibited.
393.92 Buses, marking emergency doors.
393.93 Seats, seat belt assemblies, and seat belt assembly anchorages.
393.94 Vehicle interior noise levels.

[[Page 1075]]

                     Subpart H--Emergency Equipment

393.95 Emergency equipment on all power units.

        Subpart I--Protection Against Shifting and Falling Cargo

393.100 Which types of commercial motor vehicles are subject to the 
          cargo securement standards of this subpart, and what general 
          requirements apply?
393.102 What are the minimum performance criteria for cargo securement 
          devices and systems?
393.104 What standards must cargo securement devices and systems meet in 
          order to satisfy the requirements of this subpart?
393.106 What are the general requirements for securing articles of 
          cargo?
393.108 How is the working load limit of a tiedown determined?
393.110 What else do I have to do to determine the minimum number of 
          tiedowns?
393.112 Must a tiedown be adjustable?
393.114 What are the requirements for front end structures used as part 
          of a cargo securement system?

           Specific Securement Requirements by Commodity Type

393.116 What are the rules for securing logs?
393.118 What are the rules for securing dressed lumber or similar 
          building products?
393.120 What are the rules for securing metal coils?
393.122 What are the rules for securing paper rolls?
393.124 What are the rules for securing concrete pipe?
393.126 What are the rules for securing intermodal containers?
393.128 What are the rules for securing automobiles, light trucks and 
          vans?
393.130 What are the rules for securing heavy vehicles, equipment and 
          machinery?
393.132 What are the rules for securing flattened or crushed vehicles?
393.134 What are the rules for securing roll-on/roll-off and hook lift 
          containers?
393.136 What are the rules for securing large boulders?

   Subpart J--Frames, Cab and Body Components, Wheels, Steering, and 
                           Suspension Systems

393.201 Frames.
393.203 Cab and body components.
393.205 Wheels.
393.207 Suspension systems.
393.209 Steering wheel systems.

    Authority: 49 U.S.C. 322, 31136, and 31502; Section 1041(b) of Pub. 
L. 102-240, 105 Stat. 1914, 1993 (1991); and 49 CFR 1.73.

    Source: 33 FR 19735, Dec. 25, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 393 appear at 66 FR 
49874, Oct. 1, 2001.



                           Subpart A--General

    Source: 53 FR 49384, Dec. 7, 1988, unless otherwise noted.



Sec. 393.1  Scope of the rules of this part.

    Every employer and employee shall comply and be conversant with the 
requirements and specifications of this part. No employer shall operate 
a commercial motor vehicle, or cause or permit it to be operated, unless 
it is equipped in accordance with the requirements and specifications of 
this part.

[54 FR 48617, Nov. 24, 1989]



Sec. 393.3  Additional equipment and accessories.

    Nothing contained in this subchapter shall be construed to prohibit 
the use of additional equipment and accessories, not inconsistent with 
or prohibited by this subchapter, provided such equipment and 
accessories do not decrease the safety of operation of the motor 
vehicles on which they are used.



Sec. 393.5  Definitions.

    As used in this part, the following words and terms are construed to 
mean:
    Aggregate working load limit. The summation of the working load 
limits or restraining capacity of all devices used to secure an article 
of cargo on a vehicle.
    Agricultural commodity trailer. A trailer that is designed to 
transport bulk agricultural commodities in off-road harvesting sites and 
to a processing plant or storage location, as evidenced by skeletal 
construction that accommodates harvest containers, a maximum length of 
28 feet, and an arrangement of air control lines and reservoirs that 
minimizes damage in field operations.
    Anchor point. Part of the structure, fitting or attachment on a 
vehicle or

[[Page 1076]]

article of cargo to which a tiedown is attached.
    Antilock Brake System or ABS means a portion of a service brake 
system that automatically controls the degree of rotational wheel slip 
during braking by:
    (1) Sensing the rate of angular rotation of the wheels;
    (2) Transmitting signals regarding the rate of wheel angular 
rotation to one or more controlling devices which interpret those 
signals and generate responsive controlling output signals; and
    (3) Transmitting those controlling signals to one or more modulators 
which adjust brake actuating forces in response to those signals.
    Article of cargo. A unit of cargo, other than a liquid, gas, or 
aggregate that lacks physical structure (e.g., grain, gravel, etc.) 
including articles grouped together so that they can be handled as a 
single unit or unitized by wrapping, strapping, banding or edge 
protection device(s).
    Bell pipe concrete. Pipe whose flanged end is of larger diameter 
than its barrel.
    Blocking. A structure, device or another substantial article placed 
against or around an article of cargo to prevent horizontal movement of 
the article of cargo.
    Bracing. A structure, device, or another substantial article placed 
against an article of cargo to prevent it from tipping, that may also 
prevent it from shifting.
    Brake. An energy conversion mechanism used to stop, or hold a 
vehicle stationary.
    Brake tubing/hose. Metallic brake tubing, nonmetallic brake tubing 
and brake hose are conduits or lines used in a brake system to transmit 
or contain the medium (fluid or vacuum) used to apply the motor 
vehicle's brakes.
    Bus. A vehicle designed to carry more than 15 passengers, including 
the driver.
    Chassis. The load-supporting frame in a truck or trailer, exclusive 
of any appurtenances which might be added to accommodate cargo.
    Clearance lamp. A lamp used on the front and the rear of a motor 
vehicle to indicate its overall width and height.
    Container chassis. A semitrailer of skeleton construction limited to 
a bottom frame, one or more axles, specially built and fitted with 
locking devices for the transport of cargo containers, so that when the 
chassis and container are assembled, the units serve the same function 
as an over the road trailer.
    Converter dolly. A motor vehicle consisting of a chassis equipped 
with one or more axles, a fifth wheel and/or equivalent mechanism, and 
drawbar, the attachment of which converts a semitrailer to a full 
trailer.
    Curb weight. The weight of a motor vehicle with standard equipment, 
maximum capacity of fuel, oil, and coolant; and, if so equipped, air 
conditioning and additional weight of optional engine. Curb weight does 
not include the driver.
    Dunnage. All loose materials used to support and protect cargo.
    Dunnage bag. An inflatable bag intended to fill otherwise empty 
space between articles of cargo, or between articles of cargo and the 
wall of the vehicle.
    Edge protector. A device placed on the exposed edge of an article to 
distribute tiedown forces over a larger area of cargo than the tiedown 
itself, to protect the tie-down and/or cargo from damage, and to allow 
the tiedown to slide freely when being tensioned.
    Emergency brake system. A mechanism designed to stop a vehicle after 
a single failure occurs in the service brake system of a part designed 
to contain compressed air or brake fluid or vacuum (except failure of a 
common valve, manifold brake fluid housing or brake chamber housing).
    Fifth wheel. A device mounted on a truck tractor or similar towing 
vehicle (e.g., converter dolly) which interfaces with and couples to the 
upper coupler assembly of a semitrailer.
    Frame vehicle. A vehicle with skeletal structure fitted with one or 
more bunk units for transporting logs. A bunk unit consists of U-shaped 
front and rear bunks that together cradle logs. The bunks are welded, 
gusseted or otherwise firmly fastened to the vehicle's main beams, and 
are an integral part of the vehicle.
    Friction mat. A device placed between the deck of a vehicle and 
article of

[[Page 1077]]

cargo, or between articles of cargo, intended to provide greater 
friction than exists naturally between these surfaces.
    Fuel tank fitting. Any removable device affixed to an opening in the 
fuel tank with the exception of the filler cap.
    g. The acceleration due to gravity, 32.2 ft/sec\2\ (9.81 m/sec\2\).
    Grommet. A device that serves as a support and protection to that 
which passes through it.
    Hazard warning signal. Lamps that flash simultaneously to the front 
and rear, on both the right and left sides of a commercial motor 
vehicle, to indicate to an approaching driver the presence of a 
vehicular hazard.
    Head lamps. Lamps used to provide general illumination ahead of a 
motor vehicle.
    Heater. Any device or assembly of devices or appliances used to heat 
the interior of any motor vehicle. This includes a catalytic heater 
which must meet the requirements of Sec. 177.834(1) of this title when 
flammable liquid or gas is transported.
    Heavy hauler trailer. A trailer with one or more of the following 
characteristics:
    (1) Its brake lines are designed to adapt to separation or extension 
of the vehicle frame; or
    (2) Its body consists only of a platform whose primary cargo-
carrying surface is not more than 40 inches above the ground in an 
unloaded condition, except that it may include sides that are designed 
to be easily removable and a permanent ``front-end structure'' as that 
term is used in Section 393.106 of this title.
    Hook-lift container. A specialized container, primarily used to 
contain and transport materials in the waste, recycling, construction/
demolition and scrap industries, which is used in conjunction with 
specialized vehicles, in which the container is loaded and unloaded onto 
a tilt frame body by an articulating hook-arm.
    Identification lamps. Lamps used to identify certain types of 
commercial motor vehicles.
    Integral securement system. A system on certain roll-on/roll-off 
containers and hook-lift containers and their related transport vehicles 
in which compatible front and rear hold down devices are mated to 
provide securement of the complete vehicle and its articles of cargo.
    Lamp. A device used to produce artificial light.
    Length of a manufactured home. The largest exterior length in the 
traveling mode, including any projections which contain interior space. 
Length does not include bay windows, roof projections, overhangs, or 
eaves under which there is no interior space, nor does it include 
drawbars, couplings or hitches.
    License plate lamp. A lamp used to illuminate the license plate on 
the rear of a motor vehicle.
    Longwood. All logs that are not shortwood, i.e., are over 4.9 m (16 
feet) long. Such logs are usually described as long logs or treelength.
    Low chassis vehicle. (1) A trailer or semitrailer manufactured on or 
after January 26, 1998, having a chassis which extends behind the 
rearmost point of the rearmost tires and which has a lower rear surface 
that meets the guard width, height, and rear surface requirements of 
Sec. 571.224 in effect on the date of manufacture, or a subsequent 
edition.
    (2) A motor vehicle, not described by paragraph (1) of this 
definition, having a chassis which extends behind the rearmost point of 
the rearmost tires and which has a lower rear surface that meets the 
guard configuration requirements of Sec. 393.86(b)(1).
    Manufactured home means a structure, transportable in one or more 
sections, which in the traveling mode, is eight body feet or more in 
width or forty body feet or more in length, or, when erected on site, is 
three hundred twenty or more square feet, and which is built on a 
permanent chassis and designed to be used as a dwelling with or without 
a permanent foundation when connected to the required utilities, and 
includes the plumbing, heating, air-conditioning, and electrical systems 
contained therein. Calculations used to determine the number of square 
feet in a structure will be based on the structure's exterior dimensions 
measured at the largest horizontal projections when erected on site. 
These dimensions will include all expandable rooms, cabinets,

[[Page 1078]]

and other projections containing interior space, but do not include bay 
windows. This term includes all structures which meet the above 
requirements except the size requirements and with respect to which the 
manufacturer voluntarily files a certification pursuant to 24 CFR 
3282.13 and complies with the standards set forth in 24 CFR part 3280.
    Parking brake system. A brake system used to hold a vehicle 
stationary.
    Play. Any free movement of components.
    Pulpwood trailer. A trailer or semitrailer that is designed 
exclusively for harvesting logs or pulpwood and constructed with a 
skeletal frame with no means for attachment of a solid bed, body, or 
container.
    Rail vehicle. A vehicle whose skeletal structure is fitted with 
stakes at the front and rear to contain logs loaded crosswise.
    Rear extremity. The rearmost point on a motor vehicle that falls 
above a horizontal plane located 560 mm (22 inches) above the ground and 
below a horizontal plane located 1,900 mm (75 inches) above the ground 
when the motor vehicle is stopped on level ground; unloaded; its fuel 
tanks are full; the tires (and air suspension, if so equipped) are 
inflated in accordance with the manufacturer's recommendations; and the 
motor vehicle's cargo doors, tailgate, or other permanent structures are 
positioned as they normally are when the vehicle is in motion. 
Nonstructural protrusions such as taillamps, rubber bumpers, hinges and 
latches are excluded from the determination of the rearmost point.
    Reflective material. A material conforming to Federal Specification 
L-S-300, ``Sheeting and Tape, Reflective; Non-exposed Lens, Adhesive 
Backing,'' (September 7, 1965) meeting the performance standard in 
either Table 1 or Table 1A of SAE Standard J594f, ``Reflex Reflectors'' 
(January, 1977).
    Reflex reflector. A device which is used on a vehicle to give an 
indication to an approaching driver by reflected lighted from the lamps 
on the approaching vehicle.
    Saddle-mount. A device, designed and constructed as to be readily 
demountable, used in driveaway-towaway operations to perform the 
functions of a conventional fifth wheel:
    (1) Upper-half. Upper-half of a ``saddle-mount'' means that part of 
the device which is securely attached to the towed vehicle and maintains 
a fixed position relative thereto, but does not include the ``king-
pin;''
    (2) Lower-half. Lower-half of a ``saddle-mount'' means that part of 
the device which is securely attached to the towing vehicle and 
maintains a fixed position relative thereto but does not include the 
``king-pin;'' and
    (3) King-pin. King-pin means that device which is used to connect 
the ``upper-half'' to the ``lower-half'' in such manner as to permit 
relative movement in a horizontal plane between the towed and towing 
vehicles.
    Service brake system. A primary brake system used for slowing and 
stopping a vehicle.
    Shoring bar. A device placed transversely between the walls of a 
vehicle and cargo to prevent cargo from tipping or shifting.
    Shortwood. All logs typically up to 4.9 m (16 feet) long. Such logs 
are often described as cut-up logs, cut-to-length logs, bolts or 
pulpwood. Shortwood may be loaded lengthwise or crosswise, though that 
loaded crosswise is usually no more than 2.6 m (102 inches) long.
    Sided vehicle. A vehicle whose cargo compartment is enclosed on all 
four sides by walls of sufficient strength to contain articles of cargo, 
where the walls may include latched openings for loading and unloading, 
and includes vans, dump bodies, and a sided intermodal container carried 
by a vehicle.
    Side extremity. The outermost point on a side of the motor vehicle 
that is above a horizontal plane located 560 mm (22 inches) above the 
ground, below a horizontal plane located 1,900 mm (75 inches) above the 
ground, and between a transverse vertical plane tangent to the rear 
extremity of the vehicle and a transverse vertical plane located 305 mm 
(12 inches) forward of that plane when the vehicle is unloaded; its fuel 
tanks are full; and the tires (and air suspension, if so equipped) are 
inflated in accordance with the manufacturer's recommendations. Non-
structural protrusions such as taillights, hinges and

[[Page 1079]]

latches are excluded from the determination of the outermost point.
    Side marker lamp (Intermediate). A lamp shown to the side of a 
trailer to indicate the approximate middle of a trailer 30 feet or more 
in length.
    Side marker lamps. Lamps used on each side of a trailer to indicate 
its overall length.
    Special purpose vehicle. (1) A trailer or semitrailer manufactured 
on or after January 26, 1998, having work-performing equipment that, 
while the motor vehicle is in transit, resides in or moves through the 
area that could be occupied by the horizontal member of the rear impact 
guard, as defined by the guard width, height and rear surface 
requirements of Sec. 571.224 (paragraphs S5.1.1 through S5.1.3), in 
effect on the date of manufacture, or a subsequent edition.
    (2) A motor vehicle, not described by paragraph (1) of this 
definition, having work-performing equipment that, while the motor 
vehicle is in transit, resides in or moves through the area that could 
be occupied by the horizontal member of the rear impact guard, as 
defined by the guard width, height and rear surface requirements of 
Sec. 393.86(b)(1).
    Steering wheel lash. The condition in which the steering wheel may 
be turned through some part of a revolution without associated movement 
of the front wheels.
    Stop lamps. Lamps shown to the rear of a motor vehicle to indicate 
that the service brake system is engaged.
    Tail lamps. Lamps used to designate the rear of a motor vehicle.
    Tiedown. A combination of securing devices which forms an assembly 
that attaches articles of cargo to, or restrains articles of cargo on, a 
vehicle or trailer, and is attached to anchor point(s).
    Tractor-pole trailer. A combination vehicle that carries logs 
lengthwise so that they form the body of the vehicle. The logs are 
supported by a bunk located on the rear of the tractor, and another bunk 
on the skeletal trailer. The tractor bunk may rotate about a vertical 
axis, and the trailer may have a fixed, scoping, or cabled reach, or 
other mechanical freedom, to allow it to turn.
    Turn signals. Lamps used to indicate a change in direction by 
emitting a flashing light on the side of a motor vehicle towards which a 
turn will be made.
    Upper coupler assembly. A structure consisting of an upper coupler 
plate, king-pin and supporting framework which interfaces with and 
couples to a fifth wheel.
    Upper coupler plate. A plate structure through which the king-pin 
neck and collar extend. The bottom surface of the plate contacts the 
fifth wheel when coupled.
    Void filler. Material used to fill a space between articles of cargo 
and the structure of the vehicle that has sufficient strength to prevent 
movement of the articles of cargo.
    Well. The depression formed between two cylindrical articles of 
cargo when they are laid with their eyes horizontal and parallel against 
each other.
    Wheels back vehicle. (1) A trailer or semitrailer manufactured on or 
after January 26, 1998, whose rearmost axle is permanently fixed and is 
located such that the rearmost surface of the tires (of the size 
recommended by the vehicle manufacturer for the rear axle) is not more 
than 305 mm (12 inches) forward of the transverse vertical plane tangent 
to the rear extremity of the vehicle.
    (2) A motor vehicle, not described by paragraph (1) of this 
definition, whose rearmost axle is permanently fixed and is located such 
that the rearmost surface of the tires (of the size recommended by the 
vehicle manufacturer for the rear axle) is not more than 610 mm (24 
inches) forward of the transverse vertical plane tangent to the rear 
extremity of the vehicle.
    Width of a manufactured home. The largest exterior width in the 
traveling mode, including any projections which contain interior space. 
Width does not include bay windows, roof projections, overhangs, or 
eaves under which there is no interior space.
    Working load limit (WLL). The maximum load that may be applied to a

[[Page 1080]]

component of a cargo securement system during normal service, usually 
assigned by the manufacturer of the component.

[53 FR 49384, Dec. 7, 1988, as amended at 63 FR 8339, Feb. 18, 1998; 63 
FR 24465, May 4, 1998; 64 FR 47707, Sept. 1, 1999; 67 FR 61224, Sept. 
27, 2002; 68 FR 56208, Sept. 30, 2003]



Sec. 393.7  Matter incorporated by reference.

    (a) Incorporation by reference. Part 393 includes references to 
certain matter or materials, as listed in paragraph (b) of this section. 
The text of the materials is not included in the regulations contained 
in part 393. The materials are hereby made a part of the regulations in 
part 393. The Director of the Federal Register has approved the 
materials incorporated by reference in accordance with 5 U.S.C. 552(a) 
and 1 CFR part 51. For materials subject to change, only the specific 
version approved by the Director of the Federal Register and specified 
in the regulation are incorporated. Material is incorporated as it 
exists on the date of the approval and a notice of any change in these 
materials will be published in the Federal Register.
    (b) Matter or materials referenced in part 393. The matter or 
materials listed in this paragraph are incorporated by reference in the 
corresponding sections noted.
    (1) Highway Emergency Signals, Fourth Edition, Underwriters 
Laboratories, Inc., UL No. 912, July 30, 1979, (with an amendment dated 
November 9, 1981), incorporation by reference approved for 
Sec. 393.95(j).
    (2) Standard Specification for Strapping, Flat Steel and Seals, 
American Society for Testing and Materials (ASTM), D3953-97, February 
1998, incorporation by reference approved for Sec. 393.104(e).
    (3) Welded Steel Chain Specifications, National Association of Chain 
Manufacturers, November 15, 1999, incorporation by reference approved 
for Sec. 393.104(e).
    (4) Recommended Standard Specification for Synthetic Web Tiedowns, 
Web Sling and Tiedown Association, WSTDA-T1, 1998, incorporation by 
reference approved for Sec. 393.104(e).
    (5) Wire Rope Users Manual, 2nd Edition, Wire Rope Technical Board 
November 1985, incorporation by reference approved for Sec. 393.104(e).
    (6) Cordage Institute rope standards approved for incorporation into 
Sec. 393.104(e):
    (i) PETRS-2, Polyester Fiber Rope, 3-Strand and 8-Strand 
Constructions, January 1993;
    (ii) PPRS-2, Polypropylene Fiber Rope, 3-Strand and 8-Strand 
Constructions, August 1992;
    (iii) CRS-1, Polyester/Polypropylene Composite Rope Specifications, 
Three-Strand and Eight-Strand Standard Construction, May 1979;
    (iv) NRS-1, Nylon Rope Specifications, Three-Strand and Eight-Strand 
Standard Construction, May 1979; and
    (v) C-1, Double Braided Nylon Rope Specifications DBN, January 1984.
    (c) Availability. The materials incorporated by reference are 
available as follows:
    (1) Standards of the Underwriters Laboratories, Inc. Information and 
copies may be obtained by writing to: Underwriters Laboratories, Inc., 
333 Pfingsten Road, Northbrook, Illinois 60062.
    (2) Specifications of the American Society for Testing and 
Materials. Information and copies may be obtained by writing to: 
American Society for Testing and Materials, 100 Barr Harbor Drive, West 
Conshohocken, Pennsylvania 19428-2959.
    (3) Specifications of the National Association of Chain 
Manufacturers. Information and copies may be obtained by writing to: 
National Association of Chain Manufacturers, P.O. Box 22681, Lehigh 
Valley, Pennsylvania 18002-2681.
    (4) Specifications of the Web Sling and Tiedown Association. 
Information and copies may be obtained by writing to: Web Sling and 
Tiedown Association, Inc., 5024-R Campbell Boulevard, Baltimore, 
Maryland 21236-5974.
    (5) Manuals of the Wire Rope Technical Board. Information and copies 
may be obtained by writing to: Wire Rope Technical Committee, P.O. Box 
849, Stevensville, Maryland 21666.
    (6) Standards of the Cordage Institute. Information and copies may 
be

[[Page 1081]]

obtained by writing to: Cordage Institute, 350 Lincoln Street,  
115, Hingham, Massachusetts 02043.
    (7)-(9) [Reserved].
    (10) All of the materials incorporated by reference are available 
for inspection at:
    (i) The Federal Motor Carrier Safety Administration, Office of Bus 
and Truck Standards and Operations, 400 Seventh Street, SW., Washington, 
DC 20590; and
    (ii) The Office of the Federal Register, 800 North Capitol Street, 
NW, Suite 700, Washington, DC.

[67 FR 61225, Sept. 27, 2002]



    Subpart B--Lighting Devices, Reflectors, and Electrical Equipment



Sec. 393.9  Lamps operable.

    All lamps required by this subpart shall be capable of being 
operated at all times.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[47 FR 47837, Oct. 28, 1982]



Sec. 393.11  Lighting devices and reflectors.

    The following Table 1 sets forth the required color, position, and 
required lighting devices by type of commercial motor vehicle. Diagrams 
illustrating the locations of lighting devices and reflectors, by type 
and size of commercial motor vehicle, are shown immediately following 
Table 1. All lighting devices on motor vehicles placed in operation 
after March 7, 1989, must meet the requirements of 49 CFR 571.108 in 
effect at the time of manufacture of the vehicle. Motor vehicles placed 
in operation on or before March 7, 1989, must meet either the 
requirements of this subchapter or part 571 of this title in effect at 
the time of manufacture.

[[Page 1082]]



                                                 Table 1--Required Commercial Vehicle Lighting Equipment
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                              Height above road
                                                                                                              surface in inches
       Item on the vehicle            Quantity           Color            Location            Position        measured from the     Required lighting
                                                                                                             center of the lamp      devices/vehicles
                                                                                                               at curb weight
--------------------------------------------------------------------------------------------------------------------------------------------------------
Headlamps.......................  2 At Least......  White.........  Front..............  On the front at     Not less than 22    A, B, C
                                                                                          the same height,    nor more than 54.
                                                                                          an equal number
                                                                                          at each side of
                                                                                          the vertical
                                                                                          centerline as far
                                                                                          apart as
                                                                                          practicable.
Turn Signal (Front) See           2...............  Amber.........  At or Near Front...  One on each side    Not less than 15    A, B, C
 Footnotes 2 & 12.                                                               of the vertical     nor more than 83.
                                                                                          centerline at the
                                                                                          same height and
                                                                                          as far apart as
                                                                                          practicable.
Identification Lamp (Front)       3...............  Amber.........  Front..............  Mounted on the      All three on same   B, C
 Footnote 1.                                                                     vertical            level as close as
                                                                                          centerline of the   practicable to
                                                                                          vehicle or the      the top of the
                                                                                          vertical            vehicle with lamp
                                                                                          centerline of the   centers spaced
                                                                                          cab where           not less than 6
                                                                                          different from      inches or more
                                                                                          the centerline of   than 12 inches
                                                                                          the vehicle.        apart.
Tail Lamp See Footnotes 5 & 11.                                                                                of the vertical     level between 15
                                                                                          centerline at the   and 72.
                                                                                          same height and
                                                                                          as far apart as
                                                                                          practicable.
Stop Lamp See Footnotes 5 & 13.                                                                                of the vertical     level between 15
                                                                                          centerline at the   and 72.
                                                                                          same height and
                                                                                          as far apart as
                                                                                          practicable.
Clearance Lamps See Footnotes     2...............  Amber.........  One on each side of  One on each side    Both on same level  B, C, D, G, H
 9, 10, & 15.                                               front.               of the vertical     as high as
                                                                                          centerline to       practicable.
                                                                                          indicate width.
                                  2...............  Red...........  One on each side of  One on each side    Both on same level  B, D, G, H
                                                                     rear.                of the vertical     as high as
                                                                                          centerline to       practicable.
                                                                                          indicate overall
                                                                                          width.
Side Marker Lamp, Intermediate..  2...............  Amber.........  One on each side...  At or near          Not less than 15..  A, B, D, F, G
                                                                                          midpoint between
                                                                                          front and rear
                                                                                          side marker
                                                                                          lamps, if over
                                                                                          30[foot] in
                                                                                          length.
Reflex Reflector Intermediate     2...............  Amber.........  One on each side...  At or near          Between 15 and 60.  A, B, D, F, G
 (Side).                                                                                  midpoint between
                                                                                          front and rear
                                                                                          side reflectors
                                                                                          if over 30[foot]
                                                                                          in length.
Reflex Reflector (Rear) See       2...............  Red...........  Rear...............  One on each side    Both on same        A, B, C, D, E, F, G
 Footnotes 5, 6, & 8.                                                            of vertical         level, between 15
                                                                                          centerline, as      and 60.
                                                                                          far apart as
                                                                                          practicable.
Reflex Reflector (Rear Side)      2...............  Red...........  One on each side     As far to the rear  Both on same        A, B, D, F, G
 Footnote 4.                                                (rear).              as practicable.     level, between 15
                                                                                                              and 60.
Reflex Reflector (Front Side)...  2...............  Amber.........  One on each side     As far to the       Between 15 and 60.  A, B, C, D, F, G
                                                                     (front).             front as
                                                                                          practicable.
License Plate Lamp Rear See       1...............  White.........  At rear license      To illuminate the   No requirements...  A, B, C, D, F, G
 Footnote 11.                                               plate.               license plate
                                                                                          from the top or
                                                                                          sides.
Side Marker Lamp (Front)........  2...............  Amber.........  One on each side...  As far to the       Not less than 15..  A, B, C, D, F
                                                                                          front as
                                                                                          practicable.
Side Marker Lamp (Rear) See       2...............  Red...........  One on each side...  As far to the rear  Not less than 15    A, B, D, F, G
 Footnotes 4 & 8.                                                                as practicable.     and on the rear
                                                                                                              of trailer, not
                                                                                                              more than 60.
Turn Signal (Rear) See Footnotes  2...............  Amber or Red..  Rear...............  One lamp on each    Both on the same    A, B, C, D, E, F, G
 5 & 12.                                                                         side of the         level, between 15
                                                                                          vertical            and 83.
                                                                                          centerline as far
                                                                                          apart as
                                                                                          practicable.

[[Page 1083]]

 
Identification Lamp (Rear) See    3...............  Red...........  Rear...............  One as close as     All three on same   B, D, G
 Footnotes 3, 7 & 15.                                                            practicable to      level as close as
                                                                                          vertical            practicable to
                                                                                          centerline. One     the top of the
                                                                                          on each side with   vehicle.
                                                                                          lamp centers
                                                                                          spaced not less
                                                                                          than 6
                                                                                          or more than
                                                                                          12
                                                                                          apart.
Vehicular Hazard Warning          2...............  Amber.........  Front..............  One lamp on each    Both on same        A, B, C, D, E, F, G
 Flashing Lamps See Footnote                                                              side of vertical    level, between 15
 12.                                                                             centerline as far   and 83.
                                                                                          apart as
                                                                                          practicable.
                                  2...............  Amber or Red..  Rear...............  ..................  ..................  .......................
Backup Lamp See Footnote 14.
Parking Lamp....................  2...............  Amber or white  Front..............  One lamp on each    Both on same        A
                                                                                          side of vertical    level, between 15
                                                                                          centerline as far   and 72.
                                                                                          apart as
                                                                                          practicable.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Lighting Required per Type of Commercial Vehicle as Shown Last Column of Table.
 
A. Small buses and trucks less than 80 inches in overall width.
B. Buses and trucks 80 inches or more in overall width.
C. Truck Tractors.
D. Large semitrailers and full trailers 80 inches or more in overall width except converter dollies.
E. Converter dolly.
F. Small semitrailers and full trailers less than 80 inches in overall width.
G. Pole Trailers.
H. Projecting loads.
Lamps and reflectors may be combined as permitted by Paragraphs 393.22 and S4.4 of 49 CFR 571.108, Equipment combinations.



[[Page 1084]]

Footnote--1
    Identification lamps may be mounted on the vertical centerline of 
the cab where different from the centerline of the vehicle, except where 
the cab is not more than 42 inches wide at the front roofline, then a 
single lamp at the center of the cab shall be deemed to comply with the 
requirements for identification lamps. No part of the identification 
lamps or their mountings may extend below the top of the vehicle 
windshield.

Footnote--2
    Unless the turn signals on the front are so constructed (double-
faced) and located as to be visible to passing drivers, two turn signals 
are required on the rear of the truck tractor, one at each side as far 
apart as practicable.

Footnote--3
    The identification lamps need not be visible or lighted if obscured 
by a vehicle in the same combination.

Footnote--4
    Any semitrailer or full trailer vehicles manufactured on and after 
March 1, 1979, shall be equipped with rear side-marker lamps at a height 
of not less than 15 inches (381 mm) nor more than 60 inches (1524 mm) 
above the road surface, as measured from the center of the lamp on the 
vehicle at curb weight. The rear side marker lamps shall be visible in 
the vehicle's rearview mirrors when the trailer is tracking straight.

Footnote--5
    For purposes of these regulations, each converter dolly shall be 
equipped with one stop lamp, one tail lamp, and two reflectors on the 
rear at each side when towed singly by another vehicle. Each converter 
dolly shall be equipped with turn signals at the rear if the converter 
dolly obscures the turn signals at the rear of the towing vehicle when 
towed singly by another vehicle.

Footnote--6
    Pole trailers will have two reflectors, one on each side, placed to 
indicate extreme width of the trailer.

Footnote--7
    Pole trailers may have three identification lamps mounted on the 
vertical centerline of the rear of the cab of the truck tractor drawing 
the pole trailer, and higher than the load being transported, in lieu of 
the three identification lamps mounted on the rear vertical centerline 
of the trailer.

Footnote--8
    Pole trailers shall have on the rearmost support for the load, one 
combination marker lamp or two single lamps showing amber to the front 
and red to the rear and side, mounted on each side to indicate maximum 
width of the pole trailer; and one red reflector on each side of the 
rearmost support for the load.

Footnote--9
    Any motor vehicle transporting a load which extends more than 4 
inches beyond the width of the motor vehicle, or having projections 
beyond the rear of such vehicles, shall be equipped with the following 
lamps in addition to other required lamps, have the loads marked
    Loads projecting more than 4 inches beyond sides of motor vehicles:
    (1) The foremost edge of the projecting load at its outermost 
extremity shall be marked with an amber lamp visible from the front and 
both sides.
    (2) The rearmost edge of the projecting load at its outermost 
extremity shall be marked with a red lamp visible from the rear and 
side.
    (3) If any portion of the projecting load extends beyond both the 
foremost and rearmost edge, it shall be marked with an amber lamp 
visible from the front, both sides, and rear.
    (4) If the protecting load does not measure more than 3 feet from 
front to rear, it shall be marked with an amber lamp visible from the 
front, both sides, and rear, except that if the projection is located at 
or near the rear it shall be marked by a red lamp visible from front, 
side, and rear.

Footnote--10
    Projections beyond rear of motor vehicles. Motor vehicles 
transporting loads which extend more than 4 feet beyond the rear of the 
motor vehicle, or which have these tailboards or tailgates extending 
more than 4 feet beyond the body, shall have projections marked as 
follows:
    (1) On each side of the projecting load, one red lamp, visible from 
the side, located so as to indicate maximum overhang.
    (2) On the rear of the projecting load, two red lamps, visible from 
the rear, one at each side; and two red reflectors visible from the 
rear, one at each side, located so as to indicate maximum width.

Footnote--11
    To be illuminated when tractor headlamps are illuminated.

Footnote--12
    Every bus, truck, and truck tractor shall be equipped with a 
signaling system that, in addition to signaling turning movements, shall 
have a switch or combination of switches that will cause the two front 
turn signals and the two rear signals to flash simultaneously as a 
vehicular traffic signal warning, required by Sec. 392-22(a). The system 
shall be capable of flashing simultaneously with the ignition of the 
vehicle on or off.

Footnote--13
    To be actuated upon application of service brakes.

Footnote--14
    Backup lamp required to operate when bus, truck, or truck tractor is 
in reverse.


[[Page 1085]]


Footnote--15
    When the rear identification lamps are mounted at the extreme height 
of a vehicle, rear clearance lamps need not meet the requirement that 
they be located as close as practicable to the top of the vehicle.
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[[Page 1093]]


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                     Legend (Used in Illustrations)

1. Headlamps (2)-White (4 optional)
2. Side-marker lamps. Front (2)-Amber
3. Side reflectors. Front (2)-Amber
4. Turn-signal lamps. Front (2)-Amber
4a. Turn-signal lamps. Front (2)-Amber (Optional location)
5. Identification lamps. Front (3)-Amber
5a. Identification lamps. Front (3)-Amber (Optional location)
6. Clearance lamps. Front (2)-Amber
7. Side-marker lamps. Rear (2)-Red
8. Side-reflectors. Rear (2)-Red
9. Identification lamps. Rear (3)-Red
10. Clearance lamps. Rear (2)-Red
11. Reflectors Rear (2)-Red
12. Stop lamps. Rear (2)-Red
13. License plate lamp. Rear (1)-White
14. Backup lamp. Rear (1)-White (location optional provided optional 
requirements are met)
15. Side-marker lamps. Intermediate (2)-Amber (if vehicle is 30' or more 
overall length)
16. Side reflectors. Intermediate (2)-Amber (if vehicle is 30' or more 
overall length)
17. Turn signal lamps. Rear (2)-Amber or Red
18. Tail lamps. Rear (2)-Red
19. Parking lamps. Front 2-Amber or White

[53 FR 49385, Dec. 7, 1988]



Sec. 393.13  Retroreflective sheeting and reflex reflectors, requirements for semitrailers and trailers manufactured before December 1, 1993.

    (a) Applicability. All trailers and semitrailers manufactured prior 
to December 1, 1993, which have an overall width of 2,032 mm (80 inches) 
or more and a gross vehicle weight rating of 4,536 kg (10,001 pounds) or 
more, except trailers that are manufactured exclusively for use as 
offices or dwellings, pole trailers (as defined in Sec. 390.5 of this 
subchapter), and trailers transported in a driveaway-towaway operation, 
must be equipped with retroreflective sheeting or an array of reflex 
reflectors that meet the requirements of this section. Motor carriers 
operating trailers, other than container chassis (as defined in

[[Page 1094]]

Sec. 393.5), have until June 1, 2001, to comply with the requirements of 
this section. Motor carriers operating container chassis have until 
December 1, 2001, to comply with the requirements of this section.
    (b) Retroreflective sheeting and reflex reflectors. Motor carriers 
are encouraged to retrofit their trailers with a conspicuity system that 
meets all of the requirements applicable to trailers manufactured on or 
after December 1, 1993, including the use of retroreflective sheeting or 
reflex reflectors in a red and white pattern (see Federal Motor Vehicle 
Safety Standard No. 108 (49 CFR 571.108), S5.7, Conspicuity systems). 
Motor carriers which do not retrofit their trailers to meet the 
requirements of FMVSS No. 108, for example by using an alternative color 
pattern, must comply with the remainder of this paragraph and with 
paragraph (c) or (d) of this section. Retroreflective sheeting or reflex 
reflectors in colors or color combinations other than red and white may 
be used on the sides or lower rear area of the semitrailer or trailer 
until June 1, 2009. The alternate color or color combination must be 
uniform along the sides and lower rear area of the trailer. The 
retroreflective sheeting or reflex reflectors on the upper rear area of 
the trailer must be white and conform to the requirements of FMVSS No. 
108 (S5.7). Red retroreflective sheeting or reflex reflectors shall not 
be used along the sides of the trailer unless it is used as part of a 
red and white pattern. Retroreflective sheeting shall have a width of at 
least 50 mm (2 inches).
    (c) Locations for retroreflective sheeting--(1) Sides. 
Retroreflective sheeting shall be applied to each side of the trailer or 
semitrailer. Each strip of retroreflective sheeting shall be positioned 
as horizontally as practicable, beginning and ending as close to the 
front and rear as practicable. The strip need not be continuous but the 
sum of the length of all of the segments shall be at least half of the 
length of the trailer and the spaces between the segments of the strip 
shall be distributed as evenly as practicable. The centerline for each 
strip of retroreflective sheeting shall be between 375 mm (15 inches) 
and 1,525 mm (60 inches) above the road surface when measured with the 
trailer empty or unladen, or as close as practicable to this area. If 
necessary to clear rivet heads or other similar obstructions, 50 mm (2 
inches) wide retroreflective sheeting may be separated into two 25 mm (1 
inch) wide strips of the same length and color, separated by a space of 
not more than 25 mm (1 inch).
    (2) Lower rear area. The rear of each trailer and semitrailer must 
be equipped with retroreflective sheeting. Each strip of retroreflective 
sheeting shall be positioned as horizontally as practicable, extending 
across the full width of the trailer, beginning and ending as close to 
the extreme edges as practicable. The centerline for each of the strips 
of retroreflective sheeting shall be between 375 mm (15 inches) and 
1,525 mm (60 inches) above the road surface when measured with the 
trailer empty or unladen, or as close as practicable to this area.
    (3) Upper rear area. Two pairs of white strips of retroreflective 
sheeting, each pair consisting of strips 300 mm (12 inches) long, must 
be positioned horizontally and vertically on the right and left upper 
corners of the rear of the body of each trailer and semitrailer, as 
close as practicable to the top of the trailer and as far apart as 
practicable. If the perimeter of the body, as viewed from the rear, is 
not square or rectangular, the strips may be applied along the 
perimeter, as close as practicable to the uppermost and outermost areas 
of the rear of the body on the left and right sides.
    (d) Locations for reflex reflectors.--(1) Sides. Reflex reflectors 
shall be applied to each side of the trailer or semitrailer. Each array 
of reflex reflectors shall be positioned as horizontally as practicable, 
beginning and ending as close to the front and rear as practicable. The 
array need not be continuous but the sum of the length of all of the 
array segments shall be at least half of the length of the trailer and 
the spaces between the segments of the strip shall be distributed as 
evenly as practicable. The centerline for each array of reflex 
reflectors shall be between 375 mm (15 inches) and 1,525 mm (60 inches) 
above the road surface when

[[Page 1095]]

measured with the trailer empty or unladen, or as close as practicable 
to this area. The center of each reflector shall not be more than 100 mm 
(4 inches) from the center of each adjacent reflector in the segment of 
the array. If reflex reflectors are arranged in an alternating color 
pattern, the length of reflectors of the first color shall be as close 
as practicable to the length of the reflectors of the second color.
    (2) Lower rear area. The rear of each trailer and semitrailer must 
be equipped with reflex reflectors. Each array of reflex reflectors 
shall be positioned as horizontally as practicable, extending across the 
full width of the trailer, beginning and ending as close to the extreme 
edges as practicable. The centerline for each array of reflex reflectors 
shall be between 375 mm (15 inches) and 1,525 mm (60 inches) above the 
road surface when measured with the trailer empty or unladen, or as 
close as practicable to this area. The center of each reflector shall 
not be more than 100 mm (4 inches) from the center of each adjacent 
reflector in the segment of the array.
    (3) Upper rear area. Two pairs of white reflex reflector arrays, 
each pair at least 300 mm (12 inches) long, must be positioned 
horizontally and vertically on the right and left upper corners of the 
rear of the body of each trailer and semitrailer, as close as 
practicable to the top of the trailer and as far apart as practicable. 
If the perimeter of the body, as viewed from the rear, is not square or 
rectangular, the arrays may be applied along the perimeter, as close as 
practicable to the uppermost and outermost areas of the rear of the body 
on the left and right sides. The center of each reflector shall not be 
more than 100 mm (4 inches) from the center of each adjacent reflector 
in the segment of the array.

[64 FR 15605, Mar. 31, 1999, as amended at 66 FR 30339, June 6, 2001]



Sec. 393.17  Lamps and reflectors--combinations in driveaway-towaway operation.

    A combination of motor vehicles engaged in driveaway-towaway 
operation must be equipped with operative lamps and reflectors 
conforming to the rules in this section.
    (a) The towing vehicle must be equipped as follows:
    (1) On the front, there must be at least two headlamps, an equal 
number at each side, two turn signals, one at each side, and two 
clearance lamps, one at each side.
    (2) On each side, there must be at least one side-marker lamp, 
located near the front of the vehicle.
    (3) On the rear, there must be at least two tail lamps, one at each 
side, and two stop lamps, one at each side.
    (b) Except as provided in paragraph (c) of this section, the 
rearmost towed vehicle of the combination (including the towed vehicle 
or a tow-bar combination, the towed vehicle of a single saddle-mount 
combination, and the rearmost towed vehicle of a double or triple 
saddle-mount combination) or, in the case of a vehicle full-mounted on a 
saddle-mount vehicle, either the full-mounted vehicle or the rearmost 
saddle-mounted vehicle must be equipped as follows:
    (1) On each side, there must be at least one side-marker lamp, 
located near the rear of the vehicle.
    (2) On the rear, there must be at least two tail lamps, two stop 
lamps, two turn signals, two clearance lamps, and two reflectors, one of 
each type at each side. In addition, if any vehicle in the combination 
is 80 inches or more in overall width, there must be three 
identification lamps on the rear.
    (c) If the towed vehicle in a combination is a mobile structure 
trailer, it must be equipped in accordance with the following lighting 
devices. For the purposes of this part, mobile structure trailer means a 
trailer that has a roof and walls, is at least 10 feet wide, and can be 
used off road for dwelling or commercial purposes.
    (1) When the vehicle is operated in accordance with the terms of a 
special permit prohibiting operation during the times when lighted lamps 
are required under Sec. 392.30, it must have on the rear--
    (i) Two stop lamps, one on each side of the vertical centerline, at 
the same height, and as far apart as practicable;
    (ii) Two tail lamps, one on each side of the vertical centerline, at 
the same height, and as far apart as practicable;

[[Page 1096]]

    (iii) Two red reflex reflectors, one on each side of the vertical 
centerline, at the same height, and as far apart as practicable; and
    (iv) Two turn signal lamps, one on each side of the vertical 
centerline, at the same height, and as far apart as practicable.
    (2) At all other times, the vehicle must be equipped as specified in 
paragraph (b) of this section.
    (d) An intermediate towed vehicle in a combination consisting of 
more than two vehicles (including the first saddle-mounted vehicle of a 
double saddle-mount combination and the first and second saddle-mount 
vehicles of a triple saddle-mount combination) must have one side-marker 
lamp on each side, located near the rear of the vehicle.

[[Page 1097]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.026


[[Page 1098]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.027


(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[40 FR 36126, Aug. 19, 1975, as amended at 47 FR 47837, Oct. 28, 1982]



Sec. 393.19  Requirements for turn signaling systems.

    (a) Every bus, truck, or truck tractor shall be equipped with a 
signaling system that in addition to signaling turning movements shall 
have a switch or combination of switches that will cause the two front 
turn signals and the two rear turn signals to flash simultaneously as a 
vehicular traffic hazard warning as required by Sec. 392.22 with the 
ignition on or off.
    (b) Every semitrailer and full trailer shall be equipped so as to 
have the two rear turn signals to flash simultaneously with the two 
front turn signals of the towing vehicle as a vehicular traffic hazard 
warning as required by Sec. 392.22(a).

[53 FR 49397, Dec. 7, 1988]



Sec. 393.20  Clearance lamps to indicate extreme width and height.

    Clearance lamps shall be mounted so as to indicate the extreme width 
of the motor vehicle (not including mirrors) and as near the top thereof 
as practicable: Provided, That when rear identification lamps are 
mounted at the extreme height of the vehicle, rear clearance lamps may 
be mounted at optional height: And provided further, That when mounting 
of front clearance lamps at the highest point of a trailer results in 
such lamps failing to mark the extreme width of the trailer, such lamps 
may be mounted at optional height but must indicate the extreme width of 
the trailer. Clearance lamps on truck tractors shall be so located as to 
indicate the extreme width of the truck tractor cab.

[[Page 1099]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.028

Diagram to illustrate Sec. 393.20 for mounting of front clearance lamps 
on truck tractors with sleeper cabs.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.029


[33 FR 19735, Dec. 25, 1968, as amended at 34 FR 6851, Apr. 24, 1969]



Sec. 393.22  Combination of lighting devices and reflectors.

    (a) Permitted combinations. Except as provided in paragraph (b) of 
this section, two or more lighting devices and reflectors (whether or 
not required by the rules in this part) may be combined optically if--
    (1) Each required lighting device and reflector conforms to the 
applicable rules in this part; and
    (2) Neither the mounting nor the use of a nonrequired lighting 
device or reflector impairs the effectiveness of a required lighting 
device or reflector or causes that device or reflector to be 
inconsistent with the applicable rules in this part.
    (b) Prohibited combinations. (1) A turn signal lamp must not be 
combined optically with either a head lamp or other lighting device or 
combination of lighting devices that produces a greater intensity of 
light than the turn signal lamp.
    (2) A turn signal lamp must not be combined optically with a stop 
lamp unless the stop lamp function is always deactivated when the turn 
signal function is activated.

[[Page 1100]]

    (3) A clearance lamp must not be combined optically with a tail lamp 
or identification lamp.

[39 FR 26908, July 24, 1974]



Sec. 393.23  Lighting devices to be electric.

    Lighting devices shall be electric, except that red liquid-burning 
lanterns may be used on the end of loads in the nature of poles, pipes, 
and ladders projecting to the rear of the motor vehicle.



Sec. 393.24  Requirements for head lamps and auxiliary road lighting lamps.

    (a) Mounting. Head lamps and auxiliary road lighting lamps shall be 
mounted so that the beams are readily adjustable, both vertically and 
horizontally, and the mounting shall be such that the aim is not readily 
disturbed by ordinary conditions of service.
    (b) Head lamps required. Every bus, truck, and truck tractor shall 
be equipped with a headlighting system composed of at least two head 
lamps, not including fog or other auxiliary lamps, with an equal number 
on each side of the vehicle. The headlighting system shall provide an 
upper and lower distribution of light, selectable at the driver's will.
    (c) Fog, adverse-weather, and auxiliary road-lighting lamps. For the 
purposes of this section, fog, adverse-weather, and auxiliary road 
lighting lamps, when installed, are considered to be a part of the 
headlighting system. Such lamps may be used in lieu of head lamps under 
conditions making their use advisable if there be at least one such lamp 
conforming to the appropriate SAE Standard \1\ for such lamps on each 
side of the vehicle.
---------------------------------------------------------------------------

    \1\ Wherever reference is made in these regulations to SAE Standards 
or SAE Recommended Practices, they shall be:
    (a) As found in the 1985 edition of the SAE Handbook with respect to 
parts and accessories other than lighting devices and reflectors.
    (b) When reference is made in these regulations to SAE Standards or 
SAE Recommended Practices, they shall be as found in the 1985 edition of 
the SAE Handbook:
    (1) With respect to parts and accessories other than lighting 
devices and reflectors:
    (2) Lighting devices and reflectors on motor vehicles manufactured 
on and after March 7, 1990, shall conform to FMVSS 571.108 (49 CFR 
571.108) in effect at the time of manufacture of the vehicle. Should a 
conflict arise between FMVSS 571.108 and a SAE Standard, FMVSS 571.108 
will prevail.
---------------------------------------------------------------------------

    (d) Aiming and intensity. Head lamps shall be constructed and 
installed so as to provide adequate and reliable illumination and shall 
conform to the appropriate specification set forth in the SAE Standards 
\1\ for ``Electric Head Lamps for Motor Vehicles'' or ``Sealed-Beam Head 
Lamp Units for Motor Vehicles.''

[33 FR 19735, Dec. 25, 1968, as amended at 41 FR 53031, Dec. 3, 1976; 53 
FR 49397, Dec. 7, 1988]



Sec. 393.25  Requirements for lamps other than head lamps.

    (a) Mounting. All lamps shall be permanently and securely mounted in 
workmanlike manner on a permanent part of the motor vehicle, except that 
temporary lamps on motor vehicles being transported in driveaway-towaway 
operations and temporary electric lamps on projecting loads need not be 
permanently mounted nor mounted on a permanent part of the vehicle. The 
requirement for three identification lamps on the centerline of a 
vehicle will be met as to location by one lamp on the centerline, with 
the other two at right and left. All temporary lamps must be firmly 
attached.
    (b) Visibility. All required exterior lamps shall be so mounted as 
to be capable of being seen at all distances between 500 feet and 50 
feet under clear atmospheric conditions during the time lamps are 
required to be lighted. The light from front clearance and front 
identification lamps shall be visible to the front, that from sidemarker 
lamps to the side, that from rear clearance, rear identification, and 
tail lamps to the rear, and that from projecting loadmarker lamps from 
those directions required by Sec. 393.11. This shall not be construed to 
apply to lamps on one unit which are obscured by another unit of a 
combination of vehicles.
    (c) Specifications. All required lamps except those already 
installed on vehicles tendered for transportation in

[[Page 1101]]

driveaway and towaway operations shall conform to appropriate 
requirements of the SAE Standards and/or Recommended Practices \1\ as 
indicated below, except that the minimum required marking of lamps 
conforming to the 1985 requirements shall be as specified in paragraph 
(d) of this section. Projecting load marker lamps shall conform to the 
requirements for clearance, side-marker, and identification lamps. Turn 
signals shall conform to the requirements for class A, Type I turn 
signals, provided.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

    (1) Lamps on vehicles made before July 1, 1961, excepting 
replacement lamps as specified in paragraph (c)(2) of this section, 
shall conform to the 1952 requirements.
    (2) Lamps on vehicles made on and after July 1, 1961, and 
replacement lamps installed on and after December 31, 1961, shall 
conform to the 1985 requirements.
    (3) Lamps temporarily attached to vehicles transported in driveaway 
and towaway operations on and after December 31, 1961, shall conform to 
the 1985 requirements.
    (d) Certification and markings. All lamps required to conform to the 
requirements of the SAE Standards \1\ shall be certified by the 
manufacturer or supplier that they do so conform, by markings indicated 
below. The markings in each case shall be visible when the lamp is in 
place on the vehicle.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

    (1) Stop lamps shall be marked with the manufacturer's or supplier's 
name or trade name and shall be marked ``SAE-S''.
    (2) Turn signal units shall be marked with the manufacturer's or 
supplier's name or trade name and shall be marked ``SAE-AI'' or ``SAE-
I''.
    (3) Tail lamps shall be marked with the manufacturer's or supplier's 
name or trade name and shall be marked ``SAE-T''.
    (4) Clearance, side marker, identification, and projecting load-
marker lamps, except combination lamps, shall be marked with the 
manufacturer's or supplier's name or trade name and shall be marked 
``SAE'' or ``SAE-P''.
    (5) Combination lamps shall be marked with the manufacturer's or 
supplier's name or trade name and shall be marked ``SAE'' followed by 
the appropriate letters indicating the individual lamps combined. The 
letter ``A'', as specified in Sec. 393.26(c), may be included to certify 
that a reflector in the combination conforms to the requirements 
appropriate to such marking. If the letter ``I'' follows the letter 
``A'' immediately the two letters shall be deemed to refer to a turn 
signal unit, as specified in paragraph (d)(2) of this section. 
Combination clearance and side marker lamps may be marked ``SAE-PC''.
    (e) Lighting devices to be steady-burning. All exterior lighting 
devices shall be of the steady-burning type except turn signals on any 
vehicle, stop lamps when used as turn signals, warning lamps on school 
buses when operating as such, and warning lamps on emergency and service 
vehicles authorized by State or local authorities, and except that lamps 
combined into the same shell or housing with any turn signal may be 
turned off by the same switch that turns the signal on for flashing and 
turned on again when the turn signal as such is turned off. This 
paragraph shall not be construed to prohibit the use of vehicular hazard 
warning signal flashers as required by Sec. 392.22 or permitted by 
Sec. 392.18.
    (f) Stop lamp operation. All stop lamps on each motor vehicle or 
combination of motor vehicles shall be actuated upon application of any 
of the service brakes, except that such actuation is not required upon 
activation of the emergency feature of trailer brakes by means of either 
manual or automatic control on the towing vehicle, and except that stop 
lamps on a towing vehicle need not be actuated when service brakes are 
applied to the towed vehicles or vehicles only, and except that no stop 
lamp need be actuated as such when it is in use as a turn signal or when 
it is turned off by the turn signal switch as provided in paragraph (e) 
of this section.

[33 FR 19735, Dec. 25, 1968, as amended at 48 FR 57139, Dec. 28, 1983; 
53 FR 49397, Dec. 7, 1988; 61 FR 1843, Jan. 24, 1996]

[[Page 1102]]



Sec. 393.26  Requirements for reflectors.

    (a) Mounting. All required reflectors shall be mounted upon the 
motor vehicle at a height not less than 15 inches nor more than 60 
inches above the ground on which the motor vehicle stands, except that 
reflectors shall be mounted as high as practicable on motor vehicles 
which are so constructed as to make compliance with the 15-inch 
requirement impractical. They shall be so installed as to perform their 
function adequately and reliably, and except for temporary reflectors 
required for vehicles in driveaway-towaway operations, or on projecting 
loads, all reflectors shall be permanently and securely mounted in 
workmanlike manner so as to provide the maximum of stability and the 
minimum likelihood of damage. Required reflectors otherwise properly 
mounted may be securely installed on flexible strapping or belting 
provided that under conditions of normal operation they reflect light in 
the required directions. Required temporary reflectors mounted on motor 
vehicles during the time they are in transit in any driveaway-towaway 
operation must be firmly attached.
    (b) Specifications. All required reflectors except those installed 
on vehicles tendered for transportation in driveaway and towaway 
operations shall comply with FMVSS 571.108 (49 CFR 571.108) in effect at 
the time the vehicle was manufactured or the current FMVSS 571.108 
requirements.
    (c) Certification and markings. All reflectors required to conform 
to the specifications in paragraph (b) shall be certified by the 
manufacturer or supplier that they do so conform, by marking with the 
manufacturer's or supplier's name or trade name and the letters ``SAE-
A''. The marking in each case shall be visible when the reflector is in 
place on the vehicle.
    (d) Retroreflective surfaces. Retroreflective surfaces other than 
required reflectors may be used, provided:
    (1) Designs do not resemble traffic control signs, lights, or 
devices, except that straight edge striping resembling a barricade 
pattern may be used.
    (2) Designs do not tend to distort the length and/or width of the 
motor vehicle.
    (3) Such surfaces shall be at least 3 inches from any required lamp 
or reflector unless of the same color as such lamp or reflector.
    (4) No red color shall be used on the front of any motor vehicle, 
except for display of markings or placards required by Sec. 177.823 of 
this title.
    (5) Retroreflective license plates required by State or local 
authorities may be used.

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 3167, Feb. 19, 1970; 53 
FR 49397, Dec. 7, 1988]



Sec. 393.27  Wiring specifications.

    (a) Wiring for both low voltage (tension) and high voltage (tension) 
circuits shall be constructed and installed so as to meet design 
requirements. Wiring shall meet or exceed, both mechanically and 
electrically, the following SAE Standards as found in the 1985 edition 
of the SAE Handbook:
    (1) Commercial vehicle engine ignition systems-SAE J557-High Tension 
Ignition Cable.
    (2) Commercial vehicle battery cable-SAE J1127-Jan 80-Battery Cable.
    (3) Other commercial vehicle wiring-SAE J1128-Low Tension Primary 
Cable.
    (b) The source of power and the electrical wiring shall be of such 
size and characteristics as to provide the necessary voltage as the 
design requires to comply with FMVSS 571.108.
    (c) Lamps shall be properly grounded.

    Note: This shall not prohibit the use of the frame or other metal 
parts of a motor vehicle as a return ground system provided truck-
tractor semitrailer/full trailer combinations are electrically 
connected.

[53 FR 49397, Dec. 7, 1988]



Sec. 393.28  Wiring to be protected.

    (a) The wiring shall--
    (1) Be so installed that connections are protected from weather, 
abrasion, road splash, grease, oil, fuel and chafing;
    (2) Be grouped together, when possible, and protected by 
nonconductive tape, braid, or other covering capable of withstanding 
severe abrasion or shall be protected by being enclosed in a sheath or 
tube;

[[Page 1103]]

    (3) Be properly supported in a manner to prevent chafing;
    (4) Not be so located as to be likely to be charred, overheated, or 
enmeshed in moving parts;
    (5) Not have terminals or splices located above the fuel tank except 
for the fuel sender wiring and terminal; and
    (6) Be protected when passing through holes in metal by a grommet, 
or other means, or the wiring shall be encased in a protective covering.
    (b) The complete wiring system including lamps, junction boxes, 
receptacle boxes, conduit and fittings must be weather resistant.
    (c) Harness connections shall be accomplished by a mechanical means.

[53 FR 49397, Dec. 7, 1988]



Sec. 393.29  Grounds.

    The battery ground and trailer return ground connections on a 
grounded system shall be readily accessible. The contact surfaces of 
electrical connections shall be clean and free of oxide, paint, or other 
nonconductive coating.



Sec. 393.30  Battery installation.

    Every storage battery on every vehicle, unless located in the engine 
compartment, shall be covered by a fixed part of the motor vehicle or 
protected by a removable cover or enclosure. Removable covers or 
enclosures shall be substantial and shall be securely latched or 
fastened. The storage battery compartment and adjacent metal parts which 
might corrode by reason of battery leakage shall be painted or coated 
with an acid-resisting paint or coating and shall have openings to 
provide ample battery ventilation and drainage. Wherever the cable to 
the starting motor passes through a metal compartment, the cable shall 
be protected against grounding by an acid and waterproof insulating 
bushing. Wherever a battery and a fuel tank are both placed under the 
driver's seat, they shall be partitioned from each other, and each 
compartment shall be provided with an independent cover, ventilation, 
and drainage.



Sec. 393.31  Overload protective devices.

    (a) The current to all low tension circuits shall pass through 
overload protective devices except that this requirement shall not be 
applicable to battery-to-starting motor or battery-to-generator 
circuits, ignition and engine control circuits, horn circuits, 
electrically-operated fuel pump circuits, or electric brake circuits.
    (b) Trucks, truck-tractors, and buses meeting the definition of a 
commercial motor vehicle and manufactured after June 30, 1953 shall have 
protective devices for electrical circuits arranged so that:
    (1) The headlamp circuit or circuits shall not be affected by a 
short circuit in any other lighting circuits on the motor vehicle; or
    (2) The protective device shall be an automatic reset overload 
circuit breaker if the headlight circuit is protected in common with 
other circuits.

[33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49397, Dec. 7, 1988]



Sec. 393.32  Detachable electrical connections.

    Electrical wiring between towing and towed vehicles shall be 
contained in a cable or cables or entirely within another substantially 
constructed protective device. All such electrical wiring shall be 
mechanically and electrically adequate and free of short or open 
circuits. Suitable provision shall be made in every such detachable 
connection to afford reasonable assurance against connection in an 
incorrect manner or accidental disconnection. Detachable connections 
made by twisting together wires from the towed and towing units are 
prohibited. Precaution shall be taken to provide sufficient slack in the 
connecting wire or cable to accommodate without damage all normal 
motions of the parts to which they are attached.



Sec. 393.33  Wiring, installation.

    Electrical wiring shall be systematically arranged and installed in 
a workmanlike manner. All detachable wiring, except temporary wiring 
connections for driveaway-towaway operations, shall be attached to posts 
or terminals by means of suitable cable

[[Page 1104]]

terminals which conform to the SAE Standard \1\ for ``Cable Terminals'' 
or by cable terminals which are mechanically and electrically at least 
equal to such terminals. The number of wires attached to any post shall 
be limited to the number which such post was designed to accommodate. 
The presence of bare, loose, dangling, chafing, or poorly connected 
wires is prohibited.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------



                            Subpart C--Brakes



Sec. 393.40  Required brake systems.

    (a) General. A bus, truck, truck tractor, or a combination of motor 
vehicles must have brakes adequate to control the movement of, and to 
stop and hold, the vehicle or combination of vehicles.
    (b) Specific systems required. (1) A bus, truck, truck tractor, or 
combination of motor vehicles must have--
    (i) A service brake system that conforms to the requirements of 
Sec. 393.52; and
    (ii) A parking brake system that conforms to the requirements of 
Sec. 393.41.
    (2) A bus, truck, truck tractor, or a combination of motor vehicles 
manufactured on or after July 1, 1973, must have an emergency brake 
system that conforms to the requirements of Sec. 393.52(b) and consists 
of either--
    (i) Emergency features of the service brake system; or
    (ii) A system separate from the service brake system.

A control by which the driver applies the emergency brake system must be 
located so that the driver can readily operate it when he/she is 
properly restrained by any seat belt assembly provided for his/her use. 
The control for applying the emergency brake system may be combined with 
either the control for applying the service brake system or the control 
for applying the parking brake system. However, all three controls may 
not be combined.
    (c) Interconnected systems. (1) If the brake systems specified in 
paragraph (b) of this section are interconnected in any way, they must 
be designed, constructed, and maintained so that, upon the failure of 
any part of the operating mechanism of one or more of the systems 
(except the service brake actuation pedal or valve)--
    (i) The vehicle will have operative brakes; and
    (ii) In the case of a vehicle manufactured on or after July 1, 1973, 
the vehicle will have operative brakes capable of performing as 
specified in Sec. 393.52(b).
    (2) A motor vehicle to which the emergency brake system requirements 
of Federal Motor Vehicle Safety Standard No. 105 (Sec. 571.105 of this 
title) applied at the time of its manufacture conforms to the 
requirements of paragraph (c)(1) of this section if--
    (i) It is maintained in conformity with the emergency brake 
requirements of Standard No. 105 in effect on the date of its 
manufacture; and
    (ii) It is capable of performing as specified in Sec. 393.52(b), 
except upon structural failure of its brake master cylinder body or 
effectiveness indicator body.
    (3) A bus conforms to the requirements of paragraph (c)(1) of this 
section if it meets the requirements of Sec. 393.44 and is capable of 
performing as specified in Sec. 393.52(b).

[36 FR 20297, Oct. 20, 1971, as amended at 37 FR 5251, Mar. 11, 1972]



Sec. 393.41  Parking brake system.

    (a) Every commercial motor vehicle manufactured on and after March 
7, 1990, except an agricultural commodity trailer, converter dolly, 
heavy hauler or pulpwood trailer, shall at all times be equipped with a 
parking brake system adequate to hold the vehicle or combination under 
any condition of loading as required by FMVSS 571.121. An agricultural 
commodity trailer, heavy hauler or pulpwood trailer shall carry 
sufficient chocking blocks to prevent movement when parked.
    (b) The parking brake system shall at all times be capable of being 
applied in conformance with the requirements of paragraph (a) of the 
section by either the driver's muscular effort, or by spring action, or 
by other energy, provided, that if such other energy is depended on for 
application of the parking brake, then an accumulation of such energy 
shall be isolated from any common source and used exclusively for the 
operation of the parking brake.

[[Page 1105]]

    (c) The parking brake system shall be held in the applied position 
by energy other than fluid pressure, air pressure, or electric energy. 
The parking brake system shall be such that it cannot be released unless 
adequate energy is available upon release of the parking brake to make 
immediate further application with the required effectiveness.

[34 FR 15418, Oct. 3, 1969, as amended at 53 FR 49398, Dec. 7, 1988]



Sec. 393.42  Brakes required on all wheels.

    (a) Every commercial motor vehicle shall be equipped with brakes 
acting on all wheels.
    (b) Exception. (1) Trucks or truck tractors having three or more 
axles--
    (i) Need not have brakes on the front wheels if the vehicle was 
manufactured before July 25, 1980; or
    (ii) Manufactured between July 24, 1980, and October 27, 1986, must 
be retrofitted to meet the requirements of this section within one year 
from February 26, 1987, if the brake components have been removed.
    (2) Any motor vehicle being towed in a driveaway-towaway operation 
must have operative brakes as may be necessary to ensure compliance with 
the performance requirements of Sec. 393.52. This paragraph is not 
applicable to any motor vehicle towed by means of a tow-bar when any 
other vehicle is full-mounted on such towed motor vehicle or any 
combination of motor vehicles utilizing three or more saddle-mounts. 
(See Sec. 393.71(a)(3).)
    (3) Any full trailer, any semitrailer, or any pole trailer having a 
GVWR of 3,000 pounds or less must be equipped with brakes if the weight 
of the towed vehicle resting on the towing vehicle exceeds 40 percent of 
the GVWR of the towing vehicle.

[[Page 1106]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.030


[52 FR 2803, Jan. 27, 1987, as amended at 53 FR 49398, Dec. 7, 1988; 54 
FR 48617, Nov. 24, 1989; 59 FR 25574, May 17, 1994; 61 FR 1843, Jan. 24, 
1996]



Sec. 393.43  Breakaway and emergency braking.

    (a) Every motor vehicle, if used to tow a trailer equipped with 
brakes, shall be equipped with means for providing that in case of 
breakaway of such trailer the service brakes on the towing vehicle will 
be sufficiently operative to stop the towing vehicle.
    (b) Every truck or truck tractor equipped with air brakes, when used 
for towing other vehicles equipped with air brakes, shall be equipped 
with two means of activating the emergency features of the trailer 
brakes. One of these means shall operate automatically in the event of 
reduction of the towing vehicle air supply to a fixed pressure which 
shall not be lower than 20 pounds per square inch nor higher than 45 
pounds per square inch. The other means shall be a manually controlled 
device readily operable by a person seated in the driving seat. Its 
emergency position or method of operation shall be clearly indicated. In 
no instance may the manual means be so arranged as to permit its use to 
prevent operation of the automatic means. The automatic and manual means 
required by this section may be, but are not required to be, separate.
    (c) Every truck tractor and truck when used for towing other 
vehicles equipped with vacuum brakes, shall have, in addition to the 
single control required by Sec. 393.49 to operate all brakes of the 
combination, a second

[[Page 1107]]

manual control device which can be used to operate the brakes on the 
towed vehicles in emergencies. Such second control shall be independent 
of brake air, hydraulic, and other pressure, and independent of other 
controls, unless the braking system be so arranged that failure of the 
pressure on which the second control depends will cause the towed 
vehicle brakes to be applied automatically. The second control is not 
required by this rule to provide modulated or graduated braking.
    (d) Every trailer required to be equipped with brakes shall be 
equipped with brakes of such character as to be applied automatically 
and promptly upon breakaway from the towing vehicle, and means shall be 
provided to maintain application of the brakes on the trailer in such 
case for at least 15 minutes.
    (e) Air brake systems installed on towed vehicles shall be so 
designed, by the use of ``no-bleed-back'' relay emergency valves or 
equivalent devices, that the supply reservoir used to provide air for 
brakes shall be safeguarded against backflow of air to the towing 
vehicle upon reduction of the towing vehicle air pressure.
    (f) The requirements of paragraphs (b), (c), and (d) of this section 
shall not be applicable to motor vehicles in driveaway-towaway 
operations.



Sec. 393.44  Front brake lines, protection.

    On every bus, if equipped with air brakes, the braking system shall 
be so constructed that in the event any brake line to any of the front 
wheels is broken, the driver can apply the brakes on the rear wheels 
despite such breakage. The means used to apply the brakes may be located 
forward of the driver's seat as long as it can be operated manually by 
the driver when the driver is properly restrained by any seat belt 
assembly provided for use. Every bus shall meet this requirement or 
comply with the regulations in effect at the time of its manufacture.

[53 FR 49400, Dec. 7, 1988]



Sec. 393.45  Brake tubing and hose, adequacy.

    (a) General requirements. Brake tubing and brake hose must--
    (1) Be designed and constructed in a manner that insures proper, 
adequate, and continued functioning of the tubing or hose;
    (2) Be installed in a manner that insures proper continued 
functioning of the tubing or hose;
    (3) Be long and flexible enough to accommodate without damage all 
normal motions of the parts to which it is attached;
    (4) Be suitably secured against chafing, kinking, or other 
mechanical damage;
    (5) Be installed in a manner that prevents it from contacting the 
vehicle's exhaust system or any other source of high temperatures; and
    (6) Conform to the applicable requirements of paragraph (b) or (c) 
of this section. In addition, all hose installed on and after January 1, 
1981, must conform to those applicable subsections of FMVSS 106 (49 CFR 
571.106).
    (b) Special requirements for metallic brake tubing, nonmetallic 
brake tubing, coiled nonmetallic brake tubing and brake hose. (1) 
Metallic brake tubing, nonmetallic brake tubing, coiled nonmetallic 
brake tubing, and brake hose installed on a commercial motor vehicle on 
and after March 7, 1989, must meet or exceed one of the following 
specifications set forth in the SAE Handbook, 1985 edition:
    (i) Metallic Air Brake Tubing--SAE Recommended Practice J1149--
Metallic Air Brake System Tubing and Pipe--July 76.
    (ii) Nonmetallic Air Brake Tubing--SAE Recommended Practice J844--
Nonmetallic Air Brake System Type B--OCT 80.
    (iii) Air Brake Hose--SAE Recommended Practice J1402--Automotive Air 
Brake Hose and Hose Assemblies--JUN 85.
    (iv) Hydraulic Brake Hose--SAE Recommended Practice J1401 Road 
Vehicle-Hydraulic Brake Hose Assemblies for Use with Non-Petroleum Base 
Hydraulic Fluid JUN 85.
    (v) Vacuum Brake Hose--SAE Recommended Practice J1403 Vacuum Brake 
Hose JUN 85.
    (2) Except as provided in paragraph (c) of this section, brake hose 
and brake tubing installed on a motor vehicle before March 7, 1989, must 
conform

[[Page 1108]]

to 49 CFR 393.45 effective October 31, 1983.
    (c) Nonmetallic brake tubing. Coiled nonmetallic brake tubing may be 
used for connections between towed and towing vehicles or between the 
frame of a towed vehicle and the unsprung subframe of an adjustable axle 
of that vehicle if--
    (1) The coiled tubing has a straight segment (pigtail) at each end 
that is at least 2 inches in length and is encased in a spring guard or 
similar device which prevents the tubing from kinking at the fitting at 
which it is attached to the vehicle; and
    (2) The spring guard or similar device has at least 2 inches of 
closed coils or similar surface at its interface with the fitting and 
extends at least 1\1/2\ inches into the coiled segment of the tubing 
from its straight segment.
    (d) Brake tubing and brake hose, uses. Metallic and nonmetallic 
brake tubing is intended for use in areas of the brake system where 
relative movement in the line is not anticipated. Brake hose and coiled 
nonmetallic brake tubing is intended for use in the brake system where 
substantial relative movement in the line is anticipated or the hose/
coiled nonmetallic brake tubing is exposed to potential tension or 
impact such as between the frame and axle in a conventional type 
suspension system (axle attached to frame by suspension system). 
Nonmetallic brake tubing may be used through an articulation point 
provided movement is less than 4.5 degrees in a vertical plane, and 7.4 
degrees in a transverse horizontal plane.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[38 FR 4333, Feb. 13, 1973, as amended at 44 FR 25457, May 1, 1979; 45 
FR 46424, July 10, 1980; 47 FR 47837, Oct. 28, 1982; 53 FR 49400, Dec. 
7, 1988]



Sec. 393.46  Brake tubing and hose connections.

    All connections for air, vacuum, or hydraulic braking systems shall:
    (a) Be adequate in material and construction to insure proper 
continued functioning;
    (b) Be designed, constructed, and installed so as to insure, when 
properly connected, an attachment free of leaks, constrictions, or other 
defects;
    (c) Have suitable provision in every detachable connection to afford 
reasonable assurance against accidental disconnection;
    (d) Have the vacuum brake engine manifold connection at least three-
eighths inch in diameter.
    (e) If installed on a vehicle on or after January 1, 1981, meet 
requirements under applicable subsections of FMVSS 106 (49 CFR 571.106).
    (f) Splices in tubing if installed on a vehicle after March 7, 1989, 
must use fittings that meet the requirements of SAE Standard J512-OCT 80 
Automotive Tube Fittings or for air brake systems SAE J246--March 81 
Spherical and Flanged Sleeve (Compression) Tube Fittings as found in the 
SAE Handbook 1985 edition.

[33 FR 19735, Dec. 28, 1968, as amended at 44 FR 25457, May 1, 1979; 53 
FR 49400, Dec. 7, 1988]



Sec. 393.47  Brake lining.

    The brake lining in every motor vehicle shall be so constructed and 
installed as not to be subject to excessive fading and grabbing and 
shall be adequate in thickness, means of attachment, and physical 
characteristics to provide for safe and reliable stopping of the motor 
vehicle.



Sec. 393.48  Brakes to be operative.

    (a) General rule. Except as provided in paragraphs (b) and (c) of 
this section, all brakes with which a motor vehicle is equipped must at 
all times be capable of operating.
    (b) Devices to reduce or remove front-wheel braking effort. A motor 
vehicle may be equipped with a device to reduce the braking effort upon 
its front wheels or, in the case of a three-axle truck or truck tractor 
manufactured before March 1, 1975, to remove the braking effort upon its 
front wheels, if that device conforms to, and is used in compliance 
with, the rules in paragraph (b) (1) or (2) of this section.
    (1) Manually operated devices. A manually operated device to reduce 
or remove the front-wheel braking effort must not be--
    (i) Installed in a motor vehicle other than a bus, truck, or truck 
tractor; or

[[Page 1109]]

    (ii) Installed in a bus, truck, or truck tractor manufactured after 
February 28, 1975; or
    (iii) Used in the reduced mode except when the vehicle is operating 
under adverse conditions such as wet, snowy, or icy roads.
    (2) Automatic devices. An automatic device to reduce the front-wheel 
braking effort by up to 50 percent of the normal braking force, 
regardless of whether or not antilock system failure has occurred on any 
axle, must not--
    (i) Be operable by the driver except upon application of the control 
that activates the braking system; and
    (ii) Be operable when the pressure that transmits brake control 
application force exceeds--
    (A) 85 psig on air-mechanical braking systems; or
    (B) 85 percent of the maximum system pressure in the case of 
vehicles utilizing other than compressed air.
    (c) Towed vehicle. Paragraph (a) of this section does not apply to--
    (1) A disabled vehicle being towed; or
    (2) A vehicle being towed in a driveaway-towaway operation which is 
exempt from the general rule of Sec. 393.42 under paragraph (b) of that 
section.

[39 FR 26907, July 24, 1974, as amended at 41 FR 29130, July 15, 1976; 
41 FR 53031, Dec. 3, 1976; 67 FR 61824, Oct. 2, 2002]



Sec. 393.49  Single valve to operate all brakes.

    Every motor vehicle, the date of manufacture of which is subsequent 
to June 30, 1953, which is equipped with power brakes, shall have the 
braking system so arranged that one application valve shall when applied 
operate all the service brakes on the motor vehicle or combination of 
motor vehicles. This requirement shall not be construed to prohibit 
motor vehicles from being equipped with an additional valve to be used 
to operate the brakes on a trailer or trailers or as provided in 
Sec. 393.44. This section shall not be applicable to driveaway-towaway 
operations unless the brakes on such operations are designed to be 
operated by a single valve.



Sec. 393.50  Reservoirs required.

    (a) General. Every commercial motor vehicle using air or vacuum for 
breaking shall be equipped with reserve capacity or a reservoir 
sufficient to ensure a full service brake application with the engine 
stopped without depleting the air pressure or vacuum below 70 percent of 
that pressure or degree of vacuum indicated by the gauge immediately 
before the brake application is made. For purposes of this section, a 
full service brake application is considered to be made when the service 
brake pedal is pushed to the limit of its travel.
    (b) Safeguarding of air and vacuum. (1) Every bus, truck, and truck 
tractor, when equipped with air or vacuum reservoirs and regardless of 
date of manufacture, shall have such reservoirs so safeguarded by a 
check valve or equivalent device that in the event of failure or leakage 
in its connection to the source of compressed air or vacuum the air or 
vacuum supply in the reservoir shall not be depleted by the leak or 
failure.
    (2) Means shall be provided to establish the check valve to be in 
working order. On and after May 1, 1966, means other than loosening or 
disconnection of any connection between the source of compressed air or 
vacuum and the check valve, and necessary tools for operation of such 
means, shall be provided to prove that the check valve is in working 
order. The means shall be readily accessible either from the front, 
side, or rear of the vehicle, or from the driver's compartment.
    (i) In air brake systems with one reservoir, the means shall be a 
cock, valve, plug, or equivalent device arranged to vent a cavity having 
free communication with the connection between the check valve and the 
source of compressed air or vacuum.
    (ii) Where air is delivered by a compressor into one tank or 
compartment (wet tank), and air for braking is taken directly from 
another tank or compartment (dry tank) only, with the required check 
valve between the tanks or compartments, a manually operated drain cock 
on the first (wet) tank or compartment will serve as a means herein 
required if it conforms to the requirements herein.
    (iii) In vacuum systems stopping the engine will serve as the 
required

[[Page 1110]]

means, the system remaining evacuated as indicated by the vacuum gauge.

[33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49400, Dec. 7, 1988]



Sec. 393.51  Warning devices and gauges.

    (a) General. In the manner and to the extent specified in paragraphs 
(b), (c), (d), and (e) of this section, a bus, truck, or truck tractor 
must be equipped with a signal that provides a warning to the driver 
when a failure occurs in the vehicle's service brake system.
    (b) Hydraulic brakes. A vehicle manufactured on or after July 1, 
1973, and having service brakes activated by hydraulic fluid must be 
equipped with a warning signal that performs as follows:
    (1) If Federal Motor Vehicle Safety Standard No. 105 (Sec. 571.105 
of this title) was applicable to the vehicle at the time it was 
manufactured, the warning signal must conform to the requirements of 
that standard.
    (2) If Federal Motor Vehicle Safety Standard No. 105 (Sec. 571.105) 
was not applicable to the vehicle at the time it was manufactured, the 
warning signal must become operative, before or upon application of the 
brakes in the event of a hydraulic-type complete failure of a partial 
system. The signal must be readily audible or visible to the driver.
    (c) Air brakes. A vehicle (regardless of the date it was 
manufactured) having service brakes activated by compressed air (air-
mechanical brakes) or a vehicle towing a vehicle having service brakes 
activated by compressed air (air-mechanical brakes) must be equipped, 
and perform, as follows:
    (1) The vehicle must have a low air pressure warning device that 
conforms to the requirements of either paragraph (c)(1) (i) or (ii) of 
this section.
    (i) If Federal Motor Vehicle Safety Standard No. 121 (Sec. 571.121 
of this title) was applicable to the vehicle at the time it was 
manufactured, the warning device must conform to the requirements of 
that standard.
    (ii) If Federal Motor Vehicle Safety Standard No. 121 (Sec. 571.121) 
was not applicable to the vehicle at the time it was manufactured, the 
vehicle must have a device that provides a readily audible or visible 
continuous warning to the driver whenever the pressure of the compressed 
air in the braking system is below a specified pressure, which must be 
at least one-half of the compressor governor cutout pressure.
    (2) The vehicle must have a pressure gauge which indicates to the 
driver the pressure in pounds per square inch available for braking.
    (d) Vacuum brakes. A vehicle (regardless of the date it was 
manufactured) having service brakes activated by vacuum or a vehicle 
towing a vehicle having service brakes activated by vacuum must be 
equipped with--
    (1) A device that provides a readily audible or visible continuous 
warning to the driver whenever the vacuum in the vehicle's supply 
reservoir is less than 8 inches of mercury; and
    (2) A vacuum gauge which indicates to the driver the vacuum in 
inches of mercury available for braking.
    (e) Hydraulic brakes applied or assisted by air or vacuum. A vehicle 
having a braking system in which hydraulically activated service brakes 
are applied or assisted by compressed air or vacuum must be equipped 
with both a warning signal that conforms to the requirements of 
paragraph (b) of this section and a warning device that conforms to the 
requirements of either paragraph (c) or paragraph (d) of this section.
    (f) Maintenance. The warning signals, devices, and gauges required 
by this section must be maintained in operative condition.

[37 FR 5251, Mar. 11, 1972, as amended at 53 FR 49400, Dec. 7, 1988]



Sec. 393.52  Brake performance.

    (a) Upon application of its service brakes, a motor vehicle or 
combination of motor vehicles must under any condition of loading in 
which it is found on a public highway, be capable of--
    (1) Developing a braking force at least equal to the percentage of 
its gross weight specified in the table in paragraph (d) of this 
section;
    (2) Decelerating to a stop from 20 miles per hour at not less than 
the rate specified in the table in paragraph (d) of this section; and
    (3) Stopping from 20 miles per hour in a distance, measured from the 
point at which movement of the service brake pedal or control begins, 
that is not greater than the distance specified in

[[Page 1111]]

the table in paragraph (d) of this section; or, for motor vehicles or 
motor vehicle combinations that have a GVWR or GVW greater than 4,536 kg 
(10,000 pounds),
    (4) Developing only the braking force specified in paragraph (a)(1) 
of this section and the stopping distance specified in paragraph (a)(3) 
of this section, if braking force is measured by a performance-based 
brake tester which meets the requirements of functional specifications 
for performance-based brake testers for commercial motor vehicles, where 
braking force is the sum of the braking force at each wheel of the 
vehicle or vehicle combination as a percentage of gross vehicle or 
combination weight.
    (b) Upon application of its emergency brake system and with no other 
brake system applied, a motor vehicle or combination of motor vehicles 
must, under any condition of loading in which it is found on a public 
highway, be capable of stopping from 20 miles per hour in a distance, 
measured from the point at which movement of the emergency brake control 
begins, that is not greater than the distance specified in the table in 
paragraph (d) of this section.
    (c) Conformity to the stopping-distance requirements of paragraphs 
(a) and (b) of this section shall be determined under the following 
conditions:
    (1) Any test must be made with the vehicle on a hard surface that is 
substantially level, dry, smooth, and free of loose material.
    (2) The vehicle must be in the center of a 12-foot-wide lane when 
the test begins and must not deviate from that lane during the test.
    (d) Vehicle brake performance table:

[[Page 1112]]



----------------------------------------------------------------------------------------------------------------
                                                            Service brake systems                Emergency brake
                                             ---------------------------------------------------     systems
                                                                                                ----------------
                                               Braking force                    Application and  Application and
            Type of motor vehicle             as a percentage  Deceleration in      braking          braking
                                                  of gross     feet per second    distance in      distance in
                                                 vehicle or       per second       feet from        feet from
                                                combination                      initial speed    initial speed
                                                   weight                          at 20 mph        of 20 mph
----------------------------------------------------------------------------------------------------------------
A. Passenger-carrying vehicles:
    (1) Vehicles with a seating capacity of              65.2               21               20               54
     10 persons or less, including driver,
     and built on a passenger car chassis...
    (2) Vehicles with a seating capacity of              52.8               17               25               66
     more than 10 persons, including driver,
     and built on a passenger car chassis;
     vehicles built on a truck or bus
     chassis and having a manufacturer's
     GVWR of 10,000 pounds or less..........
    (3) All other passenger-carrying                     43.5               14               35               85
     vehicles...............................
B. Property-carrying vehicles:
    (1) Single unit vehicles having a                    52.8               17               25               66
     manufacturer's GVWR of 10,000 pounds or
     less...................................
    (2) Single unit vehicles having a                    43.5               14               35               85
     manufacturer's GVWR of more than 10,000
     pounds, except truck tractors.
     Combinations of a 2-axle towing vehicle
     and trailer having a GVWR of 3,000
     pounds or less. All combinations of 2
     or less vehicles in drive-away or tow-
     away operation.........................
    (3) All other property-carrying vehicles             43.5               14               40              90
     and combinations of property-carrying
     vehicles...............................
----------------------------------------------------------------------------------------------------------------
Notes: (a) There is a definite mathematical relationship between the figures in columns 2 and 3. If the
  decelerations set forth in column 3 are divided by 32.2 feet per-second per-second, the figures in column 2
  will be obtained. (For example, 21 divided by 32.2 equals 65.2 percent.) Column 2 is included in the
  tabulation because certain brake testing devices utilize this factor.
(b) The decelerations specified in column 3 are an indication of the effectiveness of the basic brakes, and as
  measured in practical brake testing are the maximum decelerations attained at some time during the stop. These
  decelerations as measured in brake tests cannot be used to compute the values in column 4 because the
  deceleration is not sustained at the same rate over the entire period of the stop. The deceleration increases
  from zero to a maximum during a period of brake system application and brake-force buildup. Also, other
  factors may cause the deceleration to decrease after reaching a maximum. The added distance that results
  because maximum deceleration is not sustained is included in the figures in column 4 but is not indicated by
  the usual brake-testing devices for checking deceleration.
(c) The distances in column 4 and the decelerations in column 3 are not directly related. ``Brake-system
  application and braking distance in feet'' (column 4) is a definite measure of the overall effectiveness of
  the braking system, being the distance traveled between the point at which the driver starts to move the
  braking controls and the point at which the vehicle comes to rest. It includes distance traveled while the
  brakes are being applied and distance traveled while the brakes are retarding the vehicle.
(d) The distance traveled during the period of brake-system application and brake-force buildup varies with
  vehicle type, being negligible for many passenger cars and greatest for combinations of commercial vehicles.
  This fact accounts for the variation from 20 to 40 feet in the values in column 4 for the various classes of
  vehicles.
(e) The terms ``GVWR'' and ``GVW'' refer to the manufacturer's gross vehicle weight rating and the actual gross
  vehicle weight, respectively.


[[Page 1113]]


[36 FR 20298, Oct. 20, 1971, as amended at 37 FR 5251, Mar. 11, 1972; 37 
FR 11336, June 7, 1972; 67 FR 61824, Oct. 2, 2003; FR 51777, Aug. 9, 
2002]



Sec. 393.53  Automatic brake adjusters and brake adjustment indicators.

    (a) Automatic brake adjusters (hydraulic brake systems). Each 
commercial motor vehicle manufactured on or after October 20, 1993, and 
equipped with a hydraulic brake system, shall meet the automatic brake 
adjustment system requirements of Federal Motor Vehicle Safety Standard 
No. 105 (49 CFR 571.105, S5.1) applicable to the vehicle at the time it 
was manufactured.
    (b) Automatic brake adjusters (air brake systems). Each commercial 
motor vehicle manufactured on or after October 20, 1994, and equipped 
with an air brake system shall meet the automatic brake adjustment 
system requirements of Federal Motor Vehicle Safety Standard No. 121 (49 
CFR 571.121, S5.1.8) applicable to the vehicle at the time it was 
manufactured.
    (c) Brake adjustment indicator (air brake systems). On each 
commercial motor vehicle manufactured on or after October 20, 1994, and 
equipped with an air brake system which contains an external automatic 
adjustment mechanism and an exposed pushrod, the condition of service 
brake under-adjustment shall be displayed by a brake adjustment 
indicator conforming to the requirements of Federal Motor Vehicle Safety 
Standard No. 121 (49 CFR 571.121, S5.1.8) applicable to the vehicle at 
the time it was manufactured.

[60 FR 46245, Sept. 6, 1995]



Sec. 393.55  Antilock brake systems.

    (a) Hydraulic brake systems. Each truck and bus manufactured on or 
after March 1, 1999 (except trucks and buses engaged in driveaway-
towaway operations), and equipped with a hydraulic brake system, shall 
be equipped with an antilock brake system that meets the requirements of 
Federal Motor Vehicle Safety Standard (FMVSS) No. 105 (49 CFR 571.105, 
S5.5).
    (b) ABS malfunction indicators for hydraulic braked vehicles. Each 
hydraulic braked vehicle subject to the requirements of paragraph (a) of 
this section shall be equipped with an ABS malfunction indicator system 
that meets the requirements of FMVSS No. 105 (49 CFR 571.105, S5.3).
    (c) Air brake systems. (1) Each truck tractor manufactured on or 
after March 1, 1997 (except truck tractors engaged in driveaway-towaway 
operations), shall be equipped with an antilock brake system that meets 
the requirements of FMVSS No. 121 (49 CFR 571.121, S5.1.6.1(b)).
    (2) Each air braked commercial motor vehicle other than a truck 
tractor, manufactured on or after March 1, 1998 (except commercial motor 
vehicles engaged in driveaway-towaway operations), shall be equipped 
with an antilock brake system that meets the requirements of FMVSS No. 
121 (49 CFR 571.121, S5.1.6.1(a) for trucks and buses, S5.2.3 for 
semitrailers, converter dollies and full trailers).
    (d) ABS malfunction circuits and signals for air braked vehicles. 
(1) Each truck tractor manufactured on or after March 1, 1997, and each 
single-unit air braked vehicle manufactured on or after March 1, 1998, 
subject to the requirements of paragraph (c) of this section, shall be 
equipped with an electrical circuit that is capable of signaling a 
malfunction that affects the generation or transmission of response or 
control signals to the vehicle's antilock brake system (49 CFR 571.121, 
S5.1.6.2(a)).
    (2) Each truck tractor manufactured on or after March 1, 2001, and 
each single-unit vehicle that is equipped to tow another air-braked 
vehicle, subject to the requirements of paragraph (c) of this section, 
shall be equipped with an electrical circuit that is capable of 
transmitting a malfunction signal from the antilock brake system(s) on 
the towed vehicle(s) to the trailer ABS malfunction lamp in the cab of 
the towing vehicle, and shall have the means for connection of the 
electrical circuit to the towed vehicle. The ABS malfunction circuit and 
signal shall meet the requirements of FMVSS No. 121 (49 CFR 571.121, 
S5.1.6.2(b)).
    (3) Each semitrailer, trailer converter dolly, and full trailer 
manufactured on or after March 1, 2001, and

[[Page 1114]]

subject to the requirements of paragraph (c)(2) of this section, shall 
be equipped with an electrical circuit that is capable of signaling a 
malfunction in the trailer's antilock brake system, and shall have the 
means for connection of this ABS malfunction circuit to the towing 
vehicle. In addition, each trailer manufactured on or after March 1, 
2001, subject to the requirements of paragraph (c)(2) of this section, 
that is designed to tow another air-brake equipped trailer shall be 
capable of transmitting a malfunction signal from the antilock brake 
system(s) of the trailer(s) it tows to the vehicle in front of the 
trailer. The ABS malfunction circuit and signal shall meet the 
requirements of FMVSS No. 121 (49 CFR 571.121, S5.2.3.2).
    (e) Exterior ABS malfunction indicator lamps for trailers. Each 
trailer (including a trailer converter dolly) manufactured on or after 
March 1, 1998 and before March 1, 2009, and subject to the requirements 
of paragraph (c)(2) of this section, shall be equipped with an ABS 
malfunction indicator lamp which meets the requirements of FMVSS No. 121 
(49 CFR 571.121, S5.2.3.3).

[63 FR 24465, May 4, 1998]



               Subpart D--Glazing and Window Construction



Sec. 393.60  Glazing in specified openings.

    (a) Glazing material. Glazing material used in windshields, windows, 
and doors on a motor vehicle manufactured on or after December 25, 1968, 
shall at a minimum meet the requirements of Federal Motor Vehicle Safety 
Standard (FMVSS) No. 205 in effect on the date of manufacture of the 
motor vehicle. The glazing material shall be marked in accordance with 
FMVSS No. 205 (49 CFR 571.205, S6).
    (b) Windshields required. Each bus, truck and truck-tractor shall be 
equipped with a windshield. Each windshield or portion of a multi-piece 
windshield shall be mounted using the full periphery of the glazing 
material.
    (c) Windshield condition. With the exception of the conditions 
listed in paragraphs (c)(1), (c)(2), and (c)(3) of this section, each 
windshield shall be free of discoloration or damage in the area 
extending upward from the height of the top of the steering wheel 
(excluding a 51 mm (2 inch) border at the top of the windshield) and 
extending from a 25 mm (1 inch) border at each side of the windshield or 
windshield panel. Exceptions:
    (1) Coloring or tinting which meets the requirements of paragraph 
(d) of this section;
    (2) Any crack that is not intersected by any other cracks;
    (3) Any damaged area which can be covered by a disc 19 mm (\3/4\ 
inch) in diameter if not closer than 76 mm (3 inches) to any other 
similarly damaged area.
    (d) Coloring or tinting of windshields and windows. Coloring or 
tinting of windshields and the windows to the immediate right and left 
of the driver is allowed, provided the parallel luminous transmittance 
through the colored or tinted glazing is not less than 70 percent of the 
light at normal incidence in those portions of the windshield or windows 
which are marked as having a parallel luminous transmittance of not less 
than 70 percent. The transmittance restriction does not apply to other 
windows on the commercial motor vehicle.
    (e) Prohibition on obstructions to the driver's field of view--(1) 
Devices mounted at the top of the windshield. Antennas, transponders, 
and similar devices must not be mounted more than 152 mm (6 inches) 
below the upper edge of the windshield. These devices must be located 
outside the area swept by the windshield wipers, and outside the 
driver's sight lines to the road and highway signs and signals.
    (2) Decals and stickers mounted on the windshield. Commercial 
Vehicle Safety Alliance (CVSA) inspection decals, and stickers and/or 
decals required under Federal or State laws may be placed at the bottom 
or sides of the windshield provided such decals or stickers do not 
extend more than 115 mm (4\1/2\ inches) from the bottom of the 
windshield and are located outside the area swept by the windshield 
wipers, and outside the driver's sight lines to the road and highway 
signs or signals.

[63 FR 1387, Jan. 9, 1998]

[[Page 1115]]



Sec. 393.61  Window construction.

    (a) Windows in trucks and truck tractors. Every truck and truck 
tractor, except vehicles engaged in armored car service, shall have, in 
addition to the area provided by the windshield, at least one window on 
each side of the driver's compartment, which window shall have 
sufficient area to contain either an ellipse having a major axis of 18 
inches and a minor axis of 13 inches or an opening containing 200 square 
inches formed by a rectangle 13 inches by 17\3/4\ inches with corner 
arcs of 6-inch maximum radius. The major axis of the ellipse and the 
long axis of the rectangle shall not make an angle of more than 45 
degrees with the surface on which the unladen vehicle stands; however, 
if the cab is designed with a folding door or doors or with clear 
openings where doors or windows are customarily located, then no windows 
shall be required in such locations.
    (b) Bus windows. (1) Except as provided in paragraph (b)(3) of this 
section a bus manufactured before September 1, 1973, having a seating 
capacity of more than eight persons shall have, in addition to the area 
provided by the windshield, adequate means of escape for passengers 
through windows. The adequacy of such means shall be determined in 
accordance with the following standards: For each seated passenger space 
provided, inclusive of the driver there shall be at least 67 square 
inches of glazing if such glazing is not contained in a push-out window; 
or at least 67 square inches of free opening resulting from opening of a 
push-out type window. No area shall be included in this minimum 
prescribed area unless it will provide an unobstructed opening 
sufficient to contain an ellipse having a major axis of 18 inches and a 
minor axis of 13 inches or an opening containing 200 square inches 
formed by a rectangle 13 inches by 17\3/4\ inches with corner arcs of 6-
inch maximum radius. The major axis of the elipse and the long axis of 
the rectangle shall make an angle of not more than 45[deg] with the 
surface on which the unladen vehicle stands. The area shall be measured 
either by removal of the glazing if not of the push-out type or of the 
movable sash if of the push-out type, and it shall be either glazed with 
laminated safety glass or comply with paragraph (c) of this section. No 
less than 40 percent of such prescribed glazing or opening shall be on 
one side of any bus.
    (2) A bus, including a school bus, manufactured on and after 
September 1, 1973, having a seating capacity of more than 10 persons 
shall have emergency exits in conformity with Federal Motor Vehicle 
Safety Standard No. 217, part 571 of this title.
    (3) A bus manufactured before September 1, 1973, may conform to 
Federal Motor Vehicle Safety Standard No. 217, part 571 of this title, 
in lieu of conforming to paragraph (b)(1) of this section.
    (c) Push-out window requirements. (1) Except as provided in 
paragraph (c)(3) of this section, every glazed opening in a bus 
manufactured before September 1, 1973, and having a seating capacity of 
more than eight persons, used to satisfy the requirements of paragraph 
(b)(1) of this section, if not glazed with laminated safety glass, shall 
have a frame or sash so designed, constructed, and maintained that it 
will yield outwardly to provide the required free opening when subjected 
to the drop test specified in Test 25 of the American Standard Safety 
Code referred to in Sec. 393.60. The height of drop required to open 
such push-out windows shall not exceed the height of drop required to 
break the glass in the same window when glazed with the type of 
laminated glass specified in Test 25 of the Code. The sash for such 
windows shall be constructed of such material and be of such design and 
construction as to be continuously capable of complying with the above 
requirement.
    (2) On a bus manufactured on and after September 1, 1973, having a 
seating capacity of more than 10 persons, each push-out window shall 
conform to Federal Motor Vehicle Safety Standard No. 217, (Sec. 571.217) 
of this title.
    (3) A bus manufactured before September 1, 1973, may conform to 
Federal Motor Vehicle Safety Standard No. 217 (Sec. 571.217) of this 
title, in lieu of conforming to paragraph (c)(1) of this section.

[33 FR 19735, Dec. 25, 1968, as amended at 37 FR 11677, June 10, 1972]

[[Page 1116]]



Sec. 393.62  Window obstructions.

    Windows, if otherwise capable of complying with Sec. 393.61 (a) and 
(b), shall not be obstructed by bars or other such means located either 
inside or outside such windows such as would hinder the escape of 
occupants unless such bars or other such means are so constructed as to 
provide a clear opening, at least equal to the opening provided by the 
window to which it is adjacent, when subjected to the same test 
specified in Sec. 393.61(c). The point of application of such test force 
shall be such as will be most likely to result in the removal of the 
obstruction.



Sec. 393.63  Windows, markings.

    (a) On a bus manufactured before September 1, 1973, each bus push-
out window and any other bus escape window glazed with laminated safety 
glass required in Sec. 393.61 shall be identified as such by clearly 
legible and visible signs, lettering, or decalcomania. Such marking 
shall include appropriate wording to indicate that it is an escape 
window and also the method to be used for obtaining emergency exit.
    (b) On a bus manufactured on and after September 1, 1973, emergency 
exits required in Sec. 393.61 shall be marked to conform to Federal 
Motor Vehicle Safety Standard No. 217 (Sec. 571.217), of this title.
    (c) A bus manufactured before September 1, 1973, may mark emergency 
exits to conform to Federal Motor Vehicle Safety Standard No. 217 
(Sec. 571.217), of this title in lieu of conforming to paragraph (a) of 
this section.

[37 FR 11678, June 10, 1972]



                         Subpart E--Fuel Systems

    Authority: Sec. 204, Interstate Commerce Act, as amended, 49 U.S.C. 
304; sec. 6, Department of Transportation Act, 49 U.S.C. 1655; 
delegation of authority at 49 CFR 1.48 and 389.4.



Sec. 393.65  All fuel systems.

    (a) Application of the rules in this section. The rules in this 
section apply to systems for containing and supplying fuel for the 
operation of motor vehicles or for the operation of auxiliary equipment 
installed on, or used in connection with, motor vehicles.
    (b) Location. Each fuel system must be located on the motor vehicle 
so that--
    (1) No part of the system extends beyond the widest part of the 
vehicle;
    (2) No part of a fuel tank is forward of the front axle of a power 
unit;
    (3) Fuel spilled vertically from a fuel tank while it is being 
filled will not contact any part of the exhaust or electrical systems of 
the vehicle, except the fuel level indicator assembly;
    (4) Fill pipe openings are located outside the vehicle's passenger 
compartment and its cargo compartment;
    (5) A fuel line does not extend between a towed vehicle and the 
vehicle that is towing it while the combination of vehicles is in 
motion; and
    (6) No part of the fuel system of a bus manufactured on or after 
January 1, 1973, is located within or above the passenger compartment.
    (c) Fuel tank installation. Each fuel tank must be securely attached 
to the motor vehicle in a workmanlike manner.
    (d) Gravity or syphon feed prohibited. A fuel system must not supply 
fuel by gravity or syphon feed directly to the carburetor or injector.
    (e) Selection control valve location. If a fuel system includes a 
selection control valve which is operable by the driver to regulate the 
flow of fuel from two or more fuel tanks, the valve must be installed so 
that either--
    (1) The driver may operate it while watching the roadway and without 
leaving his/her driving position; or
    (2) The driver must stop the vehicle and leave his/her seat in order 
to operate the valve.
    (f) Fuel lines. A fuel line which is not completely enclosed in a 
protective housing must not extend more than 2 inches below the fuel 
tank or its sump. Diesel fuel crossover, return, and withdrawal lines 
which extend below the bottom of the tank or sump must be protected 
against damage from impact. Every fuel line must be--
    (1) Long enough and flexible enough to accommodate normal movements 
of the parts to which it is attached without incurring damage; and

[[Page 1117]]

    (2) Secured against chafing, kinking, or other causes of mechanical 
damage.
    (g) Excess flow valve. When pressure devices are used to force fuel 
from a fuel tank, a device which prevents the flow of fuel from the fuel 
tank if the fuel feed line is broken must be installed in the fuel 
system.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4341, Mar. 2, 1972; 37 
FR 28752, Dec. 29, 1972]



Sec. 393.67  Liquid fuel tanks.

    (a) Application of the rules in this section. (1) A liquid fuel tank 
manufactured on or after January 1, 1973, and a side-mounted gasoline 
tank must conform to all the rules in this section.
    (2) A diesel fuel tank manufactured before January 1, 1973, and 
mounted on a bus must conform to the rules in paragraphs (c)(7)(iii) and 
(d)(2) of this section.
    (3) A diesel fuel tank manufactured before January 1, 1973, and 
mounted on a vehicle other than a bus must conform to the rules in 
paragraph (c)(7)(iii) of this section.
    (4) A gasoline tank, other than a side-mounted gasoline tank, 
manufactured before January 1, 1973, and mounted on a bus must conform 
to the rules in paragraphs (c) (1) through (10) and (d)(2) of this 
section.
    (5) A gasoline tank, other than a side-mounted gasoline tank, 
manufactured before January 1, 1973, and mounted on a vehicle other than 
a bus must conform to the rules in paragraphs (c) (1) through (10), 
inclusive, of this section.
    (6) Private motor carrier of passengers. Motor carriers engaged in 
the private transportation of passengers may continue to operate a 
commercial motor vehicle which was not subject to this section or 49 CFR 
571.301 at the time of its manufacture, provided the fuel tank of such 
vehicle is maintained to the original manufacturer's standards.
    (b) Definitions. As used in this section--
    (1) The term liquid fuel tank means a fuel tank designed to contain 
a fuel that is liquid at normal atmospheric pressures and temperatures.
    (2) A side-mounted fuel tank is a liquid fuel tank which--
    (i) If mounted on a truck tractor, extends outboard of the vehicle 
frame and outside of the plan view outline of the cab; or
    (ii) If mounted on a truck, extends outboard of a line parallel to 
the longitudinal centerline of the truck and tangent to the outboard 
side of a front tire in a straight ahead position. In determining 
whether a fuel tank on a truck or truck tractor is side-mounted, the 
fill pipe is not considered a part of the tank.
    (c) Construction of liquid fuel tanks--(1) Joints. Joints of a fuel 
tank body must be closed by arc-, gas-, seam-, or spot-welding, by 
brazing, by silver soldering, or by techniques which provide heat 
resistance and mechanical securement at least equal to those 
specifically named. Joints must not be closed solely by crimping or by 
soldering with a lead-based or other soft solder.
    (2) Fittings. The fuel tank body must have flanges or spuds suitable 
for the installation of all fittings.
    (3) Threads. The threads of all fittings must be Dryseal American 
Standard Taper Pipe Thread or Dryseal SAE Short Taper Pipe Thread, 
specified in Society of Automotive Engineers Standard J476, as contained 
in the 1971 edition of the ``SAE Handbook,'' except that straight 
(nontapered) threads may be used on fittings having integral flanges and 
using gaskets for sealing. At least four full threads must be in 
engagement in each fitting.
    (4) Drains and bottom fittings. (i) Drains or other bottom fittings 
must not extend more than three-fourths of an inch below the lowest part 
of the fuel tank or sump.
    (ii) Drains or other bottom fittings must be protected against 
damage from impact.
    (iii) If a fuel tank has drains the drain fittings must permit 
substantially complete drainage of the tank.
    (iv) Drains or other bottom fittings must be installed in a flange 
or spud designed to accommodate it.
    (5) Fuel withdrawal fittings. Except for diesel fuel tanks, the 
fittings through which fuel is withdrawn from a fuel tank must be 
located above the normal level of fuel in the tank when the tank is 
full.
    (6) [Reserved]

[[Page 1118]]

    (7) Fill pipe. (i) Each fill pipe must be designed and constructed 
to minimize the risk of fuel spillage during fueling operations and when 
the vehicle is involved in a crash.
    (ii) The fill pipe and vents of a fuel tank having a capacity of 
more than 25 gallons of fuel must permit filling the tank with fuel at a 
rate of at least 20 gallons per minute without fuel spillage.
    (iii) Each fill pipe must be fitted with a cap that can be fastened 
securely over the opening in the fill pipe. Screw threads or a bayonet-
type joint are methods of conforming to the requirements of this 
subdivision.
    (8) Safety venting system. A liquid fuel tank with a capacity of 
more than 25 gallons of fuel must have a venting system which, in the 
event the tank is subjected to fire, will prevent internal tank pressure 
from rupturing the tank's body, seams, or bottom opening (if any).
    (9) Pressure resistance. The body and fittings of a liquid fuel tank 
with a capacity of more than 25 gallons of fuel must be capable of 
withstanding an internal hydrostatic pressure equal to 150 percent of 
the maximum internal pressure reached in the tank during the safety 
venting systems test specified in paragraph (d)(1) of this section.
    (10) Air vent. Each fuel tank must be equipped with a nonspill air 
vent (such as a ball check). The air vent may be combined with the fill-
pipe cap or safety vent, or it may be a separate unit installed on the 
fuel tank.
    (11) Markings. If the body of a fuel tank is readily visible when 
the tank is installed on the vehicle, the tank must be plainly marked 
with its liquid capacity. The tank must also be plainly marked with a 
warning against filling it to more than 95 percent of its liquid 
capacity.
    (12) Overfill restriction. A liquid fuel tank manufactured on or 
after January 1, 1973, must be designed and constructed so that--
    (i) The tank cannot be filled, in a normal filling operation, with a 
quantity of fuel that exceeds 95 percent of the tank's liquid capacity; 
and
    (ii) When the tank is filled, normal expansion of the fuel will not 
cause fuel spillage.
    (d) Liquid fuel tank tests. Each liquid fuel tank must be capable of 
passing the tests specified in paragraphs (d) (1) and (2) of this 
section. \1\
    (1) Safety venting system test--(i) Procedure. Fill the tank three-
fourths full with fuel, seal the fuel feed outlet, and invert the tank. 
When the fuel temperature is between 50 [deg]F. and 80 [deg]F., apply an 
enveloping flame to the tank so that the temperature of the fuel rises 
at a rate of not less than 6 [deg]F. and not more than 8 [deg]F. per 
minute.
    (ii) Required performance. The safety venting system required by 
paragraph (c)(8) of this section must activate before the internal 
pressure in the tank exceeds 50 pounds per square inch, gauge, and the 
internal pressure must not thereafter exceed the pressure at which the 
system activated by more than five pounds per square inch despite any 
further increase in the temperature of the fuel.
    (2) Leakage test--(i) Procedure. Fill the tank to capacity with fuel 
having a temperature between 50 [deg]F. and 80 [deg]F. With the fill-
pipe cap installed, turn the tank through an angle of 150[deg] in any 
direction about any axis from its normal position.
    (ii) Required performance. Neither the tank nor any fitting may leak 
more than a total of one ounce by weight of fuel per minute in any 
position the tank assumes during the test.
    (e) Side-mounted liquid fuel tank tests. Each side-mounted liquid 
fuel tank must be capable of passing the tests specified in paragraphs 
(e) (1) and (2) of this section and the tests specified in paragraphs 
(d) (1) and (2) of this section. \1\
---------------------------------------------------------------------------

    \1\ The specified tests are a measure of performance only. 
Manufacturers and carriers may use any alternative procedures which 
assure that their equipment meets the required performance criteria.
---------------------------------------------------------------------------

    (1) Drop test--(i) Procedure. Fill the tank with a quantity of water 
having a weight equal to the weight of the maximum fuel load of the tank 
and drop the tank 30 feet onto an unyielding surface so that it lands 
squarely on one corner.
    (ii) Required performance. Neither the tank nor any fitting may leak 
more than a total of 1 ounce by weight of water per minute.

[[Page 1119]]

    (2) Fill-pipe test--(i) Procedure. Fill the tank with a quantity of 
water having a weight equal to the weight of the maximum fuel load of 
the tank and drop the tank 10 feet onto an unyielding surface so that it 
lands squarely on its fill-pipe.
    (ii) Required performance. Neither the tank nor any fitting may leak 
more than a total of 1 ounce by weight of water per minute.
    (f) Certification and markings. Each liquid fuel tank shall be 
legibly and permanently marked by the manufacturer with the following 
minimum information:
    (1) The month and year of manufacture,
    (2) The manufacturer's name on tanks manufactured on and after July 
1, 1988, and means of identifying the facility at which the tank was 
manufactured, and
    (3) A certificate that it conforms to the rules in this section 
applicable to the tank. The certificate must be in the form set forth in 
either of the following:
    (i) If a tank conforms to all rules in this section pertaining to 
side-mounted fuel tanks: ``Meets all FMCSA side-mounted tank 
requirements.''
    (ii) If a tank conforms to all rules in this section pertaining to 
tanks which are not side-mounted fuel tanks: ``Meets all FMCSA 
requirements for non-side-mounted fuel tanks.''
    (iii) The form of certificate specified in paragraph (f)(3) (i) or 
(ii) of this section may be used on a liquid fuel tank manufactured 
before July 11, 1973, but it is not mandatory for liquid fuel tanks 
manufactured before March 7, 1989. The form of certification 
manufactured on or before March 7, 1989, must meet the requirements in 
effect at the time of manufacture.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4341, Mar. 2, 1972; 37 
FR 28753, Dec. 29, 1972; 45 FR 46424, July 10, 1980; 53 FR 49400, Dec. 
7, 1988; 59 FR 8753, Feb. 23, 1994]



Sec. 393.69  Liquefied petroleum gas systems.

    (a) A fuel system that uses liquefied petroleum gas as a fuel for 
the operation of a motor vehicle or for the operation of auxiliary 
equipment installed on, or used in connection with, a motor vehicle must 
conform to the ``Standards for the Storage and Handling of Liquefied 
Petroleum Gases'' of the National Fire Protection Association, Battery 
March Park, Quincy, MA 02269, as follows:
    (1) A fuel system installed before December 31, 1962, must conform 
to the 1951 edition of the Standards.
    (2) A fuel system installed on or after December 31, 1962, and 
before January 1, 1973, must conform to Division IV of the June 1959 
edition of the Standards.
    (3) A fuel system installed on or after January 1, 1973, and 
providing fuel for propulsion of the motor vehicle must conform to 
Division IV of the 1969 edition of the Standards.
    (4) A fuel system installed on or after January 1, 1973, and 
providing fuel for the operation of auxiliary equipment must conform to 
Division VII of the 1969 edition of the Standards.
    (b) When the rules in this section require a fuel system to conform 
to a specific edition of the Standards, the fuel system may conform to 
the applicable provisions in a later edition of the Standards specified 
in this section.
    (c) The tank of a fuel system must be marked to indicate that the 
system conforms to the Standards.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4342, Mar. 2, 1972; 41 
FR 53031, Dec. 3, 1976; 53 FR 49400, Dec. 7, 1988]



             Subpart F--Coupling Devices and Towing Methods



Sec. 393.70  Coupling devices and towing methods, except for driveaway-towaway operations.

    (a) Tracking. When two or more vehicles are operated in combination, 
the coupling devices connecting the vehicles shall be designed, 
constructed, and installed, and the vehicles shall be designed and 
constructed, so that when the combination is operated in a straight line 
on a level, smooth, paved surface, the path of the towed vehicle will 
not deviate more than 3 inches to either side of the path of the vehicle 
that tows it.
    (b) Fifth wheel assemblies--(1) Mounting--(i) Lower half. The lower 
half of a fifth wheel mounted on a truck tractor or converter dolly must 
be secured to the frame of that vehicle with properly

[[Page 1120]]

designed brackets, mounting plates or angles and properly tightened 
bolts of adequate size and grade, or devices that provide equivalent 
security. The installation shall not cause cracking, warping, or 
deformation of the frame. The installation must include a device for 
positively preventing the lower half of the fifth wheel from shifting on 
the frame to which it is attached.
    (ii) Upper half. The upper half of a fifth wheel must be fastened to 
the motor vehicle with at least the same security required for the 
installation of the lower half on a truck tractor or converter dolly.
    (2) Locking. Every fifth wheel assembly must have a locking 
mechanism. The locking mechanism, and any adapter used in conjunction 
with it, must prevent separation of the upper and lower halves of the 
fifth wheel assembly unless a positive manual release is activated. The 
release may be located so that the driver can operate it from the cab. 
If a motor vehicle has a fifth wheel designed and constructed to be 
readily separable, the fifth wheel locking devices shall apply 
automatically on coupling.
    (3) Location. The lower half of a fifth wheel shall be located so 
that, regardless of the condition of loading, the relationship between 
the kingpin and the rear axle or axles of the towing motor vehicle will 
properly distribute the gross weight of both the towed and towing 
vehicles on the axles of those vehicles, will not unduly interfere with 
the steering, braking, and other maneuvering of the towing vehicle, and 
will not otherwise contribute to unsafe operation of the vehicles 
comprising the combination. The upper half of a fifth wheel shall be 
located so that the weight of the vehicles is properly distributed on 
their axles and the combination of vehicles will operate safely during 
normal operation.
    (c) Towing of full trailers. A full trailer must be equipped with a 
tow-bar and a means of attaching the tow-bar to the towing and towed 
vehicles. The tow-bar and the means of attaching it must--
    (1) Be structurally adequate for the weight being drawn;
    (2) Be properly and securely mounted;
    (3) Provide for adequate articulation at the connection without 
excessive slack at that location; and
    (4) Be provided with a locking device that prevents accidental 
separation of the towed and towing vehicles. The mounting of the trailer 
hitch (pintle hook or equivalent mechanism) on the towing vehicle must 
include reinforcement or bracing of the frame sufficient to produce 
strength and rigidity of the frame to prevent its undue distortion.
    (d) Safety devices in case of tow-bar failure or disconnection. 
Every full trailer and every converter dolly used to convert a 
semitrailer to a full trailer must be coupled to the frame, or an 
extension of the frame, of the motor vehicle which tows it with one or 
more safety devices to prevent the towed vehicle from breaking loose in 
the event the tow-bar fails or becomes disconnected. The safety device 
must meet the following requirements:
    (1) The safety device must not be attached to the pintle hook or any 
other device on the towing vehicle to which the tow-bar is attached. 
However, if the pintle hook or other device was manufactured prior to 
July 1, 1973, the safety device may be attached to the towing vehicle at 
a place on a pintle hook forging or casting if that place is independent 
of the pintle hook.
    (2) The safety device must have no more slack than is necessary to 
permit the vehicles to be turned properly.
    (3) The safety device, and the means of attaching it to the 
vehicles, must have an ultimate strength of not less than the gross 
weight of the vehicle or vehicles being towed.
    (4) The safety device must be connected to the towed and towing 
vehicles and to the tow-bar in a manner which prevents the tow-bar from 
dropping to the ground in the event it fails or becomes disconnected.
    (5) Except as provided in paragraph (d)(6) of this section, if the 
safety device consists of safety chains or cables, the towed vehicle 
must be equipped with either two safety chains or cables or with a 
bridle arrangement of a single chain or cable attached to its frame or 
axle at two points as far apart as the configuration of the frame or 
axle permits. The safety chains or cables shall be either two separate 
pieces, each

[[Page 1121]]

equipped with a hook or other means for attachment to the towing 
vehicle, or a single piece leading along each side of the tow-bar from 
the two points of attachment on the towed vehicle and arranged into a 
bridle with a single means of attachment to be connected to the towing 
vehicle. When a single length of cable is used, a thimble and twin-base 
cable clamps shall be used to form the forward bridle eye. The hook or 
other means of attachment to the towing vehicle shall be secured to the 
chains or cables in a fixed position.
    (6) If the towed vehicle is a converter dolly with a solid tongue 
and without a hinged tow-bar or other swivel between the fifth wheel 
mounting and the attachment point of the tongue eye or other hitch 
device--
    (i) Safety chains or cables, when used as the safety device for that 
vehicle, may consist of either two chains or cables or a single chain or 
cable used alone;
    (ii) A single safety device, including a single chain or cable used 
alone as the safety device, must be in line with the centerline of the 
trailer tongue; and
    (iii) The device may be attached to the converter dolly at any point 
to the rear of the attachment point of the tongue eye or other hitch 
device.
    (7) Safety devices other than safety chains or cables must provide 
strength, security of attachment, and directional stability equal to, or 
greater than, safety chains or cables installed in accordance with 
paragraphs (d) (5) and (6) of this section.
    (8) When two safety devices, including two safety chains or cables, 
are used and are attached to the towing vehicle at separate points, the 
points of attachment on the towing vehicle shall be located equally 
distant from, and on opposite sides of, the centerline of the towing 
vehicle. Where two chains or cables are attached to the same point on 
the towing vehicle, and where a bridle or a single chain or cable is 
used, the point of attachment must be on the longitudinal centerline of 
the towing vehicle. A single safety device, other than a chain or cable, 
must also be attached to the towing vehicle at a point on its 
longitudinal centerline.

[37 FR 21439, Oct. 11, 1972]



Sec. 393.71  Coupling devices and towing methods, driveaway-towaway operations.

    (a) Number in combination. (1) No more than three saddle-mounts may 
be used in any combination.
    (2) No more than one tow-bar may be used in any combination.
    (3) When motor vehicles are towed by means of triple saddle-mounts, 
the towed vehicles shall have brakes acting on all wheels which are in 
contact with the roadway.
    (b) Carrying vehicles on towing vehicle. (1) When adequately and 
securely attached by means equivalent in security to that provided in 
paragraph (j)(2) of this section, a motor vehicle or motor vehicles may 
be full-mounted on the structure of a towing vehicle engaged in any 
driveaway-towaway operation.
    (2) No motor vehicle or motor vehicles may be full-mounted on a 
towing vehicle unless the relationship of such full-mounted vehicles to 
the rear axle or axles results in proper distribution of the total gross 
weight of the vehicles and does not unduly interfere with the steering, 
braking, or maneuvering of the towing vehicle, or otherwise contribute 
to the unsafe operation of the vehicles comprising the combination.
    (c) Carrying vehicles on towed vehicles. (1) When adequately and 
securely attached by means equivalent in security to that provided in 
paragraph (j)(2) of this section, a motor vehicle or motor vehicles may 
be full-mounted on the structure of towed vehicles engaged in any 
driveaway-towaway operation.
    (2) No motor vehicle shall be full-mounted on a motor vehicle towed 
by means of a tow-bar unless the towed vehicle is equipped with brakes 
and is provided with means for effective application of brakes acting on 
all wheels and is towed on its own wheels.
    (3) No motor vehicle or motor vehicles shall be full-mounted on a 
motor vehicle towed by means of a saddle-mount unless the center line of 
the kingpin or equivalent means of attachment of such towed vehicle 
shall be so located on the towing vehicle that the relationship to the 
rear axle or axles results in proper distribution of the total gross 
weight of the vehicles and does not unduly interfere with the steering, 
braking, or maneuvering of

[[Page 1122]]

the towing vehicle or otherwise contribute to the unsafe operation of 
vehicles comprising the combination; and unless a perpendicular to the 
ground from the center of gravity of the full-mounted vehicles lies 
forward of the center line of the rear axle of the saddle-mounted 
vehicle.
    (4) If a motor vehicle towed by means of a double saddle-mount has 
any vehicle full-mounted on it, such saddle-mounted vehicle shall at all 
times while so loaded have effective brakes acting on those wheels which 
are in contact with the roadway.
    (d) Bumper tow-bars on heavy vehicles prohibited. Tow-bars of the 
type which depend upon the bumpers as a means of transmitting forces 
between the vehicles shall not be used to tow a motor vehicle weighing 
more than 5,000 pounds.
    (e) Front wheels of saddle-mounted vehicles restrained. A motor 
vehicle towed by means of a saddle-mount shall have the motion of the 
front wheels restrained if under any condition of turning of such wheels 
they will project beyond the widest part of either the towed or towing 
vehicle.
    (f) Vehicles to be towed in forward position. Unless the steering 
mechanism is adequately locked in a straight-forward position, all motor 
vehicles towed by means of a saddle-mount shall be towed with the front 
end mounted on the towing vehicle.
    (g) Means required for towing. (1) No motor vehicle or motor 
vehicles shall be towed in driveaway-towaway operations by means other 
than tow-bar or saddle-mount connections which shall meet the 
requirements of this section.
    (2) For the purpose of the regulations of this part:
    (i) Coupling devices such as those used for towing house trailers 
and employing ball and socket connections shall be considered as tow-
bars.
    (ii) Motor vehicles or parts of motor vehicles adequately, securely, 
and rigidly attached by devices meeting the requirements of paragraph 
(n) of this section shall be considered as one vehicle in any position 
in any combination.
    (h) Requirements for tow-bars. Tow-bars shall comply with the 
following requirements:
    (1) Tow-bars, structural adequacy and mounting. Every tow-bar shall 
be structurally adequate and properly installed and maintained. To 
insure that it is structurally adequate, it must, at least, meet the 
requirements of the following table:

------------------------------------------------------------------------
                                    Longitudinal strength in tension and
                                               compression \2\
                                   -------------------------------------
                                                 New tow-
                                                   bars      Strength as
   Gross weight of towed vehicle                 acquired    a beam (in
           (pounds) \1\                          and used        any
                                     All tow-   by a motor    direction
                                       bars       carrier   concentrated
                                                   after       load at
                                                 Sept. 30,   center) 2,3
                                                   1948
------------------------------------------------------------------------
                                                   Pounds
 
                                   -------------
Less than 5,000...................       3,000       6,500        3,000
5,000 and over....................  ..........  ..........  ............
Less than 10,000..................       6,000      (\1\ )       (\1\ )
10,000 and over...................  ..........  ..........  ............
Less than 15,000..................       9,000      (\1\ )       (\1\ )
------------------------------------------------------------------------
\1\ The required strength of tow-bars for towed vehicles of 15,000
  pounds and over gross weight and of new tow-bars acquired and used
  after Sept. 30, 1948, for towed vehicles of 5,000 pounds and over
  gross weight shall be computed by means of the following formulae:
  Longitudinal strength=gross weight of towed vehicle x 1.3. Strength as
  a beam=gross weight of towed vehicle x 0.6.
\2\ In testing, the whole unit shall be tested with all clamps, joints,
  and pins so mounted and fastened as to approximate conditions of
  actual operation.
\3\ This test shall be applicable only to tow-bars which are, in normal
  operation, subjected to a bending movement such as tow-bars for house
  trailers.

    (2) Tow-bars, jointed. The tow-bar shall be so constructed as to 
freely permit motion in both horizontal and vertical planes between the 
towed and towing vehicles. The means used to provide the motion shall be 
such as to prohibit the transmission of stresses under normal operation 
between the towed and towing vehicles, except along the longitudinal 
axis of the tongue or tongues.
    (3) Tow-bar fastenings. The means used to transmit the stresses to 
the chassis or frames of the towed and towing vehicles may be either 
temporary structures or bumpers or other integral parts of the vehicles: 
Provided, however, That the means used shall be so constructed, 
installed, and maintained that when tested as an assembly, failure in 
such members shall not occur when the weakest new tow-bar which is 
permissible under paragraph (h)(1) of this section is subjected to the 
tests given therein.
    (4) Means of adjusting length. On tow-bars, adjustable as to length, 
the means used to make such adjustment

[[Page 1123]]

shall fit tightly and not result in any slackness or permit the tow-bar 
to bend. With the tow-bar supported rigidly at both ends and with a load 
of 50 pounds at the center, the sag, measured at the center, in any 
direction shall not exceed 0.25 inch under any condition of adjustment 
as to length.
    (5) Method of clamping. Adequate means shall be provided for 
securely fastening the tow-bar to the towed and towing vehicles.
    (6) Tow-bar connection to steering mechanism. The tow-bar shall be 
provided with suitable means of attachment to and actuation of the 
steering mechanism, if any, of the towed vehicle. The attachment shall 
provide for sufficient angularity of movement of the front wheels of the 
towed vehicle so that it may follow substantially in the path of the 
towing vehicle without cramping the tow-bar. The tow-bar shall be 
provided with suitable joints to permit such movement.
    (7) Tracking. The tow-bar shall be so designed, constructed, 
maintained, and mounted as to cause the towed vehicle to follow 
substantially in the path of the towing vehicle. Tow-bars of such design 
on in our condition as to permit the towed vehicle to deviate more than 
3 inches to either side of the path of a towing vehicle moving in a 
straight line as measured from the center of the towing vehicle are 
prohibited.
    (8) Passenger car-trailer type couplings. Trailer couplings used for 
driveaway-towaway operations of passenger car trailers shall conform to 
Society of Automotive Engineers Standard No. J684c, ``Trailer Couplings 
and Hitches--Automotive Type,'' July 1970. \1\
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

    (9) Marking tow-bars. Every tow-bar acquired and used in driveaway-
towaway operations by a motor carrier shall be plainly marked with the 
following certification of the manufacturer thereof (or words of 
equivalent meaning):

    This tow-bar complies with the requirements of the Federal Motor 
Carrier Safety Administration for (maximum gross weight for which tow-
bar is manufactured) vehicles.
Allowable Maximum Gross Weight__________________________________________
Manufactured____________________________________________________________
 (month and year)
by______________________________________________________________________
 (name of manufacturer)


Tow-bar certification manufactured before the effective date of this 
regulation must meet requirements in effect at the time of manufacture.
    (10) Safety devices in case of tow-bar failure or disconnection. (i) 
The towed vehicle shall be connected to the towing vehicle by a safety 
device to prevent the towed vehicle from breaking loose in the event the 
tow-bar fails or becomes disconnected. When safety chains or cables are 
used as the safety device for that vehicle, at least two safety chains 
or cables meeting the requirements of paragraph (h)(10)(ii) of this 
section shall be used. The tensile strength of the safety device and the 
means of attachment to the vehicles shall be at least equivalent to the 
corresponding longitudinal strength for tow-bars required in the table 
of paragraph (h)(1) of this section. If safety chains or cables are used 
as the safety device, the required strength shall be the combined 
strength of the combination of chains and cables.
    (ii) If chains or cables are used as the safety device, they shall 
be crossed and attached to the vehicles near the points of bumper 
attachments to the chassis of the vehicles. The length of chain used 
shall be no more than necessary to permit free turning of the vehicles. 
The chains shall be attached to the tow-bar at the point of crossing or 
as close to that point as is practicable.
    (iii) A safety device other than safety chains or cables must 
provide strength, security of attachment, and directional stability 
equal to, or greater than, that provided by safety chains or cables 
installed in accordance with paragraph (h)(10)(ii) of this section. A 
safety device other than safety chains or cables must be designed, 
constructed, and installed so that, if the tow-bar fails or becomes 
disconnected, the tow-bar will not drop to the ground.
    (i) [Reserved]
    (j) Requirements for upper-half of saddle-mounts. The upper-half of 
any saddle-mount shall comply with the following requirements:
    (1) Upper-half connection to towed vehicle. The upper-half shall be 
securely attached to the frame or axle of the towed vehicle by means of 
U-bolts or

[[Page 1124]]

other means providing at least equivalent security.
    (2) U-bolts or other attachments. U-bolts used to attach the upper 
half to the towed vehicle shall be made of steel rod, free of defects, 
so shaped as to avoid at any point a radius of less than 1 inch: 
Provided, however, That a lesser radius may be utilized if the U-bolt is 
so fabricated as not to cause more than 5 percent reduction in cross-
sectional area at points of curvature, in which latter event the minimum 
radius shall be one-sixteenth inch. U-bolts shall have a diameter not 
less than required by the following table:

                      Diameter of U-Bolts in Inches
------------------------------------------------------------------------
                                        Double or triple saddle-mount
                                   -------------------------------------
Weight in pounds of heaviest towed            Middle
              vehicle                Front      or      Rear     Single
                                     mount    front    mount    saddle-
                                              mount            mount \1\
------------------------------------------------------------------------
Up to 5,000.......................    0.625   0.5625    0.500     0.500
5,000 and over....................   0.6875    0.625   0.5625    0.5625
------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern. If
  other devices are used to accomplish the same purposes as U-bolts they
  shall have at least equivalent strength of U-bolts made of mild steel.
  Cast iron shall not be used for clamps or any other holding devices.

    (3) U-bolts and points of support, location. The distance between 
the most widely separated U-bolts shall not be less than 9 inches. The 
distance between the widely separated points where the upper-half 
supports the towed vehicle shall not be less than 9 inches, except that 
saddle-mounts employing ball and socket joints shall employ a device 
which clamps the axle of the towed vehicle throughout a length of not 
less than 5 inches.
    (4) Cradle-type upper-halves, specifications. Upper-halves of the 
cradle-type using vertical members to restrain the towed vehicle from 
relative movement in the direction of motion of the vehicles shall be 
substantially constructed and adequate for the purpose. Such cradle-
mounts shall be equipped with at least one bolt or equivalent means to 
provide against relative vertical movement between the upper-half and 
the towed vehicle. Bolts, if used, shall be at least one-half inch in 
diameter. Devices using equivalent means shall have at least equivalent 
strength. The means used to provide against relative vertical motion 
between the upper-half and the towed vehicle shall be such as not to 
permit a relative motion of over one-half inch. The distance between the 
most widely separated points of support between the upper-half and the 
towed vehicle shall be at least 9 inches.
    (5) Lateral movement of towed vehicle. (i) Towed vehicles having a 
straight axle or an axle having a drop of less than 3 inches, unless the 
saddle-mount is constructed in accordance with paragraph (m)(2) of this 
section, shall be securely fastened by means of chains or cables to the 
upper-half so as to insure against relative lateral motion between the 
towed vehicle and the upper-half. The chains or cables shall be at least 
\3/16\-inch diameter and secured by bolts of at least equal diameter.
    (ii) Towed vehicles with an axle with a drop of 3 inches or more, or 
connected by a saddle-mount constructed in accordance with paragraph 
(m)(2) of this section, need not be restrained by chains or cables 
provided that the upper-half is so designed as to provide against such 
relative motion.
    (iii) Chains or cables shall not be required if the upper-half is so 
designed as positively to provide against lateral movement of the axle.
    (k) Requirements for lower half of saddle-mounts. The lower half of 
any saddle-mount shall comply with the following requirements:
    (1) U-bolts or other attachments. U-bolts used to attach the lower 
half to the towing vehicle shall be made of steel rod, free of defects, 
so shaped as to avoid at any point a radius of less than 1 inch: 
Provided, however, That a lesser radius may be utilized if the U-bolt is 
so fabricated as not to cause more than 5 percent reduction in cross-
sectional area at points of curvature, in which latter event the minimum 
radius shall be one-sixteenth inch. U-bolts shall have a total cross-
sectional area not less than as required by the following table:

         Total Cross-Sectional Area of U-Bolts in Square Inches
------------------------------------------------------------------------
                                        Double or triple saddle-mount
                                   -------------------------------------
Weight in pounds of heaviest towed            Middle
              vehicle                Front      or      Rear     Single
                                     mount    front    mount    saddle-
                                              mount            mount \1\
------------------------------------------------------------------------
Up to 5,000.......................      1.2      1.0      0.8       0.8

[[Page 1125]]

 
5,000 and over....................      1.4      1.2      1.0       1.0
------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern. If
  other devices are used to accomplish the same purposes as U-bolts they
  shall have at least equivalent strength of U-bolts made of mild steel.
  Cast iron shall not be used for clamps or any other holding devices.

    (2) Shifting. Adequate provision shall be made by design and 
installation to provide against relative movement between the lower-half 
and the towing vehicle especially during periods of rapid acceleration 
and deceleration. To insure against shifting, designs of the tripod type 
shall be equipped with adequate and securely fastened hold-back chains 
or similar devices.
    (3) Swaying. (i) Adequate provision shall be made by design and 
installation to provide against swaying or lateral movement of the towed 
vehicle relative to the towing vehicle. To insure against swaying, 
lower-halves designed with cross-members attached to but separable from 
vertical members shall have such cross-members fastened to the vertical 
members by at least two bolts on each side. Such bolts shall be of at 
least equivalent cross-sectional area as those required for U-bolts for 
the corresponding saddle-mount as given in the table in paragraph (k)(1) 
of this section. The minimum distance between the most widely separated 
points of support of the cross-member by the vertical member shall be 
three inches as measured in a direction parallel to the longitudinal 
axis of the towing vehicle.
    (ii) The lower-half shall have a bearing surface on the frame of the 
towing vehicle of such dimensions that the pressure exerted by the 
lower-half upon the frame of the towing vehicle shall not exceed 200 
pounds per square inch under any conditions of static loading. Hardwood 
blocks or blocks of other suitable material, such as hard rubber, 
aluminum or brakelining, if used between the lower half and the frame of 
the towing vehicle shall be at least \1/2\ inch thick, 3 inches wide, 
and a combined length of 6 inches.
    (iii) Under no condition shall the highest point of support of the 
towed vehicle by the upper-half be more than 24 inches, measured 
vertically, above the top of the frame of the towing vehicle, measured 
at the point where the lower-half rests on the towing vehicle.
    (4) Wood blocks. (i) Hardwood blocks of good quality may be used to 
build up the height of the front end of the towed vehicle, provided that 
the total height of such wood blocks shall not exceed 8 inches and not 
over two separate pieces are placed upon each other to obtain such 
height; however, hardwood blocks, not over 4 in number, to a total 
height not to exceed 14 inches, may be used if the total cross-sectional 
area of the U-bolts used to attach the lower-half of the towing vehicle 
is at least 50 percent greater than that required by the table contained 
in paragraph (k)(1) of this section, or, if other devices are used in 
lieu of U-bolts, they shall provide for as great a resistance to bending 
as is provided by the larger U-bolts above prescribed.
    (ii) Hardwood blocks must be at least 4 inches in width and the 
surfaces between blocks or block and lower-half or block and upper-half 
shall be planed and so installed and maintained as to minimize any 
tendency of the towed vehicle to sway or rock.
    (5) Cross-member, general requirements. The cross-member, which is 
that part of the lower-half used to distribute the weight of the towed 
vehicle equally to each member of the frame of the towing vehicle, if 
used, shall be structurally adequate and properly installed and 
maintained adequately to perform this function.
    (6) Cross-member, use of wood. No materials, other than suitable 
metals, shall be used as the cross-member, and wood may not be used 
structurally in any manner that will result in its being subject to 
tensile stresses. Wood may be used in cross-members if supported 
throughout its length by suitable metal cross-members.
    (7) Lower half strength. The lower half shall be capable of 
supporting the loads given in the following table. For the purpose of 
test, the saddle-mount shall be mounted as normally operated and the 
load applied through the upper half:

[[Page 1126]]



                       Minimum Test Load in Pounds
------------------------------------------------------------------------
                                        Double or triple saddle-mount
                                   -------------------------------------
Weight in pounds of heaviest towed            Middle
              vehicle                Front      or      Rear     Single
                                     mount    front    mount    saddle-
                                              mount            mount \1\
------------------------------------------------------------------------
Up to 5,000.......................   15,000   10,000    5,000     5,000
5,000 and over....................   30,000   20,000   10,000    10,000
------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern.

    (l) Requirements for kingpins of saddle-mounts. The kingpin of any 
saddle-mount shall comply with the following requirements:
    (1) Kingpin size. (i) Kingpins shall be constructed of steel 
suitable for the purpose, free of defects, and having a diameter not 
less than required by the following table:

                                       Diameter of Solid Kingpin in Inches
----------------------------------------------------------------------------------------------------------------
                                                            Double or triple saddle-mount
                                   -----------------------------------------------------------------------------
                                        Front mount       Middle or front       Rear mount       Single saddle-
Weight in pounds of heaviest towed --------------------        mount       --------------------     mount \1\
              vehicle                                  --------------------                    -----------------
                                      Mild   H.T.S.\2\    Mild                Mild   H.T.S.\2\    Mild
                                     steel               steel   H.T.S.\2\   steel               steel    H.T.S.
----------------------------------------------------------------------------------------------------------------
Up to 5,000.......................    1.125     1.000     1.000     0.875     0.875     0.750     0.875    0.750
5,000 and over....................    1.500     1.125     1.250     1.000     1.000     0.875     1.000    0.875
----------------------------------------------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern.
\2\ High-tensile steel is steel having a minimum ultimate strength of 65,000 pounds per square inch.

    (ii) If a ball and socket joint is used in place of a kingpin, the 
diameter of the neck of the ball shall be at least equal to the diameter 
of the corresponding solid kingpin given in the above table. If hollow 
kingpins are used, the metallic cross-sectional area shall be at least 
equal to the cross-sectional area of the corresponding solid kingpin.
    (2) Kingpin fit. If a kingpin bushing is not used, the king-pin 
shall fit snugly into the upper and lower-halves but shall not bind. 
Those portions of the upper or lower-halves in moving contact with the 
kingpin shall be smoothly machined with no rough or sharp edges. The 
bearing surface thus provided shall not be less in depth than the radius 
of the kingpin.
    (3) Kingpin bushing on saddle-mounts. The kingpin of all new saddle-
mounts acquired and used shall be snugly enclosed in a bushing at least 
along such length of the kingpin as may be in moving contact with either 
the upper or lower-halves. The bearing surface thus provided shall not 
be less in depth than the radius of the kingpin.
    (4) Kingpin to restrain vertical motion. The kingpin shall be so 
designed and installed as to restrain the upper-half from moving in a 
vertical direction relative to the lower-half.
    (m) Additional requirements for saddle-mounts. Saddle-mounts shall 
comply with the following requirements:
    (1) Bearing surface between upper and lower-halves. The upper and 
lower-halves shall be so constructed and connected that the bearing 
surface between the two halves shall not be less than 16 square inches 
under any conditions of angularity between the towing and towed 
vehicles: Provided, however, That saddle-mounts using a ball and socket 
joint shall have a ball of such dimension that the static bearing load 
shall not exceed 800 pounds per square inch, based on the projected 
cross-sectional area of the ball: And further provided, That saddle-
mounts having the upper-half supported by ball, taper, or roller-
bearings shall not have such bearings loaded beyond the limits 
prescribed for such bearings by the manufacturer thereof. The upper-half 
shall rest evenly and smoothly upon the lower-half and the contact 
surfaces shall be lubricated and maintained so that there shall be a 
minimum of frictional resistance between the parts.
    (2) Saddle-mounts, angularity. All saddle-mounts acquired and used 
shall provide for angularity between the towing and towed vehicles due 
to vertical curvatures of the highway. Such means shall not depend upon 
either the looseness or deformation of the parts of either the saddle-
mount or

[[Page 1127]]

the vehicles to provide for such angularity.
    (3) Tracking. The saddle-mount shall be so designed, constructed, 
maintained, and installed that the towed vehicle or vehicles will follow 
substantially in the path of the towing vehicle without swerving. Towed 
vehicles shall not deviate more than 3 inches to either side of the path 
of the towing vehicle when moving in a straight line.
    (4) Prevention of frame bending. Where necessary, provision shall be 
made to prevent the bending of the frame of the towing vehicle by 
insertion of suitable blocks inside the frame channel to prevent 
kinking. The saddle-mount shall not be so located as to cause 
deformation of the frame by reason of cantilever action.
    (5) Extension of frame. No saddle-mount shall be located at a point 
to the rear of the frame of a towing vehicle.
    (6) Nuts, secured. All nuts used on bolts, U-bolts, king-pins, or in 
any other part of the saddle-mount shall be secured against accidental 
disconnection by means of cotter-keys, lock-washers, double nuts, safety 
nuts, or equivalent means. Parts shall be so designed and installed that 
nuts shall be fully engaged.
    (7) Inspection of all parts. The saddle-mount shall be so designed 
that it may be disassembled and each separate part inspected for worn, 
bent, cracked, broken, or missing parts.
    (8) Saddle-mounts, marking. Every new saddle-mount acquired and used 
in driveaway-towaway operations by a motor carrier shall have the upper-
half and the lower-half separately marked with the following 
certification of the manufacturer thereof (or words of equivalent 
meaning).

    This saddle-mount complies with the requirements of the Federal 
Motor Carrier Safety Administration for vehicles up to 5,000 pounds (or 
over 5,000 pounds):

Manufactured____________________________________________________________
                                                        (Month and year)
by______________________________________________________________________
                                                  (Name of manufacturer)

    (n) Requirements for devices used to connect motor vehicles or parts 
of motor vehicles together to form one vehicle--(1) Front axle 
attachment. The front axle of one motor vehicle intended to be coupled 
with another vehicle as defined in paragraph (g)(2)(ii) of this section 
shall be attached with U-bolts meeting the requirements of paragraph 
(j)(2) of this section.
    (2) Rear axle attachment. The rear axle of one vehicle shall be 
coupled to the frame of the other vehicle by means of a connecting 
device which when in place forms a rectangle. The device shall be 
composed of two pieces, top and bottom. The device shall be made of 4-
inch by \1/2\-inch steel bar bent to shape and shall have the corners 
reinforced with a plate at least 3 inches by \1/2\ inch by 8 inches 
long. The device shall be bolted together with \3/4\-inch bolts and at 
least three shall be used on each side. Wood may be used as spacers to 
keep the frames apart and it shall be at least 4 inches square.

(Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; section 6 of the Department 
of Transportation Act, 49 U.S.C. 1655, and the delegations of authority 
at 49 CFR 1.48 and 389.4)

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 10907, July 7, 1970; 37 
FR 21440, Oct. 11, 1972; 53 FR 49400, Dec. 7, 1988]



             Subpart G--Miscellaneous Parts and Accessories



Sec. 393.75  Tires.

    (a) No motor vehicle shall be operated on any tire that (1) has body 
ply or belt material exposed through the tread or sidewall, (2) has any 
tread or sidewall separation, (3) is flat or has an audible leak, or (4) 
has a cut to the extent that the ply or belt material is exposed.
    (b) Any tire on the front wheels of a bus, truck, or truck tractor 
shall have a tread groove pattern depth of at least \4/32\ of an inch 
when measured at any point on a major tread groove. The measurements 
shall not be made where tie bars, humps, or fillets are located.
    (c) Except as provided in paragraph (b) of this section, tires shall 
have a tread groove pattern depth of at least \2/32\ of an inch when 
measured in a major tread groove. The measurement shall not be made 
where tie bars, humps or fillets are located.
    (d) No bus shall be operated with regrooved, recapped or retreaded 
tires on the front wheels.

[[Page 1128]]

    (e) No truck or truck tractor shall be operated with regrooved tires 
on the front wheels which have a load carrying capacity equal to or 
greater than that of 8.25-20 8 ply-rating tires.
    (f) Tire loading restrictions (except on manufactured homes). No 
motor vehicle (except manufactured homes, which are governed by 
paragraph (g) of this section) shall be operated with tires that carry a 
weight greater than that marked on the sidewall of the tire or, in the 
absence of such a marking, a weight greater than that specified for the 
tires in any of the publications of any of the organizations listed in 
Federal Motor Vehicle Safety Standard No. 119 (49 CFR 571.119, S5.1(b)) 
unless:
    (1) The vehicle is being operated under the terms of a special 
permit issued by the State; and
    (2) The vehicle is being operated at a reduced speed to compensate 
for the tire loading in excess of the manufacturer's rated capacity for 
the tire. In no case shall the speed exceed 80 km/hr (50 mph).
    (g)(1) Tire loading restrictions for manufactured homes built before 
January 1, 2002. Manufactured homes that are labeled pursuant to 24 CFR 
3282.362(c)(2)(i) before January 1, 2002, must not be transported on 
tires that are loaded more than 18 percent over the load rating marked 
on the sidewall of the tire or, in the absence of such a marking, more 
than 18 percent over the load rating specified in any of the 
publications of any of the organizations listed in FMVSS No. 119 (49 CFR 
571.119, S5.1(b)). Manufactured homes labeled before January 1, 2002, 
transported on tires overloaded by 9 percent or more must not be 
operated at speeds exceeding 80 km/hr (50 mph).
    (2) Tire loading restrictions for manufactured homes built on or 
after January 1, 2002. Manufactured homes that are labeled pursuant to 
24 CFR 3282.362(c)(2)(i) on or after January 1, 2002, must not be 
transported on tires loaded beyond the load rating marked on the 
sidewall of the tire or, in the absence of such a marking, the load 
rating specified in any of the publications of any of the organizations 
listed in FMVSS No. 119 (49 CFR 571.119, S5.1(b)).
    (h) Tire inflation pressure. (1) No motor vehicle shall be operated 
on a tire which has a cold inflation pressure less than that specified 
for the load being carried.
    (2) If the inflation pressure of the tire has been increased by heat 
because of the recent operation of the vehicle, the cold inflation 
pressure shall be estimated by subtracting the inflation buildup factor 
shown in Table 1 from the measured inflation pressure.

       Table 1--Inflation Pressure Measurement Correction for Heat
------------------------------------------------------------------------
                                    Minimum inflation pressure buildup
                                 ---------------------------------------
Average speed of vehicle  in the   Tires with 1,814
          previous hour             kg (4,000 lbs.)     Tires with over
                                     maximum load       1,814 kg (4,000
                                    rating or less     lbs.) load rating
------------------------------------------------------------------------
66-88.5 km/hr (41-55 mph).......  34.5 kPa (5 psi)..  103.4 kPa (15
                                                       psi).
------------------------------------------------------------------------


[34 FR 9344, June 13, 1969, as amended at 40 FR 44557, Sept. 29, 1975; 
41 FR 36657, Aug. 31, 1976; 44 FR 25455, May 1, 1979; 44 FR 47938, Aug. 
16, 1979; 53 FR 18057, May 19, 1988; 53 FR 49401, Dec. 7, 1988; 63 FR 
8339, Feb. 18, 1998; 65 FR 70220, Nov. 21, 2000; 66 FR 67694, Dec. 31, 
2001]



Sec. 393.76  Sleeper berths.

    (a) Dimensions--(1) Size. A sleeper berth must be at least the 
following size:

------------------------------------------------------------------------
                                                   Width
                                     Length      measured      Height
                                   measured on      on        measured
  Date of installation on motor    centerline   centerline  from highest
             vehicle                   of           of      point of top
                                  longitudinal  transverse   of mattress
                                      axis         axis     (inches) \1\
                                    (inches)     (inches)
------------------------------------------------------------------------
Before January 1, 1953..........           72           18           18
After December 31, 1952, and               75           21           21
 before October 1, 1975.........
After September 30, 1975........           75           24           24
------------------------------------------------------------------------
\1\ In the case of a sleeper berth which utilizes an adjustable
  mechanical suspension system, the required clearance can be measured
  when the suspension system is adjusted to the height to which it would
  settle when occupied by a driver.

    (2) Shape. A sleeper berth installed on a motor vehicle on or after 
January 1, 1953 must be of generally rectangular shape, except that the 
horizontal corners and the roof corners may be rounded to radii not 
exceeding 10\1/2\ inches.
    (3) Access. A sleeper berth must be constructed so that an 
occupant's ready entrance to, and exit from, the sleeper berth is not 
unduly hindered.

[[Page 1129]]

    (b) Location. (1) A sleeper berth must not be installed in or on a 
semitrailer or a full trailer other than a house trailer.
    (2) A sleeper berth located within the cargo space of a motor 
vehicle must be securely compartmentalized from the remainder of the 
cargo space. A sleeper berth installed on or after January 1, 1953 must 
be located in the cab or immediately adjacent to the cab and must be 
securely fixed with relation to the cab.
    (c) Exit from the berth. (1) Except as provided in paragraph (c)(2) 
of this section, there must be a direct and ready means of exit from a 
sleeper berth into the driver's seat or compartment. If the sleeper 
berth was installed on or after January 1, 1963, the exit must be a 
doorway or opening at least 18 inches high and 36 inches wide. If the 
sleeper berth was installed before January 1, 1963, the exit must have 
sufficient area to contain an ellipse having a major axis of 24 inches 
and a minor axis of 16 inches.
    (2) A sleeper berth installed before January 1, 1953 must either:
    (i) Conform to the requirements of paragraph (c)(1) of this section; 
or
    (ii) Have at least two exits, each of which is at least 18 inches 
high and 21 inches wide, located at opposite ends of the vehicle and 
useable by the occupant without the assistance of any other person.
    (d) Communication with the driver. A sleeper berth which is not 
located within the driver's compartment and has no direct entrance into 
the driver's compartment must be equipped with a means of communication 
between the occupant and the driver. The means of communication may 
consist of a telephone, speaker tube, buzzer, pull cord, or other 
mechanical or electrical device.
    (e) Equipment. A sleeper berth must be properly equipped for 
sleeping. Its equipment must include:
    (1) Adequate bedclothing and blankets; and
    (2) Either:
    (i) Springs and a mattress; or
    (ii) An innerspring mattress; or
    (iii) A cellular rubber or flexible foam mattress at least four 
inches thick; or
    (iv) A mattress filled with a fluid and of sufficient thickness when 
filled to prevent ``bottoming-out'' when occupied while the vehicle is 
in motion.
    (f) Ventilation. A sleeper berth must have louvers or other means of 
providing adequate ventilation. A sleeper berth must be reasonably tight 
against dust and rain.
    (g) Protection against exhaust and fuel leaks and exhaust heat. A 
sleeper berth must be located so that leaks in the vehicle's exhaust 
system or fuel system do not permit fuel, fuel system gases, or exhaust 
gases to enter the sleeper berth. A sleeper berth must be located so 
that it will not be overheated or damaged by reason of its proximity to 
the vehicle's exhaust system.
    (h) Occupant restraint. A motor vehicle manufactured on or after 
July 1, 1971, and equipped with a sleeper berth must be equipped with a 
means of preventing ejection of the occupant of the sleeper berth during 
deceleration of the vehicle. The restraint system must be designed, 
installed, and maintained to withstand a minimum total force of 6,000 
pounds applied toward the front of the vehicle and parallel to the 
longitudinal axis of the vehicle.

[39 FR 14711, Apr. 26, 1974; 39 FR 17233, May 14, 1974, as amended at 53 
FR 49401, Dec. 7, 1988]



Sec. 393.77  Heaters.

    On every motor vehicle, every heater shall comply with the following 
requirements:
    (a) Prohibited types of heaters. The installation or use of the 
following types of heaters is prohibited:
    (1) Exhaust heaters. Any type of exhaust heater in which the engine 
exhaust gases are conducted into or through any space occupied by 
persons or any heater which conducts engine compartment air into any 
such space.
    (2) Unenclosed flame heaters. Any type of heater employing a flame 
which is not fully enclosed, except that such heaters are not prohibited 
when used for heating the cargo of tank motor vehicles.
    (3) Heaters permitting fuel leakage. Any type of heater from the 
burner of which there could be spillage or leakage of fuel upon the 
tilting or overturning of the vehicle in which it is mounted.

[[Page 1130]]

    (4) Heaters permitting air contamination. Any heater taking air, 
heated or to be heated, from the engine compartment or from direct 
contact with any portion of the exhaust system; or any heater taking air 
in ducts from the outside atmosphere to be conveyed through the engine 
compartment, unless said ducts are so constructed and installed as to 
prevent contamination of the air so conveyed by exhaust or engine 
compartment gases.
    (5) Solid fuel heaters except wood charcoal. Any stove or other 
heater employing solid fuel except wood charcoal.
    (6) Portable heaters. Portable heaters shall not be used in any 
space occupied by persons except the cargo space of motor vehicles which 
are being loaded or unloaded.
    (b) Heater specifications. All heaters shall comply with the 
following specifications:
    (1) Heating elements, protection. Every heater shall be so located 
or protected as to prevent contact therewith by occupants, unless the 
surface temperature of the protecting grilles or of any exposed portions 
of the heaters, inclusive of exhaust stacks, pipes, or conduits shall be 
lower than would cause contact burns. Adequate protection shall be 
afforded against igniting parts of the vehicle or burning occupants by 
direct radiation. Wood charcoal heaters shall be enclosed within a metal 
barrel, drum, or similar protective enclosure which enclosure shall be 
provided with a securely fastened cover.
    (2) Moving parts, guards. Effective guards shall be provided for the 
protection of passengers or occupants against injury by fans, belts, or 
any other moving parts.
    (3) Heaters, secured. Every heater and every heater enclosure shall 
be securely fastened to the vehicle in a substantial manner so as to 
provide against relative motion within the vehicle during normal usage 
or in the event the vehicle overturns. Every heater shall be so 
designed, constructed, and mounted as to minimize the likelihood of 
disassembly of any of its parts, including exhaust stacks, pipes, or 
conduits, upon overturn of the vehicle in or on which it is mounted. 
Wood charcoal heaters shall be secured against relative motion within 
the enclosure required by paragraph (c)(1) of this section, and the 
enclosure shall be securely fastened to the motor vehicle.
    (4) Relative motion between fuel tank and heater. When either in 
normal operation or in the event of overturn, there is or is likely to 
be relative motion between the fuel tank for a heater and the heater, or 
between either of such units and the fuel lines between them, a suitable 
means shall be provided at the point of greatest relative motion so as 
to allow this motion without causing failure of the fuel lines.
    (5) Operating controls to be protected. On every bus designed to 
transport more than 15 passengers, including the driver, means shall be 
provided to prevent unauthorized persons from tampering with the 
operating controls. Such means may include remote control by the driver; 
installation of controls at inaccessible places; control of adjustments 
by key or keys; enclosure of controls in a locked space, locking of 
controls, or other means of accomplishing this purpose.
    (6) Heater hoses. Hoses for all hot water and steam heater systems 
shall be specifically designed and constructed for that purpose.
    (7) Electrical apparatus. Every heater employing any electrical 
apparatus shall be equipped with electrical conductors, switches, 
connectors, and other electrical parts of ample current-carrying 
capacity to provide against overheating; any electric motor employed in 
any heater shall be of adequate size and so located that it will not be 
overheated; electrical circuits shall be provided with fuses and/or 
circuit breakers to provide against electrical overloading; and all 
electrical conductors employed in or leading to any heater shall be 
secured against dangling, chafing, and rubbing and shall have suitable 
protection against any other condition likely to produce short or open 
circuits.

    Note: Electrical parts certified as proper for use by Underwriters' 
Laboratories, Inc., shall be deemed to comply with the foregoing 
requirements.

    (8) Storage battery caps. If a separate storage battery is located 
within the personnel or cargo space, such battery shall be securely 
mounted and equipped with nonspill filler caps.

[[Page 1131]]

    (9) Combustion heater exhaust construction. Every heater employing 
the combustion of oil, gas, liquefied petroleum gas, or any other 
combustible material shall be provided with substantial means of 
conducting the products of combustion to the outside of the vehicle: 
Provided, however, That this requirement shall not apply to heaters used 
solely to heat the cargo space of motor vehicles where such motor 
vehicles or heaters are equipped with means specifically designed and 
maintained so that the carbon monoxide concentration will never exceed 
0.2 percent in the cargo space. The exhaust pipe, stack, or conduit if 
required shall be sufficiently substantial and so secured as to provide 
reasonable assurance against leakage or discharge of products of 
combustion within the vehicle and, if necessary, shall be so insulated 
as to make unlikely the burning or charring of parts of the vehicle by 
radiation or by direct contact. The place of discharge of the products 
of combustion to the atmosphere and the means of discharge of such 
products shall be such as to minimize the likelihood of their reentry 
into the vehicle under all operating conditions.
    (10) Combustion chamber construction. The design and construction of 
any combustion-type heater except cargo space heaters permitted by the 
proviso of paragraph (c)(9) of this section and unenclosed flame heaters 
used for heating cargo of tank motor vehicles shall be such as to 
provide against the leakage of products of combustion into air to be 
heated and circulated. The material employed in combustion chambers 
shall be such as to provide against leakage because of corrosion, 
oxidation, or other deterioration. Joints between combustion chambers 
and the air chambers with which they are in thermal and mechanical 
contact shall be so designed and constructed as to prevent leakage 
between the chambers and the materials employed in such joints shall 
have melting points substantially higher than the maximum temperatures 
likely to be attained at the points of jointure.
    (11) Heater fuel tank location. Every bus designed to transport more 
than 15 passengers, including the driver, with heaters of the combustion 
type shall have fuel tanks therefor located outside of and lower than 
the passenger space. When necessary, suitable protection shall be 
afforded by shielding or other means against the puncturing of any such 
tank or its connections by flying stones or other objects.
    (12) Heater, automatic fuel control. Gravity or siphon feed shall 
not be permitted for heaters using liquid fuels. Heaters using liquid 
fuels shall be equipped with automatic means for shutting off the fuel 
or for reducing such flow of fuel to the smallest practicable magnitude, 
in the event of overturn of the vehicle. Heaters using liquefied 
petroleum gas as fuel shall have the fuel line equipped with automatic 
means at the source of supply for shutting off the fuel in the event of 
separation, breakage, or disconnection of any of the fuel lines between 
the supply source and the heater.
    (13) ``Tell-tale'' indicators. Heaters subject to paragraph (c)(14) 
of this section and not provided with automatic controls shall be 
provided with ``tell-tale'' means to indicate to the driver that the 
heater is properly functioning. This requirement shall not apply to 
heaters used solely for the cargo space in semitrailers or full 
trailers.
    (14) Shut-off control. Automatic means, or manual means if the 
control is readily accessible to the driver without moving from the 
driver's seat, shall be provided to shut off the fuel and electrical 
supply in case of failure of the heater to function for any reason, or 
in case the heater should function improperly or overheat. This 
requirement shall not apply to wood charcoal heaters or to heaters used 
solely to heat the contents of cargo tank motor vehicles, but wood 
charcoal heaters must be provided with a controlled method of regulating 
the flow of combustion air.
    (15) Certification required. Every combustion-type heater, except 
wood charcoal heaters, the date of manufacture of which is subsequent to 
December 31, 1952, and every wood charcoal heater, the date of 
manufacture of which is subsequent to September 1, 1953, shall be marked 
plainly to indicate the type of service for which such heater is 
designed and with a certification by the manufacturer that the heater 
meets

[[Page 1132]]

the applicable requirements for such use. For example, ``Meets I.C.C. 
Bus Heater Requirements,'' Meets I.C.C. Flue-Vented Cargo Space Heater 
Requirements,'' and after December 31, 1967, such certification shall 
read ``Meets FMCSA Bus Heater Requirements,'' ``Meets FMCSA Flue-Vented 
Cargo Space Heater Requirements,'' etc.
    (i) Exception. The certification for a catalytic heater which is 
used in transporting flammable liquid or gas shall be as prescribed 
under Sec. 177.834(1) of this title.

[33 FR 19735, Dec. 25, 1968, as amended at 40 FR 51198, Nov. 4, 1975; 53 
FR 49401, Dec. 7, 1988]



Sec. 393.78  Windshield wipers.

    (a) Every bus, truck, and truck tractor, having a windshield, shall 
be equipped with at least two automatically-operating windshield wiper 
blades, one on each side of the centerline of the windshield, for 
cleaning rain, snow, or other moisture from the windshield and which 
shall be in such condition as to provide clear vision for the driver, 
unless one such blade be so arranged as to clean an area of the 
windshield extending to within 1 inch of the limit of vision through the 
windshield at each side: Provided, however, That in driveaway-towaway 
operations this section shall apply only to the driven vehicle: And 
provided further, That one windshield wiper blade will suffice under 
this section when such driven vehicle in driveaway-towaway operation 
constitutes part or all of the property being transported and has no 
provision for two such blades.
    (b) Every bus, truck, and truck tractor, the date of manufacture of 
which is subsequent to June 30, 1953, which depends upon vacuum to 
operate the windshield wipers, shall be so constructed that the 
operation of the wipers will not be materially impaired by change in the 
intake manifold pressure.



Sec. 393.79  Defrosting device.

    Every bus, truck, and truck tractor having a windshield, when 
operating under conditions such that ice, snow, or frost would be likely 
to collect on the outside of the windshield or condensation on the 
inside of the windshield, shall be equipped with a device or other 
means, not manually operated, for preventing or removing such 
obstructions to the driver's view: Provided, however, That this section 
shall not apply in driveaway-towaway operations when the driven vehicle 
is a part of the shipment being delivered.



Sec. 393.80  Rear-vision mirrors.

    (a) Every bus, truck, and truck tractor shall be equipped with two 
rear-vision mirrors, one at each side, firmly attached to the outside of 
the motor vehicle, and so located as to reflect to the driver a view of 
the highway to the rear, along both sides of the vehicle. All such 
regulated rear-vision mirrors and their replacements shall meet, as a 
minimum, the requirements of FMVSS No. 111 (49 CFR 571.111) in force at 
the time the vehicle was manufactured.
    (b) Exceptions. (1) Mirrors installed on a vehicle manufactured 
prior to January 1, 1981, may be continued in service, provided that if 
the mirrors are replaced they shall be replaced with mirrors meeting, as 
a minimum, the requirements of FMVSS No. 111 (49 CFR 571.111) in force 
at the time the vehicle was manufactured.
    (2) Only one outside mirror shall be required, which shall be on the 
driver's side, on trucks which are so constructed that the driver has a 
view to the rear by means of an interior mirror.
    (3) In driveway-towaway operations, the driven vehicle shall have at 
least one mirror furnishing a clear view to the rear.

[48 FR 57139, Dec. 28, 1983]



Sec. 393.81  Horn.

    Every bus, truck, truck-tractor, and every driven motor vehicle in 
driveaway-towaway operations shall be equipped with a horn and actuating 
elements which shall be in such condition as to give an adequate and 
reliable warning signal.



Sec. 393.82  Speedometer.

    Every bus, truck, and truck-tractor shall be equipped with a 
speedometer indicating vehicle speed in miles per hour, which shall be 
operative with

[[Page 1133]]

reasonable accuracy; however, this requirement shall not apply to any 
driven vehicle which is part of a shipment being delivered in a 
driveaway-towaway operation if such driven vehicle is equipped with an 
effective means of limiting its maximum speed to 45 miles per hour, nor 
to any towed vehicle.



Sec. 393.83  Exhaust systems.

    (a) Every motor vehicle having a device (other than as part of its 
cargo) capable of expelling harmful combustion fumes shall have a system 
to direct the discharge of such fumes. No part shall be located where 
its location would likely result in burning, charring, or damaging the 
electrical wiring, the fuel supply, or any combustible part of the motor 
vehicle.
    (b) No exhaust system shall discharge to the atmosphere at a 
location immediately below the fuel tank or the fuel tank filler pipe.
    (c) The exhaust system of a bus powered by a gasoline engine shall 
discharge to the atmosphere at or within 6 inches forward of the 
rearmost part of the bus.
    (d) The exhaust system of a bus using fuels other than gasoline 
shall discharge to the atmosphere either:
    (1) At or within 15 inches forward of the rearmost part of the 
vehicle; or
    (2) To the rear of all doors or windows designed to be open, except 
windows designed to be opened solely as emergency exits.
    (e) The exhaust system of every truck and truck tractor shall 
discharge to the atmosphere at a location to the rear of the cab or, if 
the exhaust projects above the cab, at a location near the rear of the 
cab.
    (f) No part of the exhaust system shall be temporarily repaired with 
wrap or patches.
    (g) No part of the exhaust system shall leak or discharge at a point 
forward of or directly below the driver/sleeper compartment. The exhaust 
outlet may discharge above the cab/sleeper roofline.
    (h) The exhaust system must be securely fastened to the vehicle.
    (i) Exhaust systems may use hangers which permit required movement 
due to expansion and contraction caused by heat of the exhaust and 
relative motion between engine and chassis of a vehicle.

[53 FR 49401, Dec. 7, 1988]



Sec. 393.84  Floors.

    The flooring in all motor vehicles shall be substantially 
constructed, free of unnecessary holes and openings, and shall be 
maintained so as to minimize the entrance of fumes, exhaust gases, or 
fire. Floors shall not be permeated with oil or other substances likely 
to cause injury to persons using the floor as a traction surface.

[53 FR 49401, Dec. 7, 1988]



Sec. 393.85  [Reserved]



Sec. 393.86  Rear impact guards and rear end protection.

    (a)(1) General requirements for trailers and semitrailers 
manufactured on or after January 26, 1998. Each trailer and semitrailer 
with a gross vehicle weight rating of 4,536 kg (10,000 pounds) or more, 
and manufactured on or after January 26, 1998, must be equipped with a 
rear impact guard that meets the requirements of Federal Motor Vehicle 
Safety Standard No. 223 (49 CFR 571.223) in effect at the time the 
vehicle was manufactured. When the rear impact guard is installed on the 
trailer or semitrailer, the vehicle must, at a minimum, meet the 
requirements of FMVSS No. 224 (49 CFR 571.224) in effect at the time the 
vehicle was manufactured. The requirements of paragraph (a) of this 
section do not apply to pole trailers (as defined in Sec. 390.5 of this 
chapter); pulpwood trailers, low chassis vehicles, special purpose 
vehicles, wheels back vehicles (as defined in Sec. 393.5); and trailers 
towed in driveaway-towaway operations (as defined in Sec. 390.5).
    (2) Impact guard width. The outermost surfaces of the horizontal 
member of the guard must extend to within 100 mm (4 inches) of the side 
extremities of the vehicle. The outermost surface of the horizontal 
member shall not extend beyond the side extremity of the vehicle.
    (3) Guard height. The vertical distance between the bottom edge of 
the horizontal member of the guard and

[[Page 1134]]

the ground shall not exceed 560 mm (22 inches) at any point across the 
full width of the member. Guards with rounded corners may curve upward 
within 255 mm (10 inches) of the longitudinal vertical planes that are 
tangent to the side extremities of the vehicle.
    (4) Guard rear surface. At any height 560 mm (22 inches) or more 
above the ground, the rearmost surface of the horizontal member of the 
guard must be within 305 mm (12 inches) of the rear extremity of the 
vehicle. This paragraph shall not be construed to prohibit the rear 
surface of the guard from extending beyond the rear extremity of the 
vehicle. Guards with rounded corners may curve forward within 255 mm (10 
inches) of the side extremity.
    (5) Cross-sectional vertical height. The horizontal member of each 
guard must have a cross sectional vertical height of at least 100 mm 
(3.94 inches) at any point across the guard width.
    (6) Certification and labeling requirements for rear impact 
protection guards. Each rear impact guard used to satisfy the 
requirements of paragraph (a)(1) of this section must be permanently 
marked or labeled as required by FMVSS No. 223 (49 CFR 571.223, S5.3). 
The label must be on the forward-facing surface of the horizontal member 
of the guard, 305 mm (12 inches) inboard of the right end of the guard. 
The certification label must contain the following information:
    (i) The impact guard manufacturer's name and address;
    (ii) The statement ``Manufactured in ----'' (inserting the month and 
year that the guard was manufactured); and,
    (iii) The letters ``DOT'', constituting a certification by the guard 
manufacturer that the guard conforms to all requirements of FMVSS No. 
223.
    (b)(1) Requirements for motor vehicles manufactured after December 
31, 1952 (except trailers or semitrailers manufactured on or after 
January 26, 1998). Each motor vehicle manufactured after December 31, 
1952, (except truck tractors, pole trailers, pulpwood trailers, or 
vehicles in driveaway-towaway operations) in which the vertical distance 
between the rear bottom edge of the body (or the chassis assembly if the 
chassis is the rearmost part of the vehicle) and the ground is greater 
than 76.2 cm (30 inches) when the motor vehicle is empty, shall be 
equipped with a rear impact guard(s). The rear impact guard(s) must be 
installed and maintained in such a manner that:
    (i) The vertical distance between the bottom of the guard(s) and the 
ground does not exceed 76.2 cm (30 inches) when the motor vehicle is 
empty;
    (ii) The maximum lateral distance between the closest points between 
guards, if more than one is used, does not exceed 61 cm (24 inches);
    (iii) The outermost surfaces of the horizontal member of the guard 
are no more than 45.7 cm (18 inches) from each side extremity of the 
motor vehicle;
    (iv) The impact guard(s) are no more than 61 cm (24 inches) forward 
of the rear extremity of the motor vehicle.
    (2) Construction and attachment. The rear impact guard(s) must be 
substantially constructed and attached by means of bolts, welding, or 
other comparable means.
    (3) Vehicle components and structures that may be used to satisfy 
the requirements of paragraph (b) of this section. Low chassis vehicles, 
special purpose vehicles, or wheels back vehicles constructed and 
maintained so that the body, chassis, or other parts of the vehicle 
provide the rear end protection comparable to impact guard(s) conforming 
to the requirements of paragraph (b)(1) of this section shall be 
considered to be in compliance with those requirements.

[64 FR 47708, Sept. 1, 1999, as amended at 67 FR 61824, Oct. 2, 2002]



Sec. 393.87  Flags on projecting loads.

    Any motor vehicle having a load or vehicle component which extends 
beyond the sides more than 4 inches or more than 4 feet beyond the rear 
shall have the extremities of the load marked with a red flag, not less 
than 12 inches square, at each point where a lamp is required by Table 
1, Sec. 393.11.

[53 FR 49401, Dec. 7, 1988]



Sec. 393.88  Television receivers.

    Any motor vehicle equipped with a television viewer, screen or other 
means of visually receiving a television broadcast shall have the viewer 
or

[[Page 1135]]

screen located in the motor vehicle at a point to the rear of the back 
of the driver's seat if such viewer or screen is in the same compartment 
as the driver and the viewer or screen shall be so located as not to be 
visible to the driver, while he/she is driving the motor vehicle. The 
operating controls for the television receiver shall be so located that 
the driver cannot operate them without leaving the driver's seat.



Sec. 393.89  Buses, driveshaft protection.

    Any driveshaft extending lengthways under the floor of the passenger 
compartment of a bus shall be protected by means of at least one guard 
or bracket at that end of the shaft which is provided with a sliding 
connection (spline or other such device) to prevent the whipping of the 
shaft in the event of failure thereof or of any of its component parts. 
A shaft contained within a torque tube shall not require any such 
device.

[33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49402, Dec. 7, 1988]



Sec. 393.90  Buses, standee line or bar.

    Except as provided below, every bus, which is designed and 
constructed so as to allow standees, shall be plainly marked with a line 
of contrasting color at least 2 inches wide or equipped with some other 
means so as to indicate to any person that he/she is prohibited from 
occupying a space forward of a perpendicular plane drawn through the 
rear of the driver's seat and perpendicular to the longitudinal axis of 
the bus. Every bus shall have clearly posted at or near the front, a 
sign with letters at least one-half inch high stating that it is a 
violation of the Federal Motor Carrier Safety Administration's 
regulations for a bus to be operated with persons occupying the 
prohibited area. The requirements of this section shall not apply to any 
bus being transported in driveaway-towaway operation or to any level of 
the bus other that the level in which the driver is located nor shall 
they be construed to prohibit any seated person from occupying permanent 
seats located in the prohibited area provided such seats are so located 
that persons sitting therein will not interfere with the driver's safe 
operation of the bus.



Sec. 393.91  Buses, aisle seats prohibited.

    No bus shall be equipped with aisle seats unless such seats are so 
designed and installed as to automatically fold and leave a clear aisle 
when they are unoccupied. No bus shall be operated if any seat therein 
is not securely fastened to the vehicle.

[53 FR 49402, Dec. 7, 1988]



Sec. 393.92  Buses, marking emergency doors.

    Any bus equipped with an emergency door shall have such door clearly 
marked in letters at least 1 inch in height with the words ``Emergency 
Door'' or ``Emergency Exit.'' Emergency doors shall also be identified 
by a red electric lamp readily visible to passengers which lamp shall be 
lighted at all times when lamps are required to be lighted by 
Sec. 392.30.



Sec. 393.93  Seats, seat belt assemblies, and seat belt assembly anchorages.

    (a) Buses--(1) Buses manufactured on or after January 1, 1965, and 
before July 1, 1971. After June 30, 1972, every bus manufactured on or 
after January 1, 1965, and before July 1, 1971, must be equipped with a 
Type 1 or Type 2 seat belt assembly that conforms to Federal Motor 
Vehicle Safety Standard No. 209 \1\ (Sec. 571.209) installed at the 
driver's seat and seat belt assembly anchorages that conform to the 
location and geometric requirements of Federal Motor Vehicle Safety 
Standard No. 210 \1\ (Sec. 571.210) for that seat belt assembly.
---------------------------------------------------------------------------

    \1\ Individual copies of Federal Motor Vehicle Safety Standards may 
be obtained from the National Highway Traffic Safety Administration. 
Nassif Building, 400 Seventh Street SW., Washington, D.C. 20590.
---------------------------------------------------------------------------

    (2) Buses manufactured on or after July 1, 1971. Every bus 
manufactured on or after July 1, 1971, must conform to the requirements 
of Federal Motor Vehicle Safety Standard No. 208 \1\ (Sec. 571.208) 
(relating to installation of seat belt assemblies) and Federal Motor 
Vehicle Safety Standard No. 210 \1\ (Sec. 571.210) (relating to 
installation of seat belt assembly anchorages).
    (3) Buses manufactured on or after January 1, 1972. Every bus 
manufactured on or after January 1, 1972, must conform to the 
requirements of Federal

[[Page 1136]]

Motor Vehicle Safety Standard No. 207 \1\ (Sec. 571.207) (relating to 
seating systems).
    (b) Trucks and truck tractors--(1) Trucks and truck tractors 
manufactured on and after January 1, 1965, and before July 1, 1971. 
Except as provided in paragraph (d) of this section, after June 30, 
1972, every truck and truck tractor manufactured on or after January 1, 
1965, and before July 1, 1971, must be equipped with a Type 1 or Type 2 
seat belt assembly that conforms to Federal Motor Vehicle Safety 
Standard No. 209 (Sec. 571.209) installed at the driver's seat and at 
the right front outboard seat, if the vehicle has one, and seat belt 
assembly anchorages that conform to the location and geometric 
requirements of Federal Motor Vehicle Safety Standard No. 210 
(Sec. 571.210) for each seat belt assembly that is required by this 
subparagraph.
    (2) Trucks and truck tractors manufactured on or after July 1, 1971. 
Every truck and truck tractor manufactured on or after July 1, 1971, 
except a truck or truck tractor being transported in driveaway-towaway 
operation and having an incomplete vehicle seating and cab 
configuration, must conform to the requirements of Federal Motor Vehicle 
Safety Standard No. 208 \1\ (Sec. 571.208) (relating to installation of 
seat belt assemblies) and Federal Motor Vehicle Safety Standard No. 210 
\1\ (Sec. 571.210) (relating to installation of seat belt assembly 
anchorages).
---------------------------------------------------------------------------

    \1\ See footnote to Sec. 393.93(a).
---------------------------------------------------------------------------

    (3) Trucks and truck tractors manufactured on or after January 1, 
1972. Every truck and truck tractor manufactured on or after January 1, 
1972, except a truck or truck tractor being transported in driveaway-
towaway operation and having an incomplete vehicle seating and cab 
configuration, must conform to the requirements of Federal Motor Vehicle 
Safety Standard No. 207 \1\ (Sec. 571.207) (relating to seating 
systems).
    (c) Effective date of standards. Whenever paragraph (a) or (b) of 
this section requires conformity to a Federal Motor Vehicle Safety 
Standard, the vehicle or equipment must conform to the version of the 
Standard that is in effect on the date the vehicle is manufactured or on 
the date the vehicle is modified to conform to the requirements of 
paragraph (a) or (b) of this section, whichever is later.
    (d) Trucks and truck tractors manufactured on or after January 1, 
1965, and before July 1, 1971, and operated in the State of Hawaii, must 
comply with the provisions of paragraph (b) of this section on and after 
January 1, 1976.

[35 FR 16839, Oct. 30, 1970, as amended at 39 FR 32561, Sept. 9, 1974; 
40 FR 32336, Aug. 1, 1975]



Sec. 393.94  Vehicle interior noise levels.

    (a) Application of the rule in this section. Except as provided in 
paragraph (d) of this section, this section applies to all motor 
vehicles manufactured on and after October 1, 1974. On and after April 
1, 1975, this section applies to all motor vehicles manufactured before 
October 1, 1974.
    (b) General rule. The interior sound level at the driver's seating 
position of a motor vehicle must not exceed 90 dB(A) when measured in 
accordance with paragraph (c) of this section.
    (c) Test procedure. \2\ (1) Park the vehicle at a location so that 
no large reflecting surfaces, such as other vehicles, signboards, 
buildings, or hills, are within 50 feet of the driver's seating 
position.
---------------------------------------------------------------------------

    \2\ Standards of the American National Standards Institute are 
published by the American National Standards Institute. Information and 
copies may be obtained by writing to the Institute at 1430 Broadway, New 
York, N.Y. 10018.
---------------------------------------------------------------------------

    (2) Close all vehicle doors, windows, and vents. Turn off all power-
operated accessories.
    (3) Place the driver in his/her normal seated position at the 
vehicle's controls. Evacuate all occupants except the driver and the 
person conducting the test.
    (4) Use a sound level meter which meets the requirements of the 
American National Standards Institute Standard ANSI S1.4-1971 
Specification for Sound Level Meters, for Type 2 Meters. Set the meter 
to the A-weighting network, ``fast'' meter response.
    (5) Locate the microphone, oriented vertically upward, 6 inches to 
the right

[[Page 1137]]

of, in the same plane as, and directly in line with, the driver's right 
ear.
    (6) With the vehicle's transmission in neutral gear, accelerate its 
engine to either its maximum governed engine speed, if it is equipped 
with an engine governor, or its speed at its maximum rated horsepower, 
if it is not equipped with an engine governor. Stabilize the engine at 
that speed.
    (7) Observe the A-weighted sound level reading on the meter for the 
stabilized engine speed condition. Record that reading, if the reading 
has not been influenced by extraneous noise sources such as motor 
vehicles operating on adjacent roadways.
    (8) Return the vehicle's engine speed to idle and repeat the 
procedures specified in paragraphs (c) (6) and (7) of this section until 
two maximum sound levels within 2 dB of each other are recorded. 
Numerically average those two maximum sound level readings.
    (9) The average obtained in accordance with paragraph (c)(8) of this 
section is the vehicle's interior sound level at the driver's seating 
position for the purpose of determining whether the vehicle conforms to 
the rule in paragraph (b) of this section. However, a 2 dB tolerance 
over the sound level limitation specified in that paragraph is permitted 
to allow for variations in test conditions and variations in the 
capabilities of meters.
    (10) If the motor vehicle's engine radiator fan drive is equipped 
with a clutch or similar device that automatically either reduces the 
rotational speed of the fan or completely disengages the fan from its 
power source in response to reduced engine cooling loads the vehicle may 
be parked before testing with its engine running at high idle or any 
other speed the operator may choose, for sufficient time but not more 
than 10 minutes, to permit the engine radiator fan to automatically 
disengage.
    (d) Vehicles manufactured before October 1, 1974, and operated 
wholly within the State of Hawaii, need not comply with this section 
until April 1, 1976.

[38 FR 30881, Nov. 8, 1973, as amended at 40 FR 32336, Aug. 1, 1975; 41 
FR 28268, July 9, 1976]



                     Subpart H--Emergency Equipment



Sec. 393.95  Emergency equipment on all power units.

    Except for a lightweight vehicle, every bus, truck, truck-tractor, 
and every driven vehicle in driveaway-towaway operation must be equipped 
as follows:
    (a) Fire extinguisher. (1) Except as provided in paragraph (a)(4) of 
this section, every power unit must be equipped with a fire extinguisher 
that is properly filled and located so that it is readily accessible for 
use. The fire extinguisher must be securely mounted on the vehicle. The 
fire extinguisher must be designed, constructed, and maintained to 
permit visual determination of whether it is fully charged. The fire 
extinguisher must have an extinguishing agent that does not need 
protection from freezing. The fire extinguisher must not use a 
vaporizing liquid that gives off vapors more toxic than those produced 
by the substances shown as having a toxicity rating of 5 or 6 in the 
Underwriters' Laboratories ``Classification of Comparative Life Hazard 
of Gases and Vapors.'' \1\
---------------------------------------------------------------------------

    \1\ Copies of the Classification can be obtained by writing to 
Underwriters' Laboratories, Inc., 205 East Ohio Street, Chicago, Ill. 
60611.
---------------------------------------------------------------------------

    (2)(i) Before July 1, 1971, a power unit that is used to transport 
hazardous materials must be equipped with a fire extinguisher having an 
Underwriters' Laboratories rating \2\ of 4 B:C or more. On and after 
July 1, 1971, a power unit that is used to transport hazardous materials 
must be equipped with a fire extinguisher having an Underwriters' 
Laboratories rating \2\ of 10 B:C or more.
---------------------------------------------------------------------------

    \2\ Underwriters' Laboratories ratings are given to fire 
entinguishers under the standards of Underwriters' Laboratories, Inc., 
205 East Ohio Street, Chicago, Ill. 60611. Extinguishers must conform to 
the standards in effect on the date of manufacture or on Jan. 1, 1969, 
whichever is earlier.
---------------------------------------------------------------------------

    (ii) Before January 1, 1973, a power unit that is not used to 
transport hazardous materials must be equipped with a fire extinguisher 
having an Underwriters' Laboratories rating \2\ of 4 B:C or more. On and 
after January 1, 1973, a power unit that is not used to

[[Page 1138]]

transport hazardous materials must be equipped with either--
    (A) A fire extinguisher having an Underwriters' Laboratories rating 
\2\ of 5 B:C or more; or
    (B) Two fire extinguishers, each of which has an Underwriters' 
Laboratories rating \2\ of 4 B:C or more.
    (iii) Each fire extinguisher required by this subparagraph must be 
labeled or marked with its Underwriters' Laboratories rating \2\ and 
must meet the requirements of paragraph (a)(1) of this section.
    (3) For purposes of this paragraph, a power unit is used to 
transport hazardous materials only if the power unit or a motor vehicle 
towed by the power unit must be marked or placarded in accordance with 
Sec. 177.823 of this title.
    (4) This paragraph does not apply to the driven unit in a driveaway-
towaway operation.
    (b) [Reserved]
    (c) Spare fuses. At least one spare fuse or other overload 
protective device, if the devices used are not of a reset type, for each 
kind and size used. In driveaway-towaway operations, spares located on 
any one of the vehicles will be deemed adequate.
    (d)-(e) [Reserved]
    (f) Warning devices for stopped vehicles. Except as provided in 
paragraph (g) of this section, one of the following combinations of 
warning devices:
    (1) Vehicles equipped with warning devices before January 1, 1974. 
Warning devices specified below may be used until replacements are 
necessary:
    (i) Three liquid-burning emergency flares which satisfy the 
requirements of SAE Standard J597, ``Liquid Burning Emergency Flares,'' 
and three fusees and two red flags; or
    (ii) Three electric emergency lanterns which satisfy the 
requirements of SAE Standard J596, ``Electric Emergency Lanterns,'' and 
two red flags; or
    (iii) Three red emergency reflectors which satisfy the requirements 
of paragraph (i) of this section, and two red flags; or
    (iv) Three red emergency reflective triangles which satisfy the 
requirements of paragraph (h) of this section; or
    (v) Three bidirectional emergency reflective triangles that conform 
to the requirements of Federal Motor Vehicle Safety Standard No. 125, 
Sec. 571.125 of this title.
    (2) Vehicles equipped with warning devices on and after January 1, 
1974. (i) Three bidirectional emergency reflective triangles that 
conform to the requirements of Federal Motor Vehicle Safety Standard No. 
125, Sec. 571.125 of this title; or
    (ii) At least 6 fusees or 3 liquid-burning flares. The vehicle must 
have as many additional fusees or liquid-burning flares as are necessary 
to satisfy the requirements of Sec. 392.22.
    (3) Supplemental warning devices. Other warning devices may be used 
in addition to, but not in lieu of, the required warning devices, 
provided those warning devices do not decrease the effectiveness of the 
required warning devices.
    (g) Restrictions on the use of flame-producing devices. Liquid-
burning flares, fusees, oil lanterns, or any signal produced by a flame 
shall not be carried on any commercial motor vehicle transporting 
Division 1.1, 1.2, 1.3 (explosives) hazardous materials; any cargo tank 
motor vehicle used for the transportation of Division 2.1 (flammable 
gas) or Class 3 (flammable liquid) hazardous materials whether loaded or 
empty; or any commercial motor vehicle using compressed gas as a motor 
fuel.
    (h) Requirements for emergency reflective triangles manufactured 
before January 1, 1974. (1) Each reflector shall be a collapsible 
equilateral triangle, with legs not less than 17 inches long and not 
less than 2 inches wide. The front and back of the exposed leg surfaces 
shall be covered with red reflective material not less than one half 
inch in width. The reflective surface, front and back, shall be 
approximately parallel. When placed in position, one point of the 
triangle shall be upward. The area within the sides of the triangle 
shall be open.
    (2) Reflective material: The reflecting material covering the leg of 
the equilateral triangle shall comply either with:
    (i) The requirements for reflex-reflector elements made of red 
methyl-methacrylate plastic material, meeting the color, sealing, 
minimum candle-power,

[[Page 1139]]

wind test, vibration test, and corrosion resistance test of section 3 
and 4 of Federal Specification RR-R-1185, dated November 17, 1966, or
    (ii) The requirements for red reflective sheeting of Federal 
Specification L-S-300, dated September 7, 1965, except that the 
aggregate candlepower of the assembled triangle, in one direction, shall 
be not less than eight when measured at 0.2[deg] divergence angle and -
4[deg] incidence angle, and not less than 80 percent of the candlepower 
specified for 1 square foot of material at all other angles shown in 
Table II, Reflective Intensity Values, of L-S-300.
    (3) Reflective surfaces alignment: Every reflective triangle shall 
be so constructed that, when the triangle is properly placed, the 
reflective surfaces shall be in a plane perpendicular to the plane of 
the roadway surface with a permissible tolerance of [plusmn]10[deg]. 
Reflective triangles which are collapsible shall be provided with means 
for holding the reflective surfaces within the required tolerance. Such 
holding means shall be readily capable of adjustment without the use of 
tools or special equipment.
    (4) Reflectors mechanical adequacy: Every reflective triangle shall 
be of such weight and dimensions as to remain stationary when subjected 
to a 40 mile per hour wind when properly placed on any clean, dry paved 
road surface. The reflective triangle shall be so constructed as to 
withstand reasonable shocks without breakage.
    (5) Reflectors, incorporation in holding device: Each set of 
reflective triangles shall be adequately protected by enclosure in a 
box, rack, or other adequate container specially designed and 
constructed so that the reflectors may be readily extracted for use.
    (6) Certification: Every red emergency reflective triangle designed 
and constructed to comply with these requirements shall be plainly 
marked with the certification of the manufacturer that it complies 
therewith.
    (i) Requirements for red emergency reflectors. Each red emergency 
reflector shall conform in all respects to the following requirements:
    (1) Reflecting elements required. Each reflector shall be composed 
of at least two reflecting elements or surfaces on each side, front and 
back. The reflecting elements, front and back, shall be approximately 
parallel.
    (2) Reflecting elements to be Class A. Each reflecting element or 
surface shall meet the requirement for a red Class A reflector contained 
in the SAE Recommended Practice \1\ ``Reflex Reflectors.'' The aggregate 
candlepower output of all the reflecting elements or surface in one 
direction shall not be less than 12 when tested in a perpendicular 
position with observation at one-third degree as specified in the 
Photometric Test contained in the above-mentioned Recommended Practice.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

    (3) Reflecting surfaces, protection. If the reflector or the 
reflecting elements are so designed or constructed that the reflecting 
surfaces would be adversely affected by dust, soot, or other foreign 
matter or contacts with other parts of the reflector or its container, 
then such reflecting surfaces shall be adequately sealed within the body 
of the reflector.
    (4) Reflecting surfaces to be perpendicular. Every reflector shall 
be so constructed that, when the reflector is properly placed, every 
reflecting element or surface is in a plane perpendicular to the plane 
of the roadway surface. Reflectors which are collapsible shall be 
provided with means for locking the reflector elements or surfaces in 
the required position; such locking means shall be readily capable of 
adjustment without the use of tools or special equipment.
    (5) Reflectors, mechanical adequacy. Every reflector shall be of 
such weight and dimensions as to remain stationary when subjected to a 
40 mile per hour wind when properly placed on any clean, dry, paved road 
surface. The reflector shall be so constructed as to withstand 
reasonable shocks without breakage.
    (6) Reflectors, incorporation on holding device. Each set of 
reflectors and the reflecting elements or surfaces incorporated therein 
shall be adequately protected by enclosure in a box, rack, or other 
adequate container specially designed and constructed so that the

[[Page 1140]]

reflectors may be readily extracted for use.
    (7) Certification. Every red emergency reflector designed and 
constructed to comply with these requirements shall be plainly marked 
with the certification of the manufacturer that it complies therewith.
    (j) Requirements for fusees and liquid-burning flares. Each fusee 
shall be capable of burning for 30 minutes, and each liquid-burning 
flare shall contain enough fuel to burn continuously for at least 60 
minutes. Fusees and liquid-burning flares shall conform to the 
requirements of Underwriters Laboratories, Inc., UL No. 912, Highway 
Emergency Signals, Fourth Edition, July 30, 1979, (with an amendment 
dated November 9, 1981). (See Sec. 393.7(c) for information on the 
incorporation by reference and availability of this document.) Each 
fusee and liquid-burning flare shall be marked with the UL symbol in 
accordance with the requirements of UL 912.
    (k) Requirements for red flags. Red flags shall be not less than 12 
inches square, with standards adequate to maintain the flags in an 
upright position.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 13019, Aug. 15, 1970; 
35 FR 14619, Sept. 18, 1970; 37 FR 17176, Aug. 25, 1972; 40 FR 10685, 
Mar. 7, 1975; 41 FR 53031, Dec. 3, 1976; 47 FR 47837, Oct. 28, 1982; 59 
FR 34712, July 6, 1994; 67 FR 61225, Sept. 27, 2002]



        Subpart I--Protection Against Shifting and Falling Cargo

    Source: 67 FR 61225, Sept. 27, 2002, unless otherwise noted.



Sec. 393.100  Which types of commercial motor vehicles are subject to the cargo securement standards of this subpart, and what general requirements apply?

    (a) Applicability. The rules in this subpart are applicable to 
trucks, truck tractors, semitrailers, full trailers, and pole trailers.
    (b) Prevention against loss of load. Each commercial motor vehicle 
must, when transporting cargo on public roads, be loaded and equipped, 
and the cargo secured, in accordance with this subpart to prevent the 
cargo from leaking, spilling, blowing or falling from the motor vehicle.
    (c) Prevention against shifting of load. Cargo must be contained, 
immobilized or secured in accordance with this subpart to prevent 
shifting upon or within the vehicle to such an extent that the vehicle's 
stability or maneuverability is adversely affected.



Sec. 393.102  What are the minimum performance criteria for cargo securement devices and systems?

    (a) Performance criteria. Cargo securement devices and systems must 
be capable of withstanding the following three forces, applied 
separately:
    (1) 0.8 g deceleration in the forward direction;
    (2) 0.5 g acceleration in the rearward direction; and
    (3) 0.5 g acceleration in a lateral direction.
    (b) Performance criteria for devices to prevent vertical movement of 
loads that are not contained within the structure of the vehicle. 
Securement systems must provide a downward force equivalent to at least 
20 percent of the weight of the article of cargo if the article is not 
fully contained within the structure of the vehicle. If the article is 
fully contained within the structure of the vehicle, it may be secured 
in accordance with Sec. 393.106(b).
    (c) Prohibition on exceeding working load limits. Cargo securement 
devices and systems must be designed, installed, and maintained to 
ensure that the maximum forces acting on the devices or systems do not 
exceed the working load limit for the devices under the conditions 
listed in paragraphs (a) and (b) of this section.
    (d) Equivalent means of securement. Cargo that is immobilized, or 
secured in accordance with the applicable requirements of Secs. 393.104 
through 393.136, is considered as meeting the performance criteria of 
this section.



Sec. 393.104  What standards must cargo securement devices and systems meet in order to satisfy the requirements of this subpart?

    (a) General. All devices and systems used to secure cargo to or 
within a vehicle must be capable of meeting the requirements of 
Sec. 393.102.

[[Page 1141]]

    (b) Prohibition on the use of damaged securement devices. All 
vehicle structures, systems, parts, and components used to secure cargo 
must be in proper working order when used to perform that function with 
no damaged or weakened components that will adversely effect their 
performance for cargo securement purposes, including reducing the 
working load limit, and must not have any cracks or cuts.
    (c) Vehicle structures and anchor points. Vehicle structures, 
floors, walls, decks, tiedown anchor points, headerboards, bulkheads, 
stakes, posts and associated mounting pockets used to contain or secure 
articles of cargo must be strong enough to meet the performance criteria 
of Sec. 393.102, with no damaged or weakened components that will 
adversely effect their performance for cargo securement purposes, 
including reducing the working load limit, and must not have any cracks 
or cuts.
    (d) Material for dunnage, chocks, cradles, shoring bars, blocking 
and bracing. Material used as dunnage or dunnage bags, chocks, cradles, 
shoring bars, or used for blocking and bracing, must not have damage or 
defects which would compromise the effectiveness of the securement 
system.
    (e) Manufacturing standards for tiedown assemblies. Tiedown 
assemblies (including chains, wire rope, steel strapping, synthetic 
webbing, and cordage) and other attachment or fastening devices used to 
secure articles of cargo to, or in, commercial motor vehicles must 
conform to the following applicable standards:

[[Page 1142]]



----------------------------------------------------------------------------------------------------------------
               An assembly component of . . .                               Must conform to . . .
----------------------------------------------------------------------------------------------------------------
(1) Steel strapping 1, 2...................................  Standard Specification for Strapping, Flat Steel
                                                              and Seals, American Society for Testing and
                                                              Materials (ASTM) D3953-97, February 1998.\4\
(2) Chain..................................................  National Association of Chain Manufacturers' Welded
                                                              Steel Chain Specifications, November 15, 1999.\4\
(3) Webbing................................................  Web Sling and Tiedown Association's Recommended
                                                              Standard Specification for Synthetic Web Tiedowns,
                                                              WSTDA-T1, 1998.\4\
(4) Wire rope \3\..........................................  Wire Rope Technical Board's Wire Rope Users Manual,
                                                              2nd Edition, November 1985.\4\
(5) Cordage................................................  Cordage Institute rope standard:
                                                                (i) PETRS-2, Polyester Fiber Rope, three-Strand
                                                                 and eight-Strand Constructions, January 1993;
                                                                 \4\
                                                                (ii) PPRS-2, Polypropylene Fiber Rope, three-
                                                                 Strand and eight-Strand Constructions, August
                                                                 1992; \4\
                                                                (iii) CRS-1, Polyester/Polypropylene Composite
                                                                 Rope Specifications, three-Strand and eight-
                                                                 Strand Standard Construction, May 1979; \4\
                                                                (iv) NRS-1, Nylon Rope Specifications, three-
                                                                 Strand and eight-Strand Standard Construction,
                                                                 May 1979; \4\ and
                                                                (v) C-1, Double Braided Nylon Rope
                                                                 Specifications DBN, January 1984.\4\
----------------------------------------------------------------------------------------------------------------
\1\ Steel strapping not marked by the manufacturer with a working load limit will be considered to have a
  working load limit equal to one-fourth of the breaking strength listed in ASTM D3953-97.
\2\ Steel strapping 25.4 mm (1 inch) or wider must have at least two pairs of crimps in each seal and, when an
  end-over-end lap joint is formed, must be sealed with at least two seals.
\3\ Wire rope which is not marked by the manufacturer with a working load limit shall be considered to have a
  working load limit equal to one-fourth of the nominal strength listed in the manual.
\4\ See Sec.  393.7 for information on the incorporation by reference and availability of this document.


[[Page 1143]]

    (f) Use of tiedowns. (1) Tiedowns and securing devices must not 
contain knots.
    (2) If a tiedown is repaired, it must be repaired in accordance with 
the applicable standards in paragraph (e) of this section, or the 
manufacturer's instructions.
    (3) Each tiedown must be attached and secured in a manner that 
prevents it from becoming loose, unfastening, opening or releasing while 
the vehicle is in transit.
    (4) All tiedowns and other components of a cargo securement system 
used to secure loads on a trailer equipped with rub rails, must be 
located inboard of the rub rails whenever practicable.
    (5) Edge protection must be used whenever a tiedown would be subject 
to abrasion or cutting at the point where it touches an article of 
cargo. The edge protection must resist abrasion, cutting and crushing.



Sec. 393.106  What are the general requirements for securing articles of cargo?

    (a) Applicability. The rules in this section are applicable to the 
transportation of all types of articles of cargo, except commodities in 
bulk that lack structure or fixed shape (e.g., liquids, gases, grain, 
liquid concrete, sand, gravel, aggregates) and are transported in a 
tank, hopper, box or similar device that forms part of the structure of 
a commercial motor vehicle. The rules in this section apply to the cargo 
types covered by the commodity-specific rules of Sec. 393.116 through 
Sec. 393.136. The commodity-specific rules take precedence over the 
general requirements of this section when additional requirements are 
given for a commodity listed in those sections.
    (b) General. Cargo must be firmly immobilized or secured on or 
within a vehicle by structures of adequate strength, dunnage or dunnage 
bags, shoring bars, tiedowns or a combination of these.
    (c) Cargo placement and restraint. (1) Articles of cargo that are 
likely to roll must be restrained by chocks, wedges, a cradle or other 
equivalent means to prevent rolling. The means of preventing rolling 
must not be capable of becoming unintentionally unfastened or loose 
while the vehicle is in transit.
    (2) Articles or cargo placed beside each other and secured by 
transverse tiedowns must either:
    (i) Be placed in direct contact with each other, or
    (ii) Be prevented from shifting towards each other while in transit.
    (d) Minimum strength of cargo securement devices and systems. The 
aggregate working load limit of any securement system used to secure an 
article or group of articles against movement must be at least one-half 
times the weight of the article or group of articles. The aggregate 
working load limit is the sum of:
    (1) One-half of the working load limit of each associated connector 
or attachment mechanism used to secure a part of the article of cargo to 
the vehicle; and
    (2) One-half of the working load limit for each end section of a 
tiedown that is attached to an anchor point.

[67 FR 61225, Sept. 27, 2002, as amended at 68 FR 56208, Sept. 30, 2003]



Sec. 393.108  How is the working load limit of a tiedown determined?

    (a) The working load limit (WLL) of a tiedown, associated connector 
or attachment mechanism is the lowest working load limit of any of its 
components (including tensioner), or the working load limit of the 
anchor points to which it is attached, whichever is less.
    (b) The working load limits of tiedowns may be determined by using 
either the tiedown manufacturer's markings or by using the tables in 
this section. The working load limits listed in the tables are to be 
used when the tiedown material is not marked by the manufacturer with 
the working load limit. Tiedown materials which are marked by the 
manufacturer with working load limits that differ from the tables, shall 
be considered to have a working load limit equal to the value for which 
they are marked.
    (c) Synthetic cordage (e.g., nylon, polypropylene, polyester) which 
is not marked or labeled to enable identification of its composition or 
working load limit shall be considered to have a

[[Page 1144]]

working load limit equal to that for polypropylene fiber rope.
    (d) Welded steel chain which is not marked or labeled to enable 
identification of its grade or working load limit shall be considered to 
have a working load limit equal to that for grade 30 proof coil chain.
    (e)(1) Wire rope which is not marked by the manufacturer with a 
working load limit shall be considered to have a working load limit 
equal to one-fourth of the nominal strength listed in the Wire Rope 
Users Manual.
    (2) Wire which is not marked or labeled to enable identification of 
its construction type shall be considered to have a working load limit 
equal to that for 6 x 37, fiber core wire rope.
    (f) Manila rope which is not marked by the manufacturer with a 
working load limit shall be considered to have a working load limit 
based on its diameter as provided in the tables of working load limits.
    (g) Friction mats which are not marked or rated by the manufacturer 
shall be considered to provide resistance to horizontal movement equal 
to 50 percent of the weight placed on the mat.

                                                                 Tables to Sec.  393.108
                                                           [Working Load Limits (WLL), Chain]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                   WLL in kg (pounds)
                                                               -----------------------------------------------------------------------------------------
                       Size mm (inches)                          Grade 30 proof     Grade 43 high       Grade 70
                                                                      coil              test            transport      Grade 80 alloy    Grade 100 alloy
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. 7 (1/4)....................................................       580 (1,300)     1,180 (2,600)     1,430 (3,150)     1,570 (3,500)     1,950 (4,300)
2. 8 (5/16)...................................................       860 (1,900)     1,770 (3,900)     2,130 (4,700)     2,000 (4,500)     2,600 (5,700)
3. 10 (3/8)...................................................     1,200 (2,650)     2,450 (5,400)     2,990 (6,600)     3,200 (7,100)     4,000 (8,800)
4. 11 (7/16)..................................................     1,680 (3,700)     3,270 (7,200)     3,970 (8,750)
5. 13 (1/2)...................................................     2,030 (4,500)     4,170 (9,200)    5,130 (11,300)    5,400 (12,000)    6,800 (15,000)
6. 16 (5/8)...................................................     3,130 (6,900)    5,910 (13,000)    7,170 (15,800)    8,200 (18,100)   10,300 (22,600)
Chain Mark Examples:
    Example 1.................................................                 3                 4                 7                 8                10
    Example 2.................................................                30                43                70                80               100
    Example 3.................................................               300               430               700               800              1000
--------------------------------------------------------------------------------------------------------------------------------------------------------


                            Synthetic Webbing
------------------------------------------------------------------------
                   Width mm (inches)                     WLL kg (pounds)
------------------------------------------------------------------------
45 (1\3/4\)...........................................       790 (1,750)
50 (2)................................................       910 (2,000)
75 (3)................................................     1,360 (3,000)
100 (4)...............................................     1,810 (4,000)
------------------------------------------------------------------------


                     Wire Rope (6 x 37, Fiber Core)
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
7 (1/4)...............................................       640 (1,400)
8 (5/16)..............................................       950 (2,100)
10 (3/8)..............................................     1,360 (3,000)
11 (7/16).............................................     1,860 (4,100)
13 (1/2)..............................................     2,400 (5,300)
16 (5/8)..............................................     3,770 (8,300)
20 (3/4)..............................................    4,940 (10,900)
22 (7/8)..............................................    7,300 (16,100)
25 (1)................................................    9,480 (20,900)
------------------------------------------------------------------------


                               Manila Rope
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
10 (3/8)..............................................          90 (205)
11 (7/16).............................................         120 (265)
13 (1/2)..............................................         150 (315)
16 (5/8)..............................................         210 (465)
20 (3/4)..............................................         290 (640)
25 (1)................................................       480 (1,050)
------------------------------------------------------------------------


   Polypropylene Fiber Rope WLL (3-Strand and 8-Strand Constructions)
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
10 (3/8)..............................................         180 (400)
11 (7/16).............................................         240 (525)
13 (1/2)..............................................         280 (625)
16 (5/8)..............................................         420 (925)
20 (3/4)..............................................       580 (1,275)
25 (1)................................................       950 (2,100)
------------------------------------------------------------------------


     Polyester Fiber Rope WLL (3-Strand and 8-Strand Constructions)
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
10 (3/8)..............................................         250 (555)
11 (7/16).............................................         340 (750)
13 (1/2)..............................................         440 (960)
16 (5/8)..............................................       680 (1,500)
20 (3/4)..............................................       850 (1,880)
25 (1)................................................     1,500 (3,300)
------------------------------------------------------------------------


                               Nylon Rope
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
10 (3/8)..............................................         130 (278)
11 (7/16).............................................         190 (410)
13 (1/2)..............................................         240 (525)
16 (5/8)..............................................         420 (935)
20 (3/4)..............................................       640 (1,420)

[[Page 1145]]

 
25 (1)................................................     1,140 (2,520)
------------------------------------------------------------------------


                        Double Braided Nylon Rope
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
10 (3/8)..............................................         150 (336)
11 (7/16).............................................         230 (502)
13 (1/2)..............................................         300 (655)
16 (5/8)..............................................       510 (1,130)
20 (3/4)..............................................       830 (1,840)
25 (1)................................................     1,470 (3,250)
------------------------------------------------------------------------


                             Steel Strapping
------------------------------------------------------------------------
             Width x thickness mm (inches)               WLL kg (pounds)
------------------------------------------------------------------------
31.7 x .74 (1 1/4 x 0.029)............................       540 (1,190)
31.7 x .79 (1\1/4\ x 0.031)...........................       540 (1,190)
31.7 x .89 (1\1/4\ x 0.035)...........................       540 (1,190)
31.7 x 1.12 (1\1/4\ x 0.044)..........................       770 (1,690)
31.7 x 1.27 (1\1/4\ x 0.05)...........................       770 (1,690)
31.7 x 1.5 (1\1/4\ x 0.057)...........................       870 (1,925)
50.8 x 1.12 (2 x 0.044)...............................     1,200 (2,650)
50.8 x 1.27 (2 x 0.05)................................     1,200 (2,650)
------------------------------------------------------------------------



Sec. 393.110  What else do I have to do to determine the minimum number of tiedowns?

    (a) In addition to the requirements of Sec. 393.106, the minimum 
number of tiedowns required to secure an article or group of articles 
against movement depends on the length of the article(s) being secured, 
and the requirements of paragraphs (b) and (c) of this section.
    (b) When an article is not blocked or positioned to prevent movement 
in the forward direction by a headerboard, bulkhead, other cargo that is 
positioned to prevent movement, or other appropriate blocking devices, 
it must be secured by at least:
    (1) One tiedown for articles 5 feet (1.52 meters) or less in length, 
and 1,100 pounds (500 kg) or less in weight;
    (2) Two tiedowns if the article is:
    (i) 5 feet (1.52 meters) or less in length and more than 1,100 
pounds (500 kg) in weight; or
    (ii) Longer than 5 feet (1.52 meters) but less than or equal to 10 
feet (3.04 meters) in length, irrespective of the weight.
    (3) Two tiedowns if the article is longer than 10 feet (3.04 
meters), and one additional tiedown for every 10 feet (3.04 meters) of 
article length, or fraction thereof, beyond the first 10 feet (3.04 
meters) of length.
    (c) If an individual article is required to be blocked, braced or 
immobilized to prevent movement in the forward direction by a 
headerboard, bulkhead, other articles which are adequately secured or by 
an appropriate blocking or immobilization method, it must be secured by 
at least one tiedown for every 3.04 meters (10 feet) or article length, 
or fraction thereof.
    (d) Special rule for special purpose vehicles. The rules in this 
section do not apply to a vehicle transporting one or more articles of 
cargo such as, but not limited to, machinery or fabricated structural 
items (e.g., steel or concrete beams, crane booms, girders, and trusses, 
etc.) which, because of their design, size, shape, or weight, must be 
fastened by special methods. However, any article of cargo carried on 
that vehicle must be securely and adequately fastened to the vehicle.



Sec. 393.112  Must a tiedown be adjustable?

    Each tiedown, or its associated connectors, or its attachment 
mechanisms must be designed, constructed, and maintained so the driver 
of an in-transit commercial motor vehicle can tighten them. However, 
this requirement does not apply to the use of steel strapping.



Sec. 393.114  What are the requirements for front end structures used as part of a cargo securement system?

    (a) Applicability. The rules in this section are applicable to 
commercial motor vehicles transporting articles of cargo that are in 
contact with the front end structure of the vehicle. The front end 
structure on these cargo-carrying vehicles must meet the performance 
requirements of this section.
    (b) Height and width. (1) The front end structure must extend either 
to a height of 4 feet above the floor of the vehicle or to a height at 
which it blocks forward movement of any item of article of cargo being 
carried on the vehicle, whichever is lower.
    (2) The front end structure must have a width which is at least 
equal to the width of the vehicle or which blocks forward movement of 
any article of cargo being transported on the vehicle, whichever is 
narrower.

[[Page 1146]]

    (c) Strength. The front end structure must be capable of 
withstanding the following horizontal forward static load:
    (1) For a front end structure less than 6 feet in height, a 
horizontal forward static load equal to one-half (0.5) of the weight of 
the articles of cargo being transported on the vehicle uniformly 
distributed over the entire portion of the front end structure that is 
within 4 feet above the vehicle's floor or that is at or below a height 
above the vehicle's floor at which it blocks forward movement of any 
article of the vehicle's cargo, whichever is less; or
    (2) For a front end structure 6 feet in height or higher, a 
horizontal forward static load equal to four-tenths (0.4) of the weight 
of the articles of cargo being transported on the vehicle uniformly 
distributed over the entire front end structure.
    (d) Penetration resistance. The front end structure must be 
designed, constructed, and maintained so that it is capable of resisting 
penetration by any article of cargo that contacts it when the vehicle 
decelerates at a rate of 20 feet per second, per second. The front end 
structure must have no aperture large enough to permit any article of 
cargo in contact with the structure to pass through it.
    (e) Substitute devices. The requirements of this section may be met 
by the use of devices performing the same functions as a front end 
structure, if the devices are at least as strong as, and provide 
protection against shifting articles of cargo at least equal to, a front 
end structure which conforms to those requirements.

           Specific Securement Requirements by Commodity Type



Sec. 393.116  What are the rules for securing logs?

    (a) Applicability. The rules in this section are applicable to the 
transportation of logs with the following exceptions:
    (1) Logs that are unitized by banding or other comparable means may 
be transported in accordance with the general cargo securement rules of 
Secs. 393.100 through 393.114.
    (2) Loads that consist of no more than four processed logs may be 
transported in accordance with the general cargo securement rules of 
Secs. 393.100 through 393.114.
    (3) Firewood, stumps, log debris and other such short logs must be 
transported in a vehicle or container enclosed on both sides, front, and 
rear and of adequate strength to contain them. Longer logs may also be 
so loaded.
    (b) Components of a securement system. (1) Logs must be transported 
on a vehicle designed and built, or adapted, for the transportation of 
logs. Any such vehicle must be fitted with bunks, bolsters, stakes or 
standards, or other equivalent means, that cradle the logs and prevent 
them from rolling.
    (2) All vehicle components involved in securement of logs must be 
designed and built to withstand all anticipated operational forces 
without failure, accidental release or permanent deformation. Stakes or 
standards that are not permanently attached to the vehicle must be 
secured in a manner that prevents unintentional separation from the 
vehicle in transit.
    (3) Tiedowns must be used in combination with the stabilization 
provided by bunks, stakes and bolsters to secure the load.
    (c) Use of securement system. (1) Logs must be solidly packed, and 
the outer bottom logs must be in contact with and resting solidly 
against the bunks, bolsters, stakes or standards.
    (2) Each outside log on the side of a stack of logs must touch at 
least two stakes, bunks, bolsters, or standards. If one end does not 
actually touch a stake, it must rest on other logs in a stable manner 
and must extend beyond the stake, bunk, bolster or standard.
    (3) The center of the highest outside log on each side or end must 
be below the top of each stake, bunk or standard.
    (4) Each log that is not held in place by contact with other logs or 
the stakes, bunks, or standards must be held in place by a tiedown. 
Additional tiedowns or securement devices must be used when the 
condition of the wood results in such low friction between logs that 
they are likely to slip upon each other.

[[Page 1147]]

    (d) Securement of shortwood logs loaded crosswise on frame, rail and 
flatbed vehicles. In addition to the requirements of paragraphs (b) and 
(c) of this section, each stack of logs loaded crosswise must meet the 
following rules:
    (1) In no case may the end of a log in the lower tier extend more 
than one-third of the log's total length beyond the nearest supporting 
structure on the vehicle.
    (2) When only one stack of shortwood is loaded crosswise, it must be 
secured with at least two tiedowns. The tiedowns must attach to the 
vehicle frame at the front and rear of the load, and must cross the load 
in this direction.
    (3) When two tiedowns are used, they must be positioned at 
approximately one-third and two-thirds of the length of the logs.
    (4) A vehicle that is more than 10 meters (33 feet) long must be 
equipped with center stakes, or comparable devices, to divide it into 
sections approximately equal in length. Where a vehicle is so divided, 
each tiedown must secure the highest log on each side of the center 
stake, and must be fastened below these logs. It may be fixed at each 
end and tensioned from the middle, or fixed in the middle and tensioned 
from each end, or it may pass through a pulley or equivalent device in 
the middle and be tensioned from one end.
    (5) Any structure or stake that is subjected to an upward force when 
the tiedowns are tensioned must be anchored to resist that force.
    (6) If two stacks of shortwood are loaded side-by-side, in addition 
to meeting the requirements of paragraphs (d)(1) through (d)(5) of this 
section, they must be loaded so that:
    (i) There is no space between the two stacks of logs;
    (ii) The outside of each stack is raised at least 2.5 cm (1 in) 
within 10 cm (4 in) of the end of the logs or the side of the vehicle;
    (iii) The highest log is no more than 2.44 m (8 ft) above the deck; 
and
    (iv) At least one tiedown is used lengthwise across each stack of 
logs.
    (e) Securement of logs loaded lengthwise on flatbed and frame 
vehicles. In addition to meeting the requirements of paragraphs (b) and 
(c) of this section, each stack of shortwood loaded lengthwise on a 
frame vehicle or on a flatbed must be secured to the vehicle by at least 
two tiedowns.
    (f) Securement of logs transported on pole trailers. (1) The load 
must be secured by at least one tiedown at each bunk, or alternatively, 
by at least two tiedowns used as wrappers that encircle the entire load 
at locations along the load that provide effective securement.
    (2) The front and rear wrappers must be at least 3.04 meters (10 
feet) apart.
    (3) Large diameter single and double log loads must be immobilized 
with chock blocks or other equivalent means to prevent shifting.
    (4) Large diameter logs that rise above bunks must be secured to the 
underlying load with at least two additional wrappers.



Sec. 393.118  What are the rules for securing dressed lumber or similar building products?

    (a) Applicability. The rules in this section apply to the 
transportation of bundles of dressed lumber, packaged lumber, building 
products such as plywood, gypsum board or other materials of similar 
shape. Lumber or building products which are not bundled or packaged 
must be treated as loose items and transported in accordance with 
Secs. 393.100 through 393.114 of this subpart. For the purpose of this 
section, ``bundle'' refers to packages of lumber, building materials or 
similar products which are unitized for securement as a single article 
of cargo.
    (b) Positioning of bundles. Bundles must be placed side by side in 
direct contact with each other, or a means must be provided to prevent 
bundles from shifting towards each other.
    (c) Securement of bundles transported using no more than one tier. 
Bundles carried on one tier must be secured in accordance with the 
general provisions of Secs. 393.100 through 393.114.
    (d) Securement of bundles transported using more than one tier. 
Bundles carried in more than one tier must be either:
    (1) Blocked against lateral movement by stakes on the sides of the 
vehicle and secured by tiedowns laid out over

[[Page 1148]]

the top tier, as outlined in the general provisions of Secs. 393.100 
through 393.114; or
    (2) Restrained from lateral movement by blocking or high friction 
devices between tiers and secured by tiedowns laid out over the top 
tier, as outlined in the general provisions of Secs. 393.100 through 
393.114; or
    (3) Placed directly on top of other bundles or on spacers and 
secured in accordance with the following:
    (i) The length of spacers between bundles must provide support to 
all pieces in the bottom row of the bundle.
    (ii) The width of individual spacers must be equal to or greater 
than the height.
    (iii) If spacers are comprised of layers of material, the layers 
must be unitized or fastened together in a manner which ensures that the 
spacer performs as a single piece of material.
    (iv) The arrangement of the tiedowns for the bundles must be:
    (A) Secured by tiedowns over the top tier of bundles, in accordance 
with the general provisions of Secs. 393.100 through 393.114 with a 
minimum of two tiedowns for bundles longer than 1.52 meters (5 ft); and
    (B) Secured by tiedowns in accordance with the general provisions of 
Secs. 393.100 through 393.114 over the second tier or over a middle tier 
of a maximum height of 1.85 meters (6 ft) above the trailer deck, 
whichever is greater, for each stack of bundles composed of more than 
two tiers; or
    (4) Secured by tiedowns over each tier of bundles, in accordance 
with Secs. 393.100 through 393.114 using a minimum of two tiedowns over 
each of the top bundles longer than 1.52 meters (5 ft), in all 
circumstances.



Sec. 393.120  What are the rules for securing metal coils?

    (a) Applicability. The rules in this section apply to the 
transportation of one or more metal coils which, individually or grouped 
together, weigh 2268 kg (5000 pounds) or more. Shipments of metal coils 
that weigh less than 2268 kg (5000 pounds) may be secured in accordance 
with the provisions of Secs. 393.100 through 393.114.
    (b) Securement of coils transported with eyes vertical on a flatbed 
vehicle, in a sided vehicle or intermodal container with anchor points--
(1) An individual coil. Each coil must be secured by tiedowns arranged 
in a manner to prevent the coils from tipping in the forward, rearward, 
and lateral directions. The restraint system must include the following:
    (i) At least one tiedown attached diagonally from the left side of 
the vehicle or intermodal container (near the forwardmost part of the 
coil), across the eye of the coil, to the right side of the vehicle or 
intermodal container (near the rearmost part of the coil);
    (ii) At least one tiedown attached diagonally from the right side of 
the vehicle or intermodal container (near the forwardmost part of the 
coil), across the eye of the coil, to the left side of the vehicle or 
intermodal container (near the rearmost part of the coil);
    (iii) At least one tiedown attached transversely over the eye of the 
coil; and
    (iv) Either blocking and bracing, friction mats or tiedowns must be 
used to prevent longitudinal movement in the forward direction.
    (2) Coils grouped in rows. When coils are grouped and loaded side by 
side in a transverse or longitudinal row, the each row of coils must be 
secured by the following:
    (i) At least one tiedown attached to the front of the row of coils, 
restraining against forward motion, and whenever practicable, making an 
angle no more than 45 degrees with the floor of the vehicle or 
intermodal container when viewed from the side of the vehicle or 
container;
    (ii) At least one tiedown attached to the rear of the row of coils, 
restraining against rearward motion, and whenever practicable, making an 
angle no more than 45 degrees with the floor of the vehicle or 
intermodal container when viewed from the side of the vehicle or 
container;
    (iii) At least one tiedown over the top of each coil or transverse 
row of coils, restraining against vertical motion. Tiedowns going over 
the top of a coil(s) must be as close as practicable to the eye of the 
coil and positioned to prevent the tiedown from slipping or becoming 
unintentionally unfastened while the vehicle is in transit; and

[[Page 1149]]

    (iv) Tiedowns must be arranged to prevent shifting or tipping in the 
forward, rearward and lateral directions.
    (c) Securement of coils transported with eyes crosswise on a flatbed 
vehicle, in a sided vehicle or intermodal container with anchor points--
(1) An individual coil. Each coil must be secured by the following:
    (i) A means (e.g., timbers, chocks or wedges, a cradle, etc.) to 
prevent the coil from rolling. The means of preventing rolling must 
support the coil off the deck, and must not be capable of becoming 
unintentionally unfastened or loose while the vehicle is in transit. If 
timbers, chocks or wedges are used, they must be held in place by coil 
bunks or similar devices to prevent them from coming loose. The use of 
nailed blocking or cleats as the sole means to secure timbers, chocks or 
wedges, or a nailed wood cradle, is prohibited;
    (ii) At least one tiedown through its eye, restricting against 
forward motion, and whenever practicable, making an angle no more than 
45 degrees with the floor of the vehicle or intermodal container when 
viewed from the side of the vehicle or container; and
    (iii) At least one tiedown through its eye, restricting against 
rearward motion, and whenever practicable, making an angle no more than 
45 degrees with the floor of the vehicle or intermodal container when 
viewed from the side of the vehicle or container.
    (2) Prohibition on crossing of tiedowns when coils are transported 
with eyes crosswise. Attaching tiedowns diagonally through the eye of a 
coil to form an X-pattern when viewed from above the vehicle is 
prohibited.
    (d) Securement of coils transported with eyes lengthwise on a 
flatbed vehicle, in a sided vehicle or intermodal container with anchor 
points--(1) An individual coil-option 1. Each coil must be secured by:
    (i) A means (e.g., timbers, chocks or wedges, a cradle, etc.) to 
prevent the coil from rolling. The means of preventing rolling must 
support the coil off the deck, and must not be capable of becoming 
unintentionally unfastened or loose while the vehicle is in transit. If 
timbers, chocks or wedges are used, they must be held in place by coil 
bunks or similar devices to prevent them from coming loose. The use of 
nailed blocking or cleats as the sole means to secure timbers, chocks or 
wedges, or a nailed wood cradle, is prohibited;
    (ii) At least one tiedown attached diagonally through its eye from 
the left side of the vehicle or intermodal container (near the forward-
most part of the coil), to the right side of the vehicle or intermodal 
container (near the rearmost part of the coil), making an angle no more 
than 45 degrees, whenever practicable, with the floor of the vehicle or 
intermodal container when viewed from the side of the vehicle or 
container;
    (iii) At least one tiedown attached diagonally through its eye, from 
the right side of the vehicle or intermodal container (near the forward-
most part of the coil), to the left side of the vehicle or intermodal 
container (near the rearmost part of the coil), making an angle no more 
than 45 degrees, whenever practicable, with the floor of the vehicle or 
intermodal container when viewed from the side of the vehicle or 
container;
    (iv) At least one tiedown attached transversely over the top of the 
coil; and
    (v) Either blocking, or friction mats to prevent longitudinal 
movement.
    (2) An individual coil--option 2. Each coil must be secured by:
    (i) A means (e.g., timbers, chocks or wedges, a cradle, etc.) to 
prevent the coil from rolling. The means of preventing rolling must 
support the coil off the deck, and must not be capable of becoming 
unintentionally unfastened or loose while the vehicle is in transit. If 
timbers, chocks or wedges are used, they must be held in place by coil 
bunks or similar devices to prevent them from coming loose. The use of 
nailed blocking or cleats as the sole means to secure timbers, chocks or 
wedges, or a nailed wood cradle, is prohibited;
    (ii) At least one tiedown attached straight through its eye from the 
left side of the vehicle or intermodal container (near the forward-most 
part of the coil), to the left side of the vehicle or intermodal 
container (near the rearmost part of the coil), and, whenever 
practicable, making an angle no more

[[Page 1150]]

than 45 degrees with the floor of the vehicle or intermodal container 
when viewed from the side of the vehicle or container;
    (iii) At least one tiedown attached straight through its eye, from 
the right side of the vehicle or intermodal container (near the forward-
most part of the coil), to the right side of the vehicle or intermodal 
container (near the rearmost part of the coil), and whenever 
practicable, making an angle no more than 45 degrees with the floor of 
the vehicle or intermodal container when viewed from the side of the 
vehicle or container;
    (iv) At least one tiedown attached transversely over the top of the 
coil; and
    (v) Either blocking or friction mats to prevent longitudinal 
movement.
    (3) An individual coil--option 3. Each coil must be secured by:
    (i) A means (e.g., timbers, chocks or wedges, a cradle, etc.) to 
prevent the coil from rolling. The means of preventing rolling must 
support the coil off the deck, and must not be capable of becoming 
unintentionally unfastened or loose while the vehicle is in transit. If 
timbers, chocks or wedges are used, they must be held in place by coil 
bunks or similar devices to prevent them from coming loose. The use of 
nailed blocking or cleats as the sole means to secure timbers, chocks or 
wedges, or a nailed wood cradle, is prohibited;
    (ii) At least one tiedown over the top of the coil, located near the 
forward-most part of the coil;
    (iii) At least one tiedown over the top of the coil located near the 
rearmost part of the coil; and
    (iv) Either blocking or friction mats to prevent longitudinal 
movement.he forward direction.
    (4) Rows of coils. Each transverse row of coils having approximately 
equal outside diameters must be secured with:
    (i) A means (e.g., timbers, chocks or wedges, a cradle, etc.) to 
prevent each coil in the row of coils from rolling. The means of 
preventing rolling must support each coil off the deck, and must not be 
capable of becoming unintentionally unfastened or loose while the 
vehicle is in transit. If timbers, chocks or wedges are used, they must 
be held in place by coil bunks or similar devices to prevent them from 
coming loose. The use of nailed blocking or cleats as the sole means to 
secure timbers, chocks or wedges, or a nailed wood cradle, is 
prohibited;
    (ii) At least one tiedown over the top of each coil or transverse 
row, located near the forward-most part of the coil;
    (iii) At least one tiedown over the top of each coil or transverse 
row, located near the rearmost part of the coil; and
    (iv) Either blocking, bracing or friction mats to prevent 
longitudinal movement.
    (e) Securement of coils transported in a sided vehicle without 
anchor points or an intermodal container without anchor points. Metal 
coils transported in a vehicle with sides without anchor points or an 
intermodal container without anchor points must be loaded in a manner to 
prevent shifting and tipping. The coils may also be secured using a 
system of blocking and bracing, friction mats, tiedowns, or a 
combination of these to prevent any horizontal movement and tipping.



Sec. 393.122  What are the rules for securing paper rolls?

    (a) Applicability. The rules in this section apply to shipments of 
paper rolls which, individually or together, weigh 2268 kg (5000 lb) or 
more. Shipments of paper rolls that weigh less than 2268 kg (5000 lb), 
and paper rolls that are unitized on a pallet, may either be secured in 
accordance with the rules in this section or the requirements of 
Secs. 393.100 through 393.114.
    (b) Securement of paper rolls transported with eyes vertical in a 
sided vehicle. (1) Paper rolls must be placed tightly against the walls 
of the vehicle, other paper rolls, or other cargo, to prevent movement 
during transit.
    (2) If there are not enough paper rolls in the shipment to reach the 
walls of the vehicle, lateral movement must be prevented by filling the 
void, blocking, bracing, tiedowns or friction mats. The paper rolls may 
also be banded together.
    (3) When any void behind a group of paper rolls, including that at 
the rear of the vehicle, exceeds the diameter of the paper rolls, 
rearward movement

[[Page 1151]]

must be prevented by friction mats, blocking, bracing, tiedowns, or 
banding to other rolls.
    (4)(i) If a paper roll is not prevented from tipping or falling 
sideways or rearwards by vehicle structure or other cargo, and its width 
is more than 2 times its diameter, it must be prevented from tipping or 
falling by banding it to other rolls, bracing, or tiedowns.
    (ii) If the forwardmost roll(s) in a group of paper rolls is not 
prevented from tipping or falling forwards by vehicle structure or other 
cargo and it is restrained against forward movement by friction mat(s) 
alone, and its width is more than 1.75 times its diameter, it must be 
prevented from tipping or falling forwards by banding it to other rolls, 
bracing, or tiedowns.
    (iii) Otherwise, when a paper roll or the forwardmost roll in groups 
of rolls that are not prevented from tipping or falling forwards by 
vehicle structure or other cargo and its width exceeds 1.25 times its 
diameter it must be prevented from tipping or falling by banding it to 
other rolls, bracing or tiedowns.
    (5) If paper rolls are banded together, the rolls must be placed 
tightly against each other to form a stable group. The bands must be 
applied tightly, and must be secured so that they cannot fall off the 
rolls or to the deck.
    (6) A friction mat used to provide the principal securement for a 
paper roll must protrude from beneath the roll in the direction in which 
it is providing that securement.
    (c) Securement of split loads of paper rolls transported with eyes 
vertical in a sided vehicle. (1) If a paper roll in a split load is not 
prevented from forward movement by vehicle structure or other cargo, it 
must be prevented from forward movement by filling the open space, or by 
blocking, bracing, tiedowns, friction mats, or some combination of 
these.
    (2) A friction mat used to provide the principal securement for a 
paper roll must protrude from beneath the roll in the direction in which 
it is providing that securement.
    (d) Securement of stacked loads of paper rolls transported with eyes 
vertical in a sided vehicle. (1) Paper rolls must not be loaded on a 
layer of paper rolls beneath unless the lower layer extends to the front 
of the vehicle.
    (2) Paper rolls in the second and subsequent layers must be 
prevented from forward, rearward or lateral movement by means as allowed 
for the bottom layer, or by use of a blocking roll from a lower layer.
    (3) The blocking roll must be at least 38 mm (1.5 in) taller than 
other rolls, or must be raised at least 38 mm (1.5 in) using dunnage.
    (4) A roll in the rearmost row of any layer must not be raised using 
dunnage.
    (e) Securement of paper rolls transported with eyes crosswise in a 
sided vehicle. (1) The paper rolls must be prevented from rolling or 
shifting longitudinally by contact with vehicle structure or other 
cargo, by chocks, wedges or blocking and bracing of adequate size, or by 
tiedowns.
    (2) Chocks, wedges or blocking must be held securely in place by 
some means in addition to friction, so they cannot become 
unintentionally unfastened or loose while the vehicle is in transit.
    (3) The rearmost roll must not be secured using the rear doors of 
the vehicle or intermodal container, or by blocking held in place by 
those doors.
    (4) If there is more than a total of 203 mm (8 in) of space between 
the ends of a paper roll, or a row of rolls, and the walls of the 
vehicle, void fillers, blocking, bracing, friction mats, or tiedowns 
must be used to prevent the roll from shifting towards either wall.
    (f) Securement of stacked loads of paper rolls transported with eyes 
crosswise in a sided vehicle. (1) Rolls must not be loaded in a second 
layer unless the bottom layer extends to the front of the vehicle.
    (2) Rolls must not be loaded in a third or higher layer unless all 
wells in the layer beneath are filled.
    (3) The foremost roll in each upper layer, or any roll with an empty 
well in front of it, must be secured against forward movement by:
    (i) Banding it to other rolls, or
    (ii) Blocking against an adequately secured eye-vertical blocking 
roll resting on the floor of the vehicle which is

[[Page 1152]]

at least 1.5 times taller than the diameter of the roll being blocked, 
or
    (iii) Placing it in a well formed by two rolls on the lower row 
whose diameter is equal to or greater than that of the roll on the upper 
row.
    (4) The rearmost roll in each upper layer must be secured by banding 
it to other rolls if it is located in either of the last two wells 
formed by the rearmost rolls in the layer below.
    (5) Rolls must be secured against lateral movement by the same means 
allowed for the bottom layer when there is more than a total of 203 mm 
(8 in) of space between the ends of a paper roll, or a row of rolls, and 
the walls of the vehicle.
    (g) Securement of paper rolls transported with the eyes lengthwise 
in a sided vehicle.
    (1) Each roll must be prevented from forward movement by contact 
with vehicle structure, other cargo, blocking or tiedowns.
    (2) Each roll must be prevented from rearward movement by contact 
with other cargo, blocking, friction mats or tiedowns.
    (3) The paper rolls must be prevented from rolling or shifting 
laterally by contact with the wall of the vehicle or other cargo, or by 
chocks, wedges or blocking of adequate size.
    (4) Chocks, wedges or blocking must be held securely in place by 
some means in addition to friction, so they cannot become 
unintentionally unfastened or loose while the vehicle is in transit.
    (h) Securement of stacked loads of paper rolls transported with the 
eyes lengthwise in a sided vehicle. (1) Rolls must not be loaded in a 
higher layer if another roll will fit in the layer beneath.
    (2) An upper layer must be formed by placing paper rolls in the 
wells formed by the rolls beneath.
    (3) A roll in an upper layer must be secured against forward and 
rearward movement by any of the means allowed for the bottom layer, by 
use of a blocking roll, or by banding to other rolls.
    (i) Securement of paper rolls transported on a flatbed vehicle or in 
a curtain-sided vehicle--(1) Paper rolls with eyes vertical or with eyes 
lengthwise.
    (i) The paper rolls must be loaded and secured as described for a 
sided vehicle, and the entire load must be secured by tiedowns in 
accordance with the requirements of Secs. 393.100 through 393.114.
    (ii) Stacked loads of paper rolls with eyes vertical are prohibited.
    (2) Paper rolls with eyes crosswise. (i) The paper rolls must be 
prevented from rolling or shifting longitudinally by contact with 
vehicle structure or other cargo, by chocks, wedges or blocking and 
bracing of adequate size, or by tiedowns.
    (ii) Chocks, wedges or blocking must be held securely in place by 
some means in addition to friction so that they cannot become 
unintentionally unfastened or loose while the vehicle is in transit.
    (iii) Tiedowns must be used in accordance with the requirements of 
Secs. 393.100 through 393.114 to prevent lateral movement.



Sec. 393.124  What are the rules for securing concrete pipe?

    (a) Applicability. (1) The rules in this section apply to the 
transportation of concrete pipe on flatbed trailers and vehicles, and 
lowboy trailers.
    (2) Concrete pipe bundled tightly together into a single rigid 
article that has no tendency to roll, and concrete pipe loaded in a 
sided vehicle or container must be secured in accordance with the 
provisions of Secs. Sec. 393.100 through 393.114.
    (b) General specifications for tiedowns. (1) The aggregate working 
load limit of all tiedowns on any group of pipes must not be less than 
half the total weight of all the pipes in the group.
    (2) A transverse tiedown through a pipe on an upper tier or over 
longitudinal tiedowns is considered to secure all those pipes beneath on 
which that tiedown causes pressure.
    (c) Blocking. (1) Blocking may be one or more pieces placed 
symmetrically about the center of a pipe.
    (2) One piece must extend at least half the distance from the center 
to each end of the pipe, and two pieces must be placed on the opposite 
side, one at each end of the pipe.
    (3) Blocking must be placed firmly against the pipe, and must be 
secured

[[Page 1153]]

to prevent it moving out from under the pipe.
    (4) Timber blocking must have minimum dimensions of at least 10 x 15 
cm (4 x 6 in).
    (d) Arranging the load--(1) Pipe of different diameter. If pipe of 
more than one diameter are loaded on a vehicle, groups must be formed 
that consist of pipe of only one size, and each group must be separately 
secured.
    (2) Arranging a bottom tier. The bottom tier must be arranged to 
cover the full length of the vehicle, or as a partial tier in one group 
or two groups.
    (3) Arranging an upper tier. Pipe must be placed only in the wells 
formed by adjacent pipes in the tier beneath. A third or higher tier 
must not be started unless all wells in the tier beneath are filled.
    (4) Arranging the top tier. The top tier must be arranged as a 
complete tier, a partial tier in one group, or a partial tier in two 
groups.
    (5) Arranging bell pipe. (i) Bell pipe must be loaded on at least 
two longitudinal spacers of sufficient height to ensure that the bell is 
clear of the deck.
    (ii) Bell pipe loaded in one tier must have the bells alternating on 
opposite sides of the vehicle.
    (iii) The ends of consecutive pipe must be staggered, if possible, 
within the allowable width, otherwise they must be aligned.
    (iv) Bell pipe loaded in more than one tier must have the bells of 
the bottom tier all on the same side of the vehicle.
    (v) Pipe in every upper tier must be loaded with bells on the 
opposite side of the vehicle to the bells of the tier below.
    (vi) If the second tier is not complete, pipe in the bottom tier 
which do not support a pipe above must have their bells alternating on 
opposite sides of the vehicle.
    (e) Securing pipe with an inside diameter up to 1,143 mm (45 in). In 
addition to the requirements of paragraphs (b), (c) and (d) of this 
section, the following rules must be satisfied:
    (1) Stabilizing the bottom tier. (i) The bottom tier must be 
immobilized longitudinally at each end by blocking, vehicle end 
structure, stakes, a locked pipe unloader, or other equivalent means.
    (ii) Other pipe in the bottom tier may also be held in place by 
blocks and/or wedges; and
    (iii) Every pipe in the bottom tier must also be held firmly in 
contact with the adjacent pipe by tiedowns though the front and rear 
pipes:
    (A) At least one tiedown through the front pipe of the bottom tier 
must run aft at an angle not more than 45 degrees with the horizontal, 
whenever practicable.
    (B) At least one tiedown through the rear pipe of the bottom tier 
must run forward at an angle not more than 45 degrees with the 
horizontal, whenever practicable.
    (2) Use of tiedowns. (i) Each pipe may be secured individually with 
tiedowns through the pipe.
    (ii) If each pipe is not secured individually with a tiedown, then:
    (A) Either one 1/2-inch diameter chain or wire rope, or two 3/8-inch 
diameter chain or wire rope, must be placed longitudinally over the 
group of pipes;
    (B) One transverse tiedown must be used for every 3.04 m (10 ft) of 
load length. The transverse tiedowns may be placed through a pipe, or 
over both longitudinal tiedowns between two pipes on the top tier.
    (C) If the first pipe of a group in the top tier is not placed in 
the first well formed by pipes at the front of the tier beneath, it must 
be secured by an additional tiedown that runs rearward at an angle not 
more than 45 degrees to the horizontal, whenever practicable. This 
tiedown must pass either through the front pipe of the upper tier, or 
outside it and over both longitudinal tiedowns; and
    (D) If the last pipe of a group in the top tier is not placed in the 
last well formed by pipes at the rear of the tier beneath, it must be 
secured by an additional tiedown that runs forward at an angle not more 
than 45 degrees to the horizontal, whenever practicable. This tiedown 
must pass either through the rear pipe of the upper tier or outside it 
and over both longitudinal tiedowns.
    (f) Securing large pipe, with an inside diameter over 1143 mm (45 
in). In addition to the requirements of paragraphs (b), (c) and (d) of 
this section, the following rules must be satisfied:

[[Page 1154]]

    (1) The front pipe and the rear pipe must be immobilized by 
blocking, wedges, vehicle end structure, stakes, locked pipe unloader, 
or other equivalent means.
    (2) Each pipe must be secured by tiedowns through the pipe:
    (i) At least one tiedown through each pipe in the front half of the 
load, which includes the middle one if there is an odd number, and must 
run rearward at an angle not more than 45 degrees with the horizontal, 
whenever practicable.
    (ii) At least one tiedown through each pipe in the rear half of the 
load, and must run forward at an angle not more than 45 degrees with the 
horizontal, whenever practicable, to hold each pipe firmly in contact 
with adjacent pipe; and
    (iii) If the front or rear pipe is not also in contact with vehicle 
end structure, stakes, a locked pipe unloader, or other equivalent 
means, at least two tiedowns positioned as described in paragraphs 
(f)(2)(i) and (ii) of this section, must be used through that pipe.
    (3) If only one pipe is transported, or if several pipes are 
transported without contact between other pipes, the requirements in 
this paragraph apply to each pipe as a single front and rear article.



Sec. 393.126  What are the rules for securing intermodal containers?

    (a) Applicability. The rules in this section apply to the 
transportation of intermodal containers. Cargo contained within an 
intermodal container must be secured in accordance with the provisions 
of Secs. 393.100 through 393.114 or, if applicable, the commodity 
specific rules of this part.
    (b) Securement of intermodal containers transported on container 
chassis vehicle(s). (1) Each intermodal container must be secured to the 
container chassis with securement devices or integral locking devices 
that cannot unintentionally become unfastened while the vehicle is in 
transit.
    (2) The securement devices must restrain the container from moving 
more than 1.27 cm (1/2 in) forward, more than 1.27 cm (1/2 in) aft, more 
than 1.27 cm (1/2 in) to the right, more than 1.27 cm (1/2 in) to the 
left, or more than 2.54 cm (1 in) vertically.
    (3) The front and rear of the container must be secured 
independently.
    (c) Securement of loaded intermodal containers transported on 
vehicles other than container chassis vehicle(s). (1) All lower corners 
of the intermodal container must rest upon the vehicle, or the corners 
must be supported by a structure capable of bearing the weight of the 
container and that support structure must be independently secured to 
the motor vehicle.
    (2) Each container must be secured to the vehicle by:
    (i) Chains, wire ropes or integral devices which are fixed to all 
lower corners; or
    (ii) Crossed chains which are fixed to all upper corners; and,
    (3) The front and rear of the container must be secured 
independently. Each chain, wire rope, or integral locking device must be 
attached to the container in a manner that prevents it from being 
unintentionally unfastened while the vehicle is in transit.
    (d) Securement of empty intermodal containers transported on 
vehicles other than container chassis vehicle(s). Empty intermodal 
containers transported on vehicles other than container chassis vehicles 
do not have to have all lower corners of the intermodal container 
resting upon the vehicle, or have all lower corners supported by a 
structure capable of bearing the weight of the empty container, 
provided:
    (1) The empty intermodal container is balanced and positioned on the 
vehicle in a manner such that the container is stable before the 
addition of tiedowns or other securement equipment; and,
    (2) The amount of overhang for the empty container on the trailer 
does not exceed five feet on either the front or rear of the trailer;
    (3) The empty intermodal container must not interfere with the 
vehicle's maneuverability; and,
    (4) The empty intermodal container is secured to prevent lateral, 
longitudinal, or vertical shifting.



Sec. 393.128  What are the rules for securing automobiles, light trucks and vans?

    (a) Applicability. The rules in this section apply to the 
transportation of

[[Page 1155]]

automobiles, light trucks, and vans which individually weigh 4,536 kg. 
(10,000 lb) or less. Vehicles which individually are heavier than 4,536 
kg (10,000 lb) must be secured in accordance with the provisions of 
Sec. 393.130 of this part.
    (b) Securement of automobiles, light trucks, and vans.
    (1) Automobiles, light trucks, and vans must be restrained at both 
the front and rear to prevent lateral, forward, rearward, and vertical 
movement using a minimum of two tiedowns.
    (2) Tiedowns that are designed to be affixed to the structure of the 
automobile, light truck, or van must use the mounting points on those 
vehicles that have been specifically designed for that purpose.
    (3) Tiedowns that are designed to fit over or around the wheels of 
an automobile, light truck, or van must provide restraint in the 
lateral, longitudinal and vertical directions.
    (4) Edge protectors are not required for synthetic webbing at points 
where the webbing comes in contact with the tires.



Sec. 393.130  What are the rules for securing heavy vehicles, equipment and machinery?

    (a) Applicability. The rules in this section apply to the 
transportation of heavy vehicles, equipment and machinery which operate 
on wheels or tracks, such as front end loaders, bulldozers, tractors, 
and power shovels and which individually weigh 4,536 kg (10,000 lb.) or 
more. Vehicles, equipment and machinery which is lighter than 4,536 kg 
(10,000 lb.) may also be secured in accordance with the provisions of 
this section, with Sec. 393.128, or in accordance with the provisions of 
Secs. 393.100 through 393.114.
    (b) Preparation of equipment being transported. (1) Accessory 
equipment, such as hydraulic shovels, must be completely lowered and 
secured to the vehicle.
    (2) Articulated vehicles shall be restrained in a manner that 
prevents articulation while in transit.
    (c) Securement of heavy vehicles, equipment or machinery with 
crawler tracks or wheels. (1) In addition to the requirements of 
paragraph (b) of this section, heavy equipment or machinery with crawler 
tracks or wheels must be restrained against movement in the lateral, 
forward, rearward, and vertical direction using a minimum of four 
tiedowns.
    (2) Each of the tiedowns must be affixed as close as practicable to 
the front and rear of the vehicle, or mounting points on the vehicle 
that have been specifically designed for that purpose.



Sec. 393.132  What are the rules for securing flattened or crushed vehicles?

    (a) Applicability. The rules in this section apply to the 
transportation of vehicles such as automobiles, light trucks, and vans 
that have been flattened or crushed.
    (b) Prohibition on the use of synthetic webbing. The use of 
synthetic webbing to secure flattened or crushed vehicles is prohibited.
    (c) Securement of flattened or crushed vehicles. Flattened or 
crushed vehicles must be transported on vehicles which have:
    (1) Containment walls or comparable means on four sides which extend 
to the full height of the load and which block against movement of the 
cargo in the forward, rearward and lateral directions; or
    (2)(i) Containment walls or comparable means on three sides which 
extend to the full height of the load and which block against movement 
of the cargo in the forward, rearward and the lateral direction for 
which there is no containment wall or comparable means, and
    (ii) A minimum of two tiedowns are required per vehicle stack; or
    (3)(i) Containment walls on two sides which extend to the full 
height of the load and which block against movement of the cargo in the 
forward and rearward directions, and
    (ii) A minimum of three tiedowns are required per vehicle stack; or
    (4) A minimum of four tiedowns per vehicle stack.
    (5) In addition to the requirements of paragraphs (c)(2), (3), and 
(4), the following rules must be satisfied:
    (i) Vehicles used to transport flattened or crushed vehicles must be 
equipped with a means to prevent loose

[[Page 1156]]

parts from falling from all four sides of the vehicle which extends to 
the full height of the cargo.
    (ii) The means used to contain loose parts may consist of structural 
walls, sides or sideboards, or suitable covering material, alone or in 
combinations.
    (iii) The use of synthetic material for containment of loose parts 
is permitted.



Sec. 393.134  What are the rules for securing roll-on/roll-off or hook lift containers?

    (a) Applicability. The rules in this section apply to the 
transportation of roll-on/roll-off or hook lift containers.
    (b) Securement of a roll-on/roll-off and hook lift container. Each 
roll-on/roll-off and hook lift container carried on a vehicle which is 
not equipped with an integral securement system must be:
    (1) Blocked against forward movement by the lifting device, stops, a 
combination of both or other suitable restraint mechanism;
    (2) Secured to the front of the vehicle by the lifting device or 
other suitable restraint against lateral and vertical movement;
    (3) Secured to the rear of the vehicle with at least one of the 
following mechanisms:
    (i) One tiedown attached to both the vehicle chassis and the 
container chassis;
    (ii) Two tiedowns installed lengthwise, each securing one side of 
the container to one of the vehicle's side rails; or
    (iii) Two hooks, or an equivalent mechanism, securing both sides of 
the container to the vehicle chassis at least as effectively as the 
tiedowns in the two previous items.
    (4) The mechanisms used to secure the rear end of a roll-on/roll off 
or hook lift container must be installed no more than two meters (6 ft 7 
in) from the rear of the container.
    (5) In the event that one or more of the front stops or lifting 
devices are missing, damaged or not compatible, additional manually 
installed tiedowns must be used to secure the container to the vehicle, 
providing the same level of securement as the missing, damaged or 
incompatible components.



Sec. 393.136  What are the rules for securing large boulders?

    (a) Applicability. (1) The rules in this section are applicable to 
the transportation of any large piece of natural, irregularly shaped 
rock weighing in excess of 5,000 kg (11,000 lb.) or with a volume in 
excess of 2 cubic-meters on an open vehicle, or in a vehicle whose sides 
are not designed and rated to contain such cargo.
    (2) Pieces of rock weighing more than 100 kg (220 lb.), but less 
than 5,000 kg (11,000 lb.) must be secured, either in accordance with 
this section, or in accordance with the provisions of Secs. 393.100 
through 393.114, including:
    (i) Rock contained within a vehicle which is designed to carry such 
cargo; or
    (ii) Secured individually by tiedowns, provided each piece can be 
stabilized and adequately secured.
    (3) Rock which has been formed or cut to a shape and which provides 
a stable base for securement must also be secured, either in accordance 
with the provisions of this section, or in accordance with the 
provisions of Secs. 393.100 through 393.114.
    (b) General requirements for the positioning of boulders on the 
vehicle. (1) Each boulder must be placed with its flattest and/or 
largest side down.
    (2) Each boulder must be supported on at least two pieces of hard 
wood blocking at least 10 cm x 10 cm (4 inches x 4 inches) side 
dimensions extending the full width of the boulder.
    (3) Hardwood blocking pieces must be placed as symmetrically as 
possible under the boulder and should support at least three-fourths of 
the length of the boulder.
    (4) If the flattest side of a boulder is rounded or partially 
rounded, so that the boulder may roll, it must be placed in a crib made 
of hardwood timber fixed to the deck of the vehicle so that the boulder 
rests on both the deck and the timber, with at least three well-
separated points of contact that prevent its tendency to roll in any 
direction.
    (5) If a boulder is tapered, the narrowest end must point towards 
the front of the vehicle.

[[Page 1157]]

    (c) General tiedown requirements. (1) Only chain may be used as 
tiedowns to secure large boulders.
    (2) Tiedowns which are in direct contact with the boulder should, 
where possible, be located in valleys or notches across the top of the 
boulder, and must be arranged to prevent sliding across the rock 
surface.
    (d) Securement of a cubic shaped boulder. In addition to the 
requirements of paragraphs (b) and (c) of this section, the following 
rules must be satisfied:
    (1) Each boulder must be secured individually with at least two 
chain tiedowns placed transversely across the vehicle.
    (2) The aggregate working load limit of the tiedowns must be at 
least half the weight of the boulder.
    (3) The tiedowns must be placed as closely as possible to the wood 
blocking used to support the boulder.
    (e) Securement of a non-cubic shaped boulder--with a stable base. In 
addition to the requirements of paragraphs (b) and (c) of this section, 
the following rules must be satisfied:
    (1) The boulder must be secured individually with at least two chain 
tiedowns forming an ``X'' pattern over the boulder.
    (2) The aggregate working load limit of the tiedowns must be at 
least half the weight of the boulder.
    (3) The tiedowns must pass over the center of the boulder and must 
be attached to each other at the intersection by a shackle or other 
connecting device.
    (f) Securement of a non-cubic shaped boulder--with an unstable base. 
In addition to the requirements of paragraphs (b) and (c) of this 
section, each boulder must be secured by a combination of chain tiedowns 
as follows:
    (1) One chain must surround the top of the boulder (at a point 
between one-half and two-thirds of its height). The working load limit 
of the chain must be at least half the weight of the boulder.
    (2) Four chains must be attached to the surrounding chain and the 
vehicle to form a blocking mechanism which prevents any horizontal 
movement. Each chain must have a working load limit of at least one-
fourth the weight of the boulder. Whenever practicable, the angle of the 
chains must not exceed 45 degrees from the horizontal.



   Subpart J--Frames, Cab and Body Components, Wheels, Steering, and 
                           Suspension Systems

    Source: 53 FR 49402, Dec. 7, 1988, unless otherwise noted.



Sec. 393.201  Frames.

    (a) The frame of every bus, truck, and truck tractor shall not be 
cracked, loose, sagging or broken.
    (b) Bolts or brackets securing the cab or the body of the vehicle to 
the frame must not be loose, broken, or missing.
    (c) The frame rail flanges between the axles shall not be bent, cut 
or notched, except as specified by the manufacturer.
    (d) All accessories mounted to the truck tractor frame must be 
bolted or riveted.
    (e) No holes shall be drilled in the top or bottom rail flanges, 
except as specified by the manufacturer.
    (f) Field repairs are allowed.



Sec. 393.203  Cab and body components.

    (a) The cab compartment doors or door parts used as an entrance or 
exist shall not be missing or broken. Doors shall not sag so that they 
cannot be properly opened or closed. No door shall be wired shut or 
otherwise secured in the closed position so that it cannot be readily 
opened. Exception: When the vehicle is loaded with pipe or bar stock 
that blocks the door and the cab has a roof exit.
    (b) Bolts or brackets securing the cab or the body of the vehicle to 
the frame shall not be loose, broken, or missing.
    (c) The hood must be securely fastened.
    (d) All seats must be securely mounted.
    (e) The front bumper must not be missing, loosely attached, or 
protruding beyond the confines of the vehicle so as to create a hazard.



Sec. 393.205  Wheels.

    (a) Wheels and rims shall not be cracked or broken.

[[Page 1158]]

    (b) Stud or bolt holes on the wheels shall shall not be elongated 
(out of round).
    (c) Nuts or bolts shall not be missing or loose.



Sec. 393.207  Suspension systems.

    (a) Axles. No axle positioning part shall be cracked, broken, loose 
or missing. All axles must be in proper alignment.
    (b) Adjustable axles. Adjustable axle assemblies shall not have 
locking pins missing or disengaged.
    (c) Leaf springs. No leaf spring shall be cracked, broken, or 
missing nor shifted out of position.
    (d) Coil springs. No coil spring shall be cracked or broken.
    (e) Torsion bar. No torsion bar or torsion bar suspension shall be 
cracked or broken.
    (f) Air suspensions. The air pressure regulator valve shall not 
allow air into the suspension system until at least 55 psi is in the 
braking system. The vehicle shall be level (not tilting to the left or 
right). Air leakage shall not be greater than 3 psi in a 5-minute time 
period when the vehicle's air pressure gauge shows normal operating 
pressure.



Sec. 393.209  Steering wheel systems.

    (a) The steering wheel shall be secured and must not have any spokes 
cracked through or missing.
    (b) The steering wheel lash shall not exceed the following 
parameters:

------------------------------------------------------------------------
                                                   Manual       Power
            Steering wheel diameter               steering     steering
                                                   system       system
------------------------------------------------------------------------
16 or less.........................  2+     thn-eq>+
18.................................   2\1/4\+     thn-eq>+
20.................................   2\1/2\+     thn-eq>+
22.................................   2\3/4\+     thn-eq>+
------------------------------------------------------------------------

    (c) Steering column. The steering column must be securely fastened.
    (d) Steering system. Universal joints shall not be worn, faulty or 
repaired by welding. The steering gear box shall not have loose or 
missing mounting bolts or cracks in the gear box or mounting brackets. 
The pitman arm on the steering gear output shaft shall not be loose. 
Steering wheels shall turn freely through the limit of travel in both 
directions.
    (e) Power steering systems. All components of the power system must 
be in operating condition. No parts shall be loose or broken. Belts 
shall not be frayed, cracked or slipping. The system shall not leak. The 
power steering system shall have sufficient fluid in the reservoir.

                           PART 394 [RESERVED]



PART 395--HOURS OF SERVICE OF DRIVERS--Table of Contents




Sec.
395.0 Compliance date for certain requirements for hours of service of 
          drivers.
395.1 Scope of rules in this part.
395.2 Definitions.
395.3 Maximum driving time for property-carrying vehicles.
395.5 Maximum driving time for passenger-carrying vehicles.
395.7 [Reserved]
395.8 Driver's record of duty status.
395.10-395.12 [Reserved]
395.13 Drivers declared out of service.
395.15 Automatic on-board recording devices.

    Authority: 49 U.S.C. 504, 14122, 31133, 31136, and 31502; sec. 113, 
Pub. L. 103-311, 108 Stat. 1673, 1676; and 49 CFR 1.73.

    Source: 33 FR 19758, Dec. 25, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 395 appear at 66 FR 
49874, Oct. 1, 2001.



Sec. 395.0  Compliance date for certain requirements for hours of service of drivers.

    (a) Motor carriers and drivers must comply with the following 
requirements of this chapter through January 3, 2004, that were in 
effect before June 27, 2003, and are contained in 49 CFR Chapter III 
revised as of October 1, 2002:
    (1) Secs. 395.1(b), (e)(3), (e)(4), (g), (h), and (j) of this part;
    (2) Sec. 395.3 of this part;
    (3) Sec. 390.23(b) and (c) of this subchapter; and
    (4) The citations and text for Secs. 395.1(h)(1)(i) through 
395.3(b)(2) in section VII. List of Acute and Critical Regulations in 
appendix B to part 385 of this subchapter.
    (b) Motor carriers and drivers must comply beginning on January 4, 
2004

[[Page 1159]]

with the amendments made to the following sections that took effect on 
June 27, 2003, and are contained in 49 CFR chapter III revised as of 
October 1, 2003:
    (1) Secs. 395.1(b), (e)(3), (e)(4), (g), (h), (j), and (o) of this 
part;
    (2) Sec. 395.3 of this part;
    (3) Sec. 395.5 of this part;
    (4) Secs. 390.23(b) and (c) of this subchapter; and
    (5) The citations and text for Secs. 395.1(h)(1)(i) through 
395.5(b)(2) in section VII. List of Acute and Critical Regulations in 
appendix B to part 385 of this subchapter.

[68 FR 22514, Apr. 28, 2003]

    Effective Date Note: At 68 FR 22514, Apr. 28, 2003, Sec. 395.0 was 
added effective June 27, 2003 through June 30, 2004.



Sec. 395.1  Scope of rules in this part.

    (a) General. (1) The rules in this part apply to all motor carriers 
and drivers, except as provided in paragraphs (b) through (n) of this 
section.
    (2) The exceptions from Federal requirements contained in paragraphs 
(l) through (n) do not preempt State laws and regulations governing the 
safe operation of commercial motor vehicles.
    (b) Adverse driving conditions. (1) Except as provided in paragraph 
(h)(2) of this section, a driver who encounters adverse driving 
conditions, as defined in Sec. 395.2, and cannot, because of those 
conditions, safely complete the run within the maximum driving time 
permitted by Secs. 395.3(a) or 395.5(a) may drive and be permitted or 
required to drive a commercial motor vehicle for not more than 2 
additional hours in order to complete that run or to reach a place 
offering safety for the occupants of the commercial motor vehicle and 
security for the commercial motor vehicle and its cargo. However, that 
driver may not drive or be permitted to drive--
    (i) For more than 13 hours in the aggregate following 10 consecutive 
hours off duty for drivers of property-carrying commercial motor 
vehicles;
    (ii) After he/she has been on duty after the end of the 14th hour 
after coming on duty following 10 consecutive hours off duty for drivers 
of property-carrying commercial motor vehicles;
    (iii) For more than 12 hours in the aggregate following 8 
consecutive hours off duty for drivers of passenger-carrying commercial 
motor vehicles; or
    (iv) After he/she has been on duty 15 hours following 8 consecutive 
hours off duty for drivers of passenger-carrying commercial motor 
vehicles.
    (2) Emergency conditions. In case of any emergency, a driver may 
complete his/her run without being in violation of the provisions of the 
regulations in this part, if such run reasonably could have been 
completed absent the emergency.
    (c) Driver-salesperson. The provisions of Sec. 395.3(b) shall not 
apply to any driver-salesperson whose total driving time does not exceed 
40 hours in any period of 7 consecutive days.
    (d) Oilfield operations. (1) In the instance of drivers of 
commercial motor vehicles used exclusively in the transportation of 
oilfield equipment, including the stringing and picking up of pipe used 
in pipelines, and servicing of the field operations of the natural gas 
and oil industry, any period of 8 consecutive days may end with the 
beginning of any off-duty period of 24 or more successive hours.
    (2) In the case of specially trained drivers of commercial motor 
vehicles which are specially constructed to service oil wells, on-duty 
time shall not include waiting time at a natural gas or oil well site; 
provided, that all such time shall be fully and accurately accounted for 
in records to be maintained by the motor carrier. Such records shall be 
made available upon request of the Federal Motor Carrier Safety 
Administration.
    (e) 100 air-mile radius driver. A driver is exempt from the 
requirements of Sec. 395.8 if:
    (1) The driver operates within a 100 air-mile radius of the normal 
work reporting location;
    (2) The driver, except a driver salesperson, returns to the work 
reporting location and is released from work within 12 consecutive 
hours;
    (3)(i) A property-carrying commercial motor vehicle driver has at 
least 10 consecutive hours off duty separating each 12 hours on duty;

[[Page 1160]]

    (ii) A passenger-carrying commercial motor vehicle driver has at 
least 8 consecutive hours off duty separating each 12 hours on duty;
    (4)(i) A property-carrying commercial motor vehicle driver does not 
exceed 11 hours maximum driving time following 10 consecutive hours off 
duty; or
    (ii) A passenger-carrying commercial motor vehicle driver does not 
exceed 10 hours maximum driving time following 8 consecutive hours off 
duty; and
    (5) The motor carrier that employs the driver maintains and retains 
for a period of 6 months accurate and true time records showing:
    (i) The time the driver reports for duty each day;
    (ii) The total number of hours the driver is on duty each day;
    (iii) The time the driver is released from duty each day; and
    (iv) The total time for the preceding 7 days in accordance with 
Sec. 395.8(j)(2) for drivers used for the first time or intermittently.
    (f) Retail store deliveries. The provisions of Sec. 395.3 (a) and 
(b) shall not apply with respect to drivers of commercial motor vehicles 
engaged solely in making local deliveries from retail stores and/or 
retail catalog businesses to the ultimate consumer, when driving solely 
within a 100-air mile radius of the driver's work-reporting location, 
during the period from December 10 to December 25, both inclusive, of 
each year.
    (g) Sleeper berths.
    (1) General property-carrying commercial motor vehicle. A driver who 
is driving a property-carrying commercial motor vehicle that is equipped 
with a sleeper berth, as defined in Secs. 395.2 and 393.76 of this 
subchapter, may accumulate the equivalent of 10 consecutive hours of 
off-duty time by taking a combination of at least 10 consecutive hours 
off-duty and sleeper berth time; or by taking two periods of rest in the 
sleeper berth, providing:
    (i) Neither rest period is shorter than two hours;
    (ii) The driving time in the period immediately before and after 
each rest period, when added together, does not exceed 11 hours;
    (iii) The driver does not drive after the 14th hour after coming on 
duty following 10 hours off duty, where the 14th hour is calculated:
    (A) by excluding any sleeper berth period of at least 2 hours which, 
when added to a subsequent sleeper berth period, totals at least 10 
hours, and
    (B) by including all on-duty time, all off-duty time not spent in 
the sleeper berth, all sleeper berth periods of less than 2 hours, and 
any sleeper berth period not described in paragraph (g)(1)(iii)(A); and
    (iv) The driver may not return to driving subject to the normal 
limits under Sec. 395.3 without taking at least 10 consecutive hours off 
duty, at least 10 consecutive hours in the sleeper berth, or a 
combination of at least 10 consecutive hours off duty and sleeper berth 
time.
    (2) Specially trained driver of a specially constructed oil well 
servicing commercial motor vehicle at a natural gas or oil well 
location. A specially trained driver who operates a commercial motor 
vehicle specially constructed to service natural gas or oil wells that 
is equipped with a sleeper berth, as defined in Secs. 395.2 and 393.76 
of this subchapter, or who is off duty at a natural gas or oil well 
location, may accumulate the equivalent of 10 consecutive hours off duty 
by taking a combination of at least 10 consecutive hours of off-duty 
time, sleeper-berth time, or time in other sleeping accommodations at a 
natural gas or oil well location; or by taking two periods of rest in a 
sleeper berth, or other sleeping accommodation at a natural gas or oil 
well location, providing:
    (i) Neither rest period is shorter than two hours;
    (ii) The driving time in the period immediately before and after 
each rest period, when added together, does not exceed 11 hours;
    (iii) The driver does not drive after the 14th hour after coming on 
duty following 10 hours off duty, where the 14th hour is calculated:
    (A) by excluding any sleeper berth or other sleeping accommodation 
period of at least 2 hours which, when added to a subsequent sleeper 
berth or other sleeping accommodation period, totals at least 10 hours, 
and

[[Page 1161]]

    (B) by including all on-duty time, all off-duty time not spent in 
the sleeper berth or other sleeping accommodations, all such periods of 
less than 2 hours, and any period not described in paragraph 
(g)(2)(iii)(A); and
    (iv) The driver may not return to driving subject to the normal 
limits under Sec. 395.3 without taking at least 10 consecutive hours off 
duty, at least 10 consecutive hours in the sleeper berth or other 
sleeping accommodations, or a combination of at least 10 consecutive 
hours off duty, sleeper berth time, or time in other sleeping 
accommodations.
    (3) Passenger-carrying commercial motor vehicles. A driver who is 
driving a passenger-carrying commercial motor vehicle that is equipped 
with a sleeper berth, as defined in Secs. 395.2 and 393.76 of this 
subchapter, may accumulate the equivalent of 8 consecutive hours of off-
duty time by taking a combination of at least 8 consecutive hours off-
duty and sleeper berth time; or by taking two periods of rest in the 
sleeper berth, providing:
    (i) Neither rest period is shorter than two hours;
    (ii) The driving time in the period immediately before and after 
each rest period, when added together, does not exceed 10 hours;
    (iii) The on-duty time in the period immediately before and after 
each rest period, when added together, does not include any driving time 
after the 15th hour; and
    (iv) The driver may not return to driving subject to the normal 
limits under Sec. 395.5 without taking at least 8 consecutive hours off 
duty, at least 8 consecutive hours in the sleeper berth, or a 
combination of at least 8 consecutive hours off duty and sleeper berth 
time.
    (h) State of Alaska. (1) Property-carrying commercial motor vehicle. 
The provisions of Sec. 395.3(a) do not apply to any driver who is 
driving a commercial motor vehicle in the State of Alaska. A driver who 
is driving a property-carrying commercial motor vehicle in the State of 
Alaska must not drive or be required or permitted to drive--
    (i) More than 15 hours following 10 consecutive hours off duty; or
    (ii) After being on duty for 20 hours or more following 10 
consecutive hours off duty.
    (iii) After having been on duty for 70 hours in any period of 7 
consecutive days, if the motor carrier for which the driver drives does 
not operate every day in the week; or
    (iv) After having been on duty for 80 hours in any period of 8 
consecutive days, if the motor carrier for which the driver drives 
operates every day in the week.
    (2) Passenger-carrying commercial motor vehicle. The provisions of 
Sec. 395.5 do not apply to any driver who is driving a passenger-
carrying commercial motor vehicle in the State of Alaska. A driver who 
is driving a passenger-carrying commercial motor vehicle in the State of 
Alaska must not drive or be required or permitted to drive--
    (i) More than 15 hours following 8 consecutive hours off duty;
    (ii) After being on duty for 20 hours or more following 8 
consecutive hours off duty;
    (iii) After having been on duty for 70 hours in any period of 7 
consecutive days, if the motor carrier for which the driver drives does 
not operate every day in the week; or
    (iv) After having been on duty for 80 hours in any period of 8 
consecutive days, if the motor carrier for which the driver drives 
operates every day in the week.
    (3) A driver who is driving a commercial motor vehicle in the State 
of Alaska and who encounters adverse driving conditions (as defined in 
Sec. 395.2) may drive and be permitted or required to drive a commercial 
motor vehicle for the period of time needed to complete the run.
    (i) After a property-carrying commercial motor vehicle driver 
completes the run, that driver must be off duty for at least 10 
consecutive hours before he/she drives again; and
    (ii) After a passenger-carrying commercial motor vehicle driver 
completes the run, that driver must be off duty for at least 8 
consecutive hours before he/she drives again.
    (i) State of Hawaii. The rules in Sec. 395.8 do not apply to a 
driver who drives a commercial motor vehicle in the State

[[Page 1162]]

of Hawaii, if the motor carrier who employs the driver maintains and 
retains for a period of 6 months accurate and true records showing--
    (1) The total number of hours the driver is on duty each day; and
    (2) The time at which the driver reports for, and is released from, 
duty each day.
    (j) Travel time. (1) When a property-carrying commercial motor 
vehicle driver at the direction of the motor carrier is traveling, but 
not driving or assuming any other responsibility to the carrier, such 
time must be counted as on-duty time unless the driver is afforded at 
least 10 consecutive hours off duty when arriving at destination, in 
which case he/she must be considered off duty for the entire period.
    (2) When a passenger-carrying commercial motor vehicle driver at the 
direction of the motor carrier is traveling, but not driving or assuming 
any other responsibility to the carrier, such time must be counted as 
on-duty time unless the driver is afforded at least 8 consecutive hours 
off duty when arriving at destination, in which case he/she must be 
considered off duty for the entire period.
    (k) Agricultural operations. The provisions of this part shall not 
apply to drivers transporting agricultural commodities or farm supplies 
for agricultural purposes in a State if such transportation:
    (1) Is limited to an area within a 100 air mile radius from the 
source of the commodities or the distribution point for the farm 
supplies, and
    (2) Is conducted during the planting and harvesting seasons within 
such State, as determined by the State.
    (l) Ground water well drilling operations. In the instance of a 
driver of a commercial motor vehicle who is used primarily in the 
transportation and operations of a ground water well drilling rig, any 
period of 7 or 8 consecutive days may end with the beginning of any off-
duty period of 24 or more successive hours.
    (m) Construction materials and equipment. In the instance of a 
driver of a commercial motor vehicle who is used primarily in the 
transportation of construction materials and equipment, any period of 7 
or 8 consecutive days may end with the beginning of any off-duty period 
of 24 or more successive hours.
    (n) Utility service vehicles. In the instance of a driver of a 
utility service vehicle, any period of 7 or 8 consecutive days may end 
with the beginning of any off-duty period of 24 or more successive 
hours.
    (o) Property-carrying driver. A property-carrying driver is exempt 
from the requirements of Sec. 395.3(a)(2) if:
    (1) The driver has returned to the driver's normal work reporting 
location and the carrier released the driver from duty at that location 
for the previous five duty tours the driver has worked;
    (2) The driver has returned to the normal work reporting location 
and the carrier releases the driver from duty within 16 hours after 
coming on duty following 10 consecutive hours off duty; and
    (3) The driver has not taken this exemption within the previous 6 
consecutive days, except when the driver has begun a new 7- or 8-
consecutive day period with the beginning of any off duty period of 34 
or more consecutive hours as allowed by Sec. 395.3(c).

[57 FR 33647, July 30, 1992, as amended at 58 FR 33777, June 21, 1993; 
60 FR 38748, July 28, 1995; 61 FR 14679, Apr. 3, 1996; 63 FR 33279, June 
18, 1998; 68 FR 22515, Apr. 28, 2003; 68 FR 56211, Sept. 30, 2003]



Sec. 395.2  Definitions.

    As used in this part, the following words and terms are construed to 
mean:
    Adverse driving conditions means snow, sleet, fog, other adverse 
weather conditions, a highway covered with snow or ice, or unusual road 
and traffic conditions, none of which were apparent on the basis of 
information known to the person dispatching the run at the time it was 
begun.
    Automatic on-board recording device means an electric, electronic, 
electromechanical, or mechanical device capable of recording driver's 
duty status information accurately and automatically as required by 
Sec. 395.15. The device must be integrally synchronized with specific 
operations of the commercial motor vehicle in which

[[Page 1163]]

it is installed. At a minimum, the device must record engine use, road 
speed, miles driven, the date, and time of day.
    Driver-salesperson means any employee who is employed solely as such 
by a private carrier of property by commercial motor vehicle, who is 
engaged both in selling goods, services, or the use of goods, and in 
delivering by commercial motor vehicle the goods sold or provided or 
upon which the services are performed, who does so entirely within a 
radius of 100 miles of the point at which he/she reports for duty, who 
devotes not more than 50 percent of his/her hours on duty to driving 
time. The term selling goods for purposes of this section shall include 
in all cases solicitation or obtaining of reorders or new accounts, and 
may also include other selling or merchandising activities designed to 
retain the customer or to increase the sale of goods or services, in 
addition to solicitation or obtaining of reorders or new accounts.
    Driving time means all time spent at the driving controls of a 
commercial motor vehicle in operation.
    Eight consecutive days means the period of 8 consecutive days 
beginning on any day at the time designated by the motor carrier for a 
24-hour period.
    Ground water well drilling rig means any vehicle, machine, tractor, 
trailer, semi-trailer, or specialized mobile equipment propelled or 
drawn by mechanical power and used on highways to transport water well 
field operating equipment, including water well drilling and pump 
service rigs equipped to access ground water.
    Multiple stops means all stops made in any one village, town, or 
city may be computed as one.
    On duty time means all time from the time a driver begins to work or 
is required to be in readiness to work until the time the driver is 
relieved from work and all responsibility for performing work. On duty 
time shall include:
    (1) All time at a plant, terminal, facility, or other property of a 
motor carrier or shipper, or on any public property, waiting to be 
dispatched, unless the driver has been relieved from duty by the motor 
carrier;
    (2) All time inspecting, servicing, or conditioning any commercial 
motor vehicle at any time;
    (3) All driving time as defined in the term driving time;
    (4) All time, other than driving time, in or upon any commercial 
motor vehicle except time spent resting in a sleeper berth;
    (5) All time loading or unloading a commercial motor vehicle, 
supervising, or assisting in the loading or unloading, attending a 
commercial motor vehicle being loaded or unloaded, remaining in 
readiness to operate the commercial motor vehicle, or in giving or 
receiving receipts for shipments loaded or unloaded;
    (6) All time repairing, obtaining assistance, or remaining in 
attendance upon a disabled commercial motor vehicle;
    (7) All time spent providing a breath sample or urine specimen, 
including travel time to and from the collection site, in order to 
comply with the random, reasonable suspicion, post-accident, or follow-
up testing required by part 382 of this subchapter when directed by a 
motor carrier;
    (8) Performing any other work in the capacity, employ, or service of 
a motor carrier; and
    (9) Performing any compensated work for a person who is not a motor 
carrier.
    Seven consecutive days means the period of 7 consecutive days 
beginning on any day at the time designated by the motor carrier for a 
24-hour period.
    Sleeper berth means a berth conforming to the requirements of 
Sec. 393.76 of this chapter.
    Transportation of construction materials and equipment means the 
transportation of construction and pavement materials, construction 
equipment, and construction maintenance vehicles, by a driver to or from 
an active construction site (a construction site between mobilization of 
equipment and materials to the site to the final completion of the 
construction project) within a 50 air mile radius of the normal work 
reporting location of the driver. This paragraph does not apply to the 
transportation of material found by the Secretary to be hazardous under 
49 U.S.C. 5103 in a quantity requiring placarding

[[Page 1164]]

under regulations issued to carry out such section.
    Twenty-four-hour period means any 24-consecutive-hour period 
beginning at the time designated by the motor carrier for the terminal 
from which the driver is normally dispatched.
    Utility service vehicle means any commercial motor vehicle:
    (1) Used in the furtherance of repairing, maintaining, or operating 
any structures or any other physical facilities necessary for the 
delivery of public utility services, including the furnishing of 
electric, gas, water, sanitary sewer, telephone, and television cable or 
community antenna service;
    (2) While engaged in any activity necessarily related to the 
ultimate delivery of such public utility services to consumers, 
including travel or movement to, from, upon, or between activity sites 
(including occasional travel or movement outside the service area 
necessitated by any utility emergency as determined by the utility 
provider); and
    (3) Except for any occasional emergency use, operated primarily 
within the service area of a utility's subscribers or consumers, without 
regard to whether the vehicle is owned, leased, or rented by the 
utility.

[57 FR 33648, July 30, 1992, as amended at 59 FR 7515, Feb. 15, 1994; 59 
FR 60324, Nov. 23, 1994; 60 FR 38748, July 28, 1995; 61 FR 14679, Apr. 
3, 1996; 63 FR 33279, June 18, 1998]



Sec. 395.3  Maximum driving time for property-carrying vehicles.

    Subject to the exceptions and exemptions in Sec. 395.1:
    (a) No motor carrier shall permit or require any driver used by it 
to drive a property-carrying commercial motor vehicle, nor shall any 
such driver drive a property-carrying commercial motor vehicle:
    (1) More than 11 cumulative hours following 10 consecutive hours off 
duty; or
    (2) For any period after the end of the 14th hour after coming on 
duty following 10 consecutive hours off duty, except when a property-
carrying driver complies with the provisions of Sec. 395.1(o).
    (b) No motor carrier shall permit or require a driver of a property-
carrying commercial motor vehicle to drive, nor shall any driver drive a 
property-carrying commercial motor vehicle, regardless of the number of 
motor carriers using the driver's services, for any period after--
    (1) Having been on duty 60 hours in any 7 consecutive days if the 
employing motor carrier does not operate commercial motor vehicles every 
day of the week; or
    (2) Having been on duty 70 hours in any period of 8 consecutive days 
if the employing motor carrier operates commercial motor vehicles every 
day of the week.
    (c)(1) Any period of 7 consecutive days may end with the beginning 
of any off duty period of 34 or more consecutive hours; or
    (2) Any period of 8 consecutive days may end with the beginning of 
any off duty period of 34 or more consecutive hours.

[68 FR 22516, Apr. 28, 2003]



Sec. 395.5  Maximum driving time for passenger-carrying vehicles.

    Subject to the exceptions and exemptions in Sec. 395.1:
    (a) No motor carrier shall permit or require any driver used by it 
to drive a passenger-carrying commercial motor vehicle, nor shall any 
such driver drive a passenger-carrying commercial motor vehicle:
    (1) More than 10 hours following 8 consecutive hours off duty; or
    (2) For any period after having been on duty 15 hours following 8 
consecutive hours off duty.
    (b) No motor carrier shall permit or require a driver of a 
passenger-carrying commercial motor vehicle to drive, nor shall any 
driver drive a passenger-carrying commercial motor vehicle, regardless 
of the number of motor carriers using the driver's services, for any 
period after--
    (1) Having been on duty 60 hours in any 7 consecutive days if the 
employing motor carrier does not operate commercial motor vehicles every 
day of the week; or
    (2) Having been on duty 70 hours in any period of 8 consecutive days 
if the

[[Page 1165]]

employing motor carrier operates commercial motor vehicles every day of 
the week.

[68 FR 22516, Apr. 28, 2003]



Sec. 395.7  [Reserved]



Sec. 395.8  Driver's record of duty status.

    (a) Except for a private motor carrier of passengers (nonbusiness), 
every motor carrier shall require every driver used by the motor carrier 
to record his/her duty status for each 24 hour period using the methods 
prescribed in either paragraph (a)(1) or (2) of this section.
    (1) Every driver who operates a commercial motor vehicle shall 
record his/her duty status, in duplicate, for each 24-hour period. The 
duty status time shall be recorded on a specified grid, as shown in 
paragraph (g) of this section. The grid and the requirements of 
paragraph (d) of this section may be combined with any company forms. 
The previously approved format of the Daily Log, Form MCS-59 or the 
Multi-day Log, MCS-139 and 139A, which meets the requirements of this 
section, may continue to be used.
    (2) Every driver who operates a commercial motor vehicle shall 
record his/her duty status by using an automatic on-board recording 
device that meets the requirements of Sec. 395.15 of this part. The 
requirements of Sec. 395.8 shall not apply, except paragraphs (e) and 
(k) (1) and (2) of this section.
    (b) The duty status shall be recorded as follows:
    (1) ``Off duty'' or ``OFF.''
    (2) ``Sleeper berth'' or ``SB'' (only if a sleeper berth used).
    (3) ``Driving'' or ``D.''
    (4) ``On-duty not driving'' or ``ON.''
    (c) For each change of duty status (e.g., the place of reporting for 
work, starting to drive, on-duty not driving and where released from 
work), the name of the city, town, or village, with State abbreviation, 
shall be recorded.

    Note: If a change of duty status occurs at a location other than a 
city, town, or village, show one of the following: (1) The highway 
number and nearest milepost followed by the name of the nearest city, 
town, or village and State abbreviation, (2) the highway number and the 
name of the service plaza followed by the name of the nearest city, 
town, or village and State abbreviation, or (3) the highway numbers of 
the nearest two intersecting roadways followed by the name of the nerest 
city, town, or village and State abbreviation.

    (d) The following information must be included on the form in 
addition to the grid:
    (1) Date;
    (2) Total miles driving today;
    (3) Truck or tractor and trailer number;
    (4) Name of carrier;
    (5) Driver's signature/certification;
    (6) 24-hour period starting time (e.g. midnight, 9:00 a.m., noon, 
3:00 p.m.);
    (7) Main office address;
    (8) Remarks;
    (9) Name of co-driver;
    (10) Total hours (far right edge of grid);
    (11) Shipping document number(s), or name of shipper and commodity;
    (e) Failure to complete the record of duty activities of this 
section or Sec. 395.15, failure to preserve a record of such duty 
activities, or making of false reports in connection with such duty 
activities shall make the driver and/or the carrier liable to 
prosecution.
    (f) The driver's activities shall be recorded in accordance with the 
following provisions:
    (1) Entries to be current. Drivers shall keep their records of duty 
status current to the time shown for the last change of duty status.
    (2) Entries made by driver only. All entries relating to driver's 
duty status must be legible and in the driver's own handwriting.
    (3) Date. The month, day and year for the beginning of each 24-hour 
period shall be shown on the form containing the driver's duty status 
record.
    (4) Total miles driving today. Total mileage driven during the 24-
hour period shall be recorded on the form containing the driver's duty 
status record.
    (5) Commercial motor vehicle identification. The driver shall show 
the number assigned by the motor carrier, or the license number and 
licensing State of each commercial motor vehicle operated during each 
24-hour period on his/her record of duty status. The driver of an 
articulated (combination) commercial motor vehicle shall show the number 
assigned by the motor carrier, or the license number and licensing State 
of each motor vehicle used in each

[[Page 1166]]

commercial motor vehicle combination operated during that 24-hour period 
on his/her record of duty status.
    (6) Name of motor carrier. The name(s) of the motor carrier(s) for 
which work is performed shall be shown on the form containing the 
driver's record of duty status. When work is performed for more than one 
motor carrier during the same 24-hour period, the beginning and 
finishing time, showing a.m. or p.m., worked for each motor carrier 
shall be shown after each motor carrier's name. Drivers of leased 
commercial motor vehicles shall show the name of the motor carrier 
performing the transportation.
    (7) Signature/certification. The driver shall certify to the 
correctness of all entries by signing the form containing the driver's 
duty status record with his/her legal name or name of record. The 
driver's signature certifies that all entries required by this section 
made by the driver are true and correct.
    (8) Time base to be used. (i) The driver's duty status record shall 
be prepared, maintained, and submitted using the time standard in effect 
at the driver's home terminal, for a 24-hour period beginning with the 
time specified by the motor carrier for that driver's home terminal.
    (ii) The term ``7 or 8 consecutive days'' means the 7 or 8 
consecutive 24-hour periods as designated by the carrier for the 
driver's home terminal.
    (iii) The 24-hour period starting time must be identified on the 
driver's duty status record. One-hour increments must appear on the 
graph, be identified, and preprinted. The words ``Midnight'' and 
``Noon'' must appear above or beside the appropriate one-hour increment.
    (9) Main office address. The motor carrier's main office address 
shall be shown on the form containing the driver's duty status record.
    (10) Recording days off duty. Two or more consecutive 24-hour 
periods off duty may be recorded on one duty status record.
    (11) Total hours. The total hours in each duty status: ff duty other 
than in a sleeper berth; off duty in a sleeper berth; driving, and on 
duty not driving, shall be entered to the right of the grid, the total 
of such entries shall equal 24 hours.
    (12) Shipping document number(s) or name of shipper and commodity 
shall be shown on the driver's record of duty status.
    (g) Graph grid. The following graph grid must be incorporated into a 
motor carrier recordkeeping system which must also contain the 
information required in paragraph (d) of this section.

[[Page 1167]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.034

    (h) Graph grid preparation. The graph grid may be used horizontally 
or vertically and shall be completed as follows:
    (1) Off duty. Except for time spent resting in a sleeper berth, a 
continuous line shall be drawn between the appropriate time markers to 
record the period(s) of time when the driver is not on duty, is not 
required to be in readiness to work, or is not under any responsibility 
for performing work.
    (2) Sleeper berth. A continuous line shall be drawn between the 
appropriate time markers to record the period(s) of time off duty 
resting in a sleeper berth, as defined in Sec. 395.2. (If a non-sleeper 
berth operation, sleeper berth need not be shown on the grid.)
    (3) Driving. A continuous line shall be drawn between the 
appropriate time markers to record the period(s) of driving time, as 
defined in Sec. 395.2.
    (4) On duty not driving. A continuous line shall be drawn between 
the appropriate time markers to record the period(s) of time on duty not 
driving specified in Sec. 395.2.
    (5) Location--remarks. The name of the city, town, or village, with 
State abbreviation where each change of duty status occurs shall be 
recorded.


[[Page 1168]]


    Note: If a change of duty status occurs at a location other than a 
city, town, or village, show one of the following: (1) The highway 
number and nearest milepost followed by the name of the nearest city, 
town, or village and State abbreviation, (2) the highway number and the 
name of the service plaza followed by the name of the nearest city, 
town, or village and State abbreviation, or (3) the highway numbers of 
the nearest two intersecting roadways followed by the name of the 
nearest city, town, or village and State abbreviation.

    (i) Filing driver's record of duty status. The driver shall submit 
or forward by mail the original driver's record of duty status to the 
regular employing motor carrier within 13 days following the completion 
of the form.
    (j) Drivers used by more than one motor carrier. (1) When the 
services of a driver are used by more than one motor carrier during any 
24-hour period in effect at the driver's home terminal, the driver shall 
submit a copy of the record of duty status to each motor carrier. The 
record shall include:
    (i) All duty time for the entire 24-hour period;
    (ii) The name of each motor carrier served by the driver during that 
period; and
    (iii) The beginning and finishing time, including a.m. or p.m., 
worked for each carrier.
    (2) Motor carriers, when using a driver for the first time or 
intermittently, shall obtain from the driver a signed statement giving 
the total time on duty during the immediately preceding 7 days and the 
time at which the driver was last relieved from duty prior to beginning 
work for the motor carriers.
    (k) Retention of driver's record of duty status. (1) Each motor 
carrier shall maintain records of duty status and all supporting 
documents for each driver it employs for a period of six months from the 
date of receipt.
    (2) The driver shall retain a copy of each record of duty status for 
the previous 7 consecutive days which shall be in his/her possession and 
available for inspection while on duty.

    Note: Driver's Record of Duty Status.

    The graph grid, when incorporated as part of any form used by a 
motor carrier, must be of sufficient size to be legible.
    The following executed specimen grid illustrates how a driver's duty 
status should be recorded for a trip from Richmond, Virginia, to Newark, 
New Jersey. The grid reflects the midnight to midnight 24 hour period.
[GRAPHIC] [TIFF OMITTED] TC01AP91.035

               Graph Grid (Midnight to Midnight Operation)

    The driver in this instance reported for duty at the motor carrier's 
terminal. The driver reported for work at 6 a.m., helped load, checked 
with dispatch, made a pretrip inspection, and performed other duties 
until 7:30 a.m. when the driver began driving. At 9 a.m. the driver had 
a minor accident in Fredericksburg, Virginia, and spent one half hour 
handling details with the local police. The driver arrived at the 
company's Baltimore, Maryland, terminal at noon and went to lunch while 
minor repairs were made to the tractor. At 1 p.m. the driver resumed the 
trip and made a delivery in Philadelphia, Pennsylvania, between 3 p.m. 
and 3:30 p.m. at which time the driver started driving again. Upon 
arrival at Cherry Hill, New Jersey, at 4 p.m., the driver entered the 
sleeper berth

[[Page 1169]]

for a rest break until 5:45 p.m. at which time the driver resumed 
driving again. At 7 p.m. the driver arrived at the company's terminal in 
Newark, New Jersey. Between 7 p.m. and 8 p.m. the driver prepared the 
required paperwork including completing the driver's record of duty 
status, driver vehicle inspection report, insurance report for the 
Fredericksburg, Virginia accident, checked for the next day's dispatch, 
etc. At 8 p.m., the driver went off duty.

(Approved by the Office of Management and Budget under control number 
2125-0016)

[47 FR 53389, Nov. 26, 1982, as amended at 49 FR 38290, Sept. 28, 1984; 
49 FR 46147, Nov. 23, 1984; 51 FR 12622, Apr. 14, 1986; 52 FR 41721, 
Oct. 30, 1987; 53 FR 18058, May 19, 1988; 53 FR 38670, Sept. 30, 1988; 
57 FR 33649, July 30, 1992; 58 FR 33777, June 21, 1993; 59 FR 8753, Feb. 
23, 1994; 60 FR 38748, July 28, 1995; 62 FR 16709, Apr. 8, 1997; 63 FR 
33279, June 18, 1998]



Secs. 395.10-395.12  [Reserved]



Sec. 395.13  Drivers declared out of service.

    (a) Authority to declare drivers out of service. Every special agent 
of the Federal Motor Carrier Safety Administration (as defined in 
appendix B to this subchapter) is authorized to declare a driver out of 
service and to notify the motor carrier of that declaration, upon 
finding at the time and place of examination that the driver has 
violated the out of service criteria as set forth in paragraph (b) of 
this section.
    (b) Out of service criteria. (1) No driver shall drive after being 
on duty in excess of the maximum periods permitted by this part.
    (2) No driver required to maintain a record of duty status under 
Sec. 395.8 or Sec. 395.15 of this part shall fail to have a record of 
duty status current on the day of examination and for the prior seven 
consecutive days.
    (3) Exception. A driver failing only to have possession of a record 
of duty status current on the day of examination and the prior day, but 
has completed records of duty status up to that time (previous 6 days), 
will be given the opportunity to make the duty status record current.
    (c) Responsibilities of motor carriers. (1) No motor carrier shall:
    (i) Require or permit a driver who has been declared out of service 
to operate a commercial motor vehicle until that driver may lawfully do 
so under the rules in this part.
    (ii) Require a driver who has been declared out of service for 
failure to prepare a record of duty status to operate a commercial motor 
vehicle until that driver has been off duty for the appropriate number 
of consecutive hours required by this part and is in compliance with 
this section. The appropriate consecutive hours off-duty period may 
include sleeper berth time.
    (2) A motor carrier shall complete the ``Motor Carrier Certification 
of Action Taken'' portion of the form MCS-63 (Driver-Vehicle Examination 
Report) and deliver the copy of the form either personally or by mail to 
the Division Administrator or State Director Federal Motor Carrier 
Safety Administration, at the address specified upon the form within 15 
days following the date of examination. If the motor carrier mails the 
form, delivery is made on the date it is postmarked.
    (d) Responsibilities of the driver. (1) No driver who has been 
declared out of service shall operate a commercial motor vehicle until 
that driver may lawfully do so under the rules of this part.
    (2) No driver who has been declared out of service, for failing to 
prepare a record of duty status, shall operate a commercial motor 
vehicle until the driver has been off duty for the appropriate number of 
consecutive hours required by this part and is in compliance with this 
section.
    (3) A driver to whom a form has been tendered declaring the driver 
out of service shall within 24 hours thereafter deliver or mail the copy 
to a person or place designated by motor carrier to receive it.
    (4) Section 395.13 does not alter the hazardous materials 
requirements prescribed in Sec. 397.5 pertaining to attendance and 
surveillance of commercial motor vehicles.

[44 FR 34963, June 18, 1979, as amended at 47 FR 53392, Nov. 26, 1982; 
51 FR 12622, Apr. 14, 1986; 53 FR 18058, May 19, 1988; 53 FR 38670, 
Sept. 30, 1988; 53 FR 47544, Nov. 23, 1988; 60 FR 38748, July 28, 1995; 
68 FR 22516, Apr. 28, 2003]

[[Page 1170]]



Sec. 395.15  Automatic on-board recording devices.

    (a) Authority to use automatic on-board recording device. (1) A 
motor carrier may require a driver to use an automatic on-board 
recording device to record the driver's hours of service in lieu of 
complying with the requirements of Sec. 395.8 of this part.
    (2) Every driver required by a motor carrier to use an automatic on-
board recording device shall use such device to record the driver's 
hours of service.
    (b) Information requirements. (1) Automatic on-board recording 
devices shall produce, upon demand, a driver's hours of service chart, 
electronic display, or printout showing the time and sequence of duty 
status changes including the drivers' starting time at the beginning of 
each day.
    (2) The device shall provide a means whereby authorized Federal, 
State, or local officials can immediately check the status of a driver's 
hours of service. This information may be used in conjunction with 
handwritten or printed records of duty status, for the previous 7 days.
    (3) Support systems used in conjunction with on-board recorders at a 
driver's home terminal or the motor carrier's principal place of 
business must be capable of providing authorized Federal, State or local 
officials with summaries of an individual driver's hours of service 
records, including the information specified in Sec. 395.8(d) of this 
part. The support systems must also provide information concerning on-
board system sensor failures and identification of edited data. Such 
support systems should meet the information interchange requirements of 
the American National Standard Code for Information Interchange (ANSCII) 
(EIARS-232/CCITT V.24 port (National Bureau of Standards ``Code for 
Information Interchange,'' FIPS PUB 1-1)).
    (4) The driver shall have in his/her possession records of duty 
status for the previous 7 consecutive days available for inspection 
while on duty. These records shall consist of information stored in and 
retrievable from the automatic on-board recording device, handwitten 
records, computer generated records, or any combination thereof.
    (5) All hard copies of the driver's record of duty status must be 
signed by the driver. The driver's signature certifies that the 
information contained thereon is true and correct.
    (c) The duty status and additional information shall be recorded as 
follows:
    (1) ``Off duty'' or ``OFF'', or by an identifiable code or 
character;
    (2) ``Sleeper berth'' or ``SB'' or by an identifiable code or 
character (only if the sleeper berth is used);
    (3) ``Driving'' or ``D'', or by an identifiable code or character; 
and
    (4) ``On-duty not driving'' or ``ON'', or by an identifiable code or 
character.
    (5) Date;
    (6) Total miles driving today;
    (7) Truck or tractor and trailer number;
    (8) Name of carrier;
    (9) Main office address;
    (10) 24-hour period starting time (e.g., midnight, 9:00 a.m., noon, 
3:00 p.m.)
    (11) Name of co-driver;
    (12) Total hours; and
    (13) Shipping document number(s), or name of shipper and commodity.
    (d) Location of duty status change. (1) For each change of duty 
status (e.g., the place and time of reporting for work, starting to 
drive, on-duty not driving and where released from work), the name of 
the city, town, or village, with State abbreviation, shall be recorded.
    (2) Motor carriers are permitted to use location codes in lieu of 
the requirements of paragraph (d)(1) of this section. A list of such 
codes showing all possible location identifiers shall be carried in the 
cab of the commercial motor vehicle and available at the motor carrier's 
principal place of business. Such lists shall be made available to an 
enforcement official on request.
    (e) Entries made by driver only. If a driver is required to make 
written entries relating to the driver's duty status, such entries must 
be legible and in the driver's own handwriting.
    (f) Reconstruction of records of duty status. Drivers are required 
to note any failure of automatic on-board recording devices, and to 
reconstruct the driver's record of duty status for the current day, and 
the past 7 days, less any days for which the drivers have records, and 
to continue to prepare a

[[Page 1171]]

handwritten record of all subsequent duty status until the device is 
again operational.
    (g) On-board information. Each commercial motor vehicle must have 
on-board the commercial motor vehicle an information packet containing 
the following items:
    (1) An instruction sheet describing in detail how data may be stored 
and retrieved from an automatic on-board recording system; and
    (2) A supply of blank driver's records of duty status graph-grids 
sufficient to record the driver's duty status and other related 
information for the duration of the current trip.
    (h) Submission of driver's record of duty status. (1) The driver 
shall submit, electronically or by mail, to the employing motor carrier, 
each record of the driver's duty status within 13 days following the 
completion of each record;
    (2) The driver shall review and verify that all entries are accurate 
prior to submission to the employing motor carrier; and
    (3) The submission of the record of duty status certifies that all 
entries made by the driver are true and correct.
    (i) Performance of recorders. Motor carriers that use automatic on-
board recording devices for recording their drivers' records of duty 
status in lieu of the handwritten record shall ensure that:
    (1) A certificate is obtained from the manufacturer certifying that 
the design of the automatic on-board recorder has been sufficiently 
tested to meet the requirements of this section and under the conditions 
it will be used;
    (2) The automatic on-board recording device permits duty status to 
be updated only when the commercial motor vehicle is at rest, except 
when registering the time a commercial motor vehicle crosses a State 
boundary;
    (3) The automatic on-board recording device and associated support 
systems are, to the maximum extent practicable, tamperproof and do not 
permit altering of the information collected concerning the driver's 
hours of service;
    (4) The automatic on-board recording device warns the driver 
visually and/or audibly that the device has ceased to function. Devices 
installed and operational as of October 31, 1988, and authorized to be 
used in lieu of the handwritten record of duty status by the FMCSA are 
exempted from this requirement.
    (5) Automatic on-board recording devices with electronic displays 
shall have the capability of displaying the following:
    (i) Driver's total hours of driving today;
    (ii) The total hours on duty today;
    (iii) Total miles driving today;
    (iv) Total hours on duty for the 7 consecutive day period, including 
today;
    (v) Total hours on duty for the prior 8 consecutive day period, 
including the present day; and
    (vi) The sequential changes in duty status and the times the changes 
occurred for each driver using the device.
    (6) The on-board recorder is capable of recording separately each 
driver's duty status when there is a multiple-driver operation;
    (7) The on-board recording device/system identifies sensor failures 
and edited data when reproduced in printed form. Devices installed and 
operational as of October 31, 1988, and authorized to be used in lieu of 
the handwritten record of duty status by the FMCSA are exempted from 
this requirement.
    (8) The on-board recording device is maintained and recalibrated in 
accordance with the manufacturer's specifications;
    (9) The motor carrier's drivers are adequately trained regarding the 
proper operation of the device; and
    (10) The motor carrier must maintain a second copy (back-up copy) of 
the electronic hours-of-service files, by month, in a different physical 
location than where the original data is stored.
    (j) Rescission of authority. (1) The FMCSA may, after notice and 
opportunity to reply, order any motor carrier or driver to comply with 
the requirements of Sec. 395.8 of this part.
    (2) The FMCSA may issue such an order if the FMCSA has determined 
that--
    (i) The motor carrier has been issued a conditional or 
unsatisfactory safety rating by the FMCSA;

[[Page 1172]]

    (ii) The motor carrier has required or permitted a driver to 
establish, or the driver has established, a pattern of exceeding the 
hours of service limitations of this part;
    (iii) The motor carrier has required or permitted a driver to fail, 
or the driver has failed, to accurately and completely record the 
driver's hours of service as required in this section; or
    (iv) The motor carrier or driver has tampered with or otherwise 
abused the automatic on-board recording device on any commercial motor 
vehicle.

[53 FR 38670, Sept. 30, 1988, as amended at 60 FR 38748, July 28, 1995; 
68 FR 22516, Apr. 28, 2003]



PART 396--INSPECTION, REPAIR, AND MAINTENANCE--Table of Contents




Sec.
396.1 Scope.
396.3 Inspection, repair, and maintenance.
396.5 Lubrication.
396.7 Unsafe operations forbidden.
396.9 Inspection of motor vehicles in operation.
396.11 Driver vehicle inspection report(s).
396.13 Driver inspection.
396.15 Driveaway-towaway operations and inspections.
396.17 Periodic inspection.
396.19 Inspector qualifications.
396.21 Periodic inspection recordkeeping requirements.
396.23 Equivalent to periodic inspection.
396.25 Qualifications of brake inspectors.

    Authority: 49 U.S.C. 31133, 31136, and 31502; and 49 CFR 1.73.

    Source: 44 FR 38526, July 2, 1979, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 396 appear at 66 FR 
49874, Oct. 1, 2001.



Sec. 396.1  Scope.

    General--Every motor carrier, its officers, drivers, agents, 
representatives, and employees directly concerned with the inspection or 
maintenance of motor vehicles shall comply and be conversant with the 
rules of this part.

[44 FR 38526, July 2, 1979, as amended at 53 FR 18058, May 19, 1988]



Sec. 396.3  Inspection, repair, and maintenance.

    (a) General. Every motor carrier shall systematically inspect, 
repair, and maintain, or cause to be systematically inspected, repaired, 
and maintained, all motor vehicles subject to its control.
    (1) Parts and accessories shall be in safe and proper operating 
condition at all times. These include those specified in part 393 of 
this subchapter and any additional parts and accessories which may 
affect safety of operation, including but not limited to, frame and 
frame assemblies, suspension systems, axles and attaching parts, wheels 
and rims, and steering systems.
    (2) Pushout windows, emergency doors, and emergency door marking 
lights in buses shall be inspected at least every 90 days.
    (b) Required records--For vehicles controlled for 30 consecutive 
days or more, except for a private motor carrier of passengers 
(nonbusiness), the motor carriers shall maintain, or cause to be 
maintained, the following record for each vehicle:
    (1) An identification of the vehicle including company number, if so 
marked, make, serial number, year, and tire size. In addition, if the 
motor vehicle is not owned by the motor carrier, the record shall 
identify the name of the person furnishing the vehicle;
    (2) A means to indicate the nature and due date of the various 
inspection and maintenance operations to be performed;
    (3) A record of inspection, repairs, and maintenance indicating 
their date and nature; and
    (4) A record of tests conducted on pushout windows, emergency doors, 
and emergency door marking lights on buses.
    (c) Record retention. The records required by this section shall be 
retained where the vehicle is either housed or maintained for a period 
of 1 year and for 6 months after the motor vehicle leaves the motor 
carrier's control.

[44 FR 38526, July 2, 1979, as amended at 48 FR 55868, Dec. 16, 1983; 53 
FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 59 FR 60324, Nov. 23, 
1994]



Sec. 396.5  Lubrication.

    Every motor carrier shall ensure that each motor vehicle subject to 
its control is--
    (a) Properly lubricated; and
    (b) Free of oil and grease leaks.

[[Page 1173]]



Sec. 396.7  Unsafe operations forbidden.

    (a) General. A motor vehicle shall not be operated in such a 
condition as to likely cause an accident or a breakdown of the vehicle.
    (b) Exemption. Any motor vehicle discovered to be in an unsafe 
condition while being operated on the highway may be continued in 
operation only to the nearest place where repairs can safely be 
effected. Such operation shall be conducted only if it is less hazardous 
to the public than to permit the vehicle to remain on the highway.



Sec. 396.9  Inspection of motor vehicles in operation.

    (a) Personnel authorized to perform inspections. Every special agent 
of the FMCSA (as defined in appendix B to this subchapter) is authorized 
to enter upon and perform inspections of motor carrier's vehicles in 
operation.
    (b) Prescribed inspection report. The Driver Vehicle Examination 
Report shall be used to record results of motor vehicle inspections 
conducted by authorized FMCSA personnel.
    (c) Motor vehicles declared ``out of service.'' (1) Authorized 
personnel shall declare and mark ``out of service'' any motor vehicle 
which by reason of its mechanical condition or loading would likely 
cause an accident or a breakdown. An ``Out of Service Vehicle'' sticker 
shall be used to mark vehicles ``out of service.''
    (2) No motor carrier shall require or permit any person to operate 
nor shall any person operate any motor vehicle declared and marked ``out 
of service'' until all repairs required by the ``out of service notice'' 
have been satisfactorily completed. The term ``operate'' as used in this 
section shall include towing the vehicle, except that vehicles marked 
``out of service'' may be towed away by means of a vehicle using a crane 
or hoist. A vehicle combination consisting of an emergency towing 
vehicle and an ``out of service'' vehicle shall not be operated unless 
such combination meets the performance requirements of this subchapter 
except for those conditions noted on the Vehicle Examination Report.
    (3) No person shall remove the ``Out of Service Vehicle'' sticker 
from any motor vehicle prior to completion of all repairs required by 
the ``out of service notice''.
    (d) Motor carrier disposition. (1) The driver of any motor vehicle 
receiving an inspection report shall deliver it to the motor carrier 
operating the vehicle upon his/her arrival at the next terminal or 
facility. If the driver is not scheduled to arrive at a terminal or 
facility of the motor carrier operating the vehicle within 24 hours, the 
driver shall immediately mail the report to the motor carrier.
    (2) Motor carriers shall examine the report. Violations or defects 
noted thereon shall be corrected.
    (3) Within 15 days following the date of the inspection, the motor 
carrier shall--
    (i) Certify that all violations noted have been corrected by 
completing the ``Signature of Carrier Official, Title, and Date Signed'' 
portions of the form; and
    (ii) Return the completed roadside inspection form to the issuing 
agency at the address indicated on the form and retain a copy at the 
motor carrier's principal place of business or where the vehicle is 
housed for 12 months from the date of the inspection.

(49 U.S.C. 3102; 49 CFR 1.48(b))

[44 FR 38526, July 2, 1979, as amended at 49 FR 38290, Sept. 28, 1984; 
57 FR 40964, Sept. 8, 1992; 68 FR 56208, Sept. 30, 2003]



Sec. 396.11  Driver vehicle inspection report(s).

    (a) Report required. Every motor carrier shall require its drivers 
to report, and every driver shall prepare a report in writing at the 
completion of each day's work on each vehicle operated and the report 
shall cover at least the following parts and accessories:

--Service brakes including trailer brake connections
--Parking (hand) brake
--Steering mechanism
--Lighting devices and reflectors
--Tires
--Horn
--Windshield wipers
--Rear vision mirrors
--Coupling devices
--Wheels and rims
--Emergency equipment


[[Page 1174]]


    (b) Report content. The report shall identify the vehicle and list 
any defect or deficiency discovered by or reported to the driver which 
would affect the safety of operation of the vehicle or result in its 
mechanical breakdown. If no defect or deficiency is discovered by or 
reported to the driver, the report shall so indicate. In all instances, 
the driver shall sign the report. On two-driver operations, only one 
driver needs to sign the driver vehicle inspection report, provided both 
drivers agree as to the defects or deficiencies identified. If a driver 
operates more than one vehicle during the day, a report shall be 
prepared for each vehicle operated.
    (c) Corrective action. Prior to requiring or permitting a driver to 
operate a vehicle, every motor carrier or its agent shall repair any 
defect or deficiency listed on the driver vehicle inspection report 
which would be likely to affect the safety of operation of the vehicle.
    (1) Every motor carrier or its agent shall certify on the original 
driver vehicle inspection report which lists any defect or deficiency 
that the defect or deficiency has been repaired or that repair is 
unnecessary before the vehicle is operated again.
    (2) Every motor carrier shall maintain the original driver vehicle 
inspection report, the certification of repairs, and the certification 
of the driver's review for three months from the date the written report 
was prepared.
    (d) Exceptions. The rules in this section shall not apply to a 
private motor carrier of passengers (nonbusiness), a driveaway-towaway 
operation, or any motor carrier operating only one commercial motor 
vehicle.

[44 FR 38526, July 2, 1979, as amended at 45 FR 46425, July 10, 1980; 53 
FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 63 FR 33279, June 18, 
1998]



Sec. 396.13  Driver inspection.

    Before driving a motor vehicle, the driver shall:
    (a) Be satisfied that the motor vehicle is in safe operating 
condition;
    (b) Review the last driver vehicle inspection report; and
    (c) Sign the report, only if defects or deficiencies were noted by 
the driver who prepared the report, to acknowledge that the driver has 
reviewed it and that there is a certification that the required repairs 
have been performed. The signature requirement does not apply to listed 
defects on a towed unit which is no longer part of the vehicle 
combination.

[44 FR 76526, Dec. 27, 1979, as amended at 48 FR 55868, Dec. 16, 1983; 
63 FR 33280, June 18, 1998]



Sec. 396.15  Driveaway-towaway operations and inspections.

    (a) General. Effective December 7, 1989, every motor carrier, with 
respect to motor vehicles engaged in driveaway-towaway operations, shall 
comply with the requirements of this part. Exception: Maintenance 
records required by Sec. 396.3, the vehicle inspection report required 
by Sec. 396.11, and the periodic inspection required by Sec. 396.17 of 
this part shall not be required for any vehicle which is part of the 
shipment being delivered.
    (b) Pre-trip inspection. Before the beginning of any driveaway-
towaway operation of motor vehicles in combination, the motor carrier 
shall make a careful inspection and test to ascertain that:
    (1) The towbar or saddle-mount connections are properly secured to 
the towed and towing vehicle;
    (2) They function adequately without cramping or binding of any of 
the parts; and
    (3) The towed motor vehicle follows substantially in the path of the 
towing vehicle without whipping or swerving.
    (c) Post-trip inspection. Motor carriers shall maintain practices to 
ensure that following completion of any trip in driveaway-towaway 
operation of motor vehicles in combination, and before they are used 
again, the towbars and saddle-mounts are disassembled and inspected for 
worn, bent, cracked, broken, or missing parts. Before reuse, suitable 
repair or replacement shall be made of any defective parts and the 
devices shall be properly reassembled.

[44 FR 38526, July 2, 1979, as amended at 53 FR 49410, Dec. 7, 1988; 53 
FR 49968, Dec. 12, 1988]



Sec. 396.17  Periodic inspection.

    (a) Every commercial motor vehicle shall be inspected as required by 
this

[[Page 1175]]

section. The inspection shall include, at a minimum, the parts and 
accessories set forth in appendix G of this subchapter.

    Note: The term commercial motor vehicle includes each vehicle in a 
combination vehicle. For example, for a tractor semitrailer, fulltrailer 
combination, the tractor, semitrailer, and the fulltrailer (including 
the converter dolly if so equipped) shall each be inspected.

    (b) Except as provided in Sec. 396.23, a motor carrier shall inspect 
or cause to be inspected all motor vehicles subject to its control.
    (c) A motor carrier shall not use a commercial motor vehicle unless 
each component identified in appendix G has passed an inspection in 
accordance with the terms of this section at least once during the 
preceding 12 months and documentation of such inspection is on the 
vehicle. The documentation may be:
    (1) The inspection report prepared in accordance with paragraph 
396.21(a), or
    (2) Other forms of documentation, based on the inspection report 
(e.g., sticker or decal), which contains the following information:
    (i) The date of inspection;
    (ii) Name and address of the motor carrier or other entity where the 
inspection report is maintained;
    (iii) Information uniquely identifying the vehicle inspected if not 
clearly marked on the motor vehicle; and
    (iv) A certification that the vehicle has passed an inspection in 
accordance with Sec. 396.17.
    (d) A motor carrier may perform the required annual inspection for 
vehicles under the carrier's control which are not subject to an 
inspection under Sec. 396.23(b)(1).
    (e) In lieu of the self inspection provided for in paragraph (d) of 
this section, a motor carrier may choose to have a commercial garage, 
fleet leasing company, truck stop, or other similar commercial business 
perform the inspection as its agent, provided that business operates and 
maintains facilities appropriate for commercial vehicle inspections and 
it employs qualified inspectors, as required by Sec. 396.19.
    (f) Vehicles passing roadside or periodic inspections performed 
under the auspices of any State government or equivalent jurisdiction or 
the FMCSA, meeting the minimum standards contained in appendix G of this 
subchapter, will be considered to have met the requirements of an annual 
inspection for a period of 12 months commencing from the last day of the 
month in which the inspection was performed, except as provided in 
Sec. 396.23(b)(1).
    (g) It shall be the responsibility of the motor carrier to ensure 
that all parts and accessories not meeting the minimum standards set 
forth in appendix G to this subchapter are repaired promptly.
    (h) Failure to perform properly the annual inspection set forth in 
this section shall cause the motor carrier to be subject to the penalty 
provisions provided by 49 U.S.C. 521(b).

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988, as amended at 54 
FR 50725, Dec. 8, 1989]



Sec. 396.19  Inspector qualifications.

    (a) It shall be the motor carrier's responsibility to ensure that 
the individual(s) performing an annual inspection under Sec. 396.17 (d) 
or (e) is qualified as follows:
    (1) Understands the inspection criteria set forth in 49 CFR part 393 
and appendix G of this subchapter and can identify defective components;
    (2) Is knowledgeable of and has mastered the methods, procedures, 
tools and equipment used when performing an inspection; and
    (3) Is capable of performing an inspection by reason of experience, 
training, or both as follows:
    (i) Successfully completed a State or Federal-sponsored training 
program or has a certificate from a State or Canadian Province which 
qualifies the person to perform commercial motor vehicle safety 
inspections, or
    (ii) Have a combination of training and/or experience totaling at 
least 1 year. Such training and/or experience may consist of:
    (A) Participation in a truck manufacturer-sponsored training program 
or similar commercial training program designed to train students in 
truck operation and maintenance;
    (B) Experience as a mechanic or inspector in a motor carrier 
maintenance program;

[[Page 1176]]

    (C) Experience as a mechanic or inspector in truck maintenance at a 
commercial garage, fleet leasing company, or similar facility; or
    (D) Experience as a commercial vehicle inspector for a State, 
Provincial or Federal Government.
    (b) Evidence of that individual's qualifications under this section 
shall be retained by the motor carrier for the period during which that 
individual is performing annual motor vehicle inpspections for the motor 
carrier, and for one year thereafter. However, motor carriers do not 
have to maintain documentation of inspector qualifications for those 
inspections performed either as part of a State periodic inspection 
program or at the roadside as part of a random roadside inspection 
program.

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988]



Sec. 396.21  Periodic inspection recordkeeping requirements.

    (a) The qualified inspector performing the inspection shall prepare 
a report which:
    (1) Identifies the individual performing the inspection;
    (2) Identifies the motor carrier operating the vehicle;
    (3) Identifies the date of the inspection;
    (4) Identifies the vehicle inspected;
    (5) Identifies the vehicle components inspected and describes the 
results of the inspection, including the identification of those 
components not meeting the minimum standards set forth in appendix G to 
this subchapter; and
    (6) Certifies the accuracy and completeness of the inspection as 
complying with all the requirements of this section.
    (b)(1) The original or a copy of the inspection report shall be 
retained by the motor carrier or other entity who is responsible for the 
inspection for a period of fourteen months from the date of the 
inspection report. The original or a copy of the inspection report shall 
be retained where the vehicle is either housed or maintained.
    (2) The original or a copy of the inspection report shall be 
available for inspection upon demand of an authorized Federal, State or 
local official.
    (3) Exception. Where the motor carrier operating the commercial 
motor vehicles did not perform the commercial motor vehicle's last 
annual inspection, the motor carrier shall be responsible for obtaining 
the original or a copy of the last annual inspection report upon demand 
of an authorized Federal, State, or local official.

[54 FR 50725, Dec. 8, 1989]



Sec. 396.23  Equivalent to periodic inspection.

    (a) The motor carrier may meet the requirements of Sec. 396.17 
through a State or other jurisdiction's roadside inspection program. The 
inspection must have been performed during the preceding 12 months. In 
using the roadside inspection, the motor carrier would need to retain a 
copy of an annual inspection report showing that the inspection was 
performed in accordance with the minimum periodic inspection standards 
set forth in appendix G to this subchapter. When accepting such an 
inspection report, the motor carrier must ensure that the report 
complies with the requirements of Sec. 396.21(a).
    (b)(1) If a commercial motor vehicle is subject to a mandatory State 
inspection program which is determined by the Administrator to be as 
effective as Sec. 396.17, the motor carrier shall meet the requirement 
of Sec. 396.17 through that State's inspection program. Commercial motor 
vehicle inspections may be conducted by State personnel, at State 
authorized commercial facilities, or by the motor carrier under the 
auspices of a State authorized self-inspection program.
    (2) Should the FMCSA determine that a State inspection program, in 
whole or in part, is not as effective as Sec. 396.17, the motor carrier 
must ensure that the periodic inspection required by Sec. 396.17 is 
performed on all commercial motor vehicles under its control in a manner 
specified in Sec. 396.17.

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988, as amended at 60 
FR 38749, July 28, 1995]



Sec. 396.25  Qualifications of brake inspectors.

    (a) The motor carrier shall ensure that all inspections, 
maintenance, repairs or service to the brakes of its

[[Page 1177]]

commercial motor vehicles, are performed in compliance with the 
requirements of this section.
    (b) For purposes of this section, brake inspector means any employee 
of a motor carrier who is responsible for ensuring all brake 
inspections, maintenance, service, or repairs to any commercial motor 
vehicle, subject to the motor carrier's control, meet the applicable 
Federal standards.
    (c) No motor carrier shall require or permit any employee who does 
not meet the minimum brake inspector qualifications of Sec. 396.25(d) to 
be responsible for the inspection, maintenance, service or repairs of 
any brakes on its commercial motor vehicles.
    (d) The motor carrier shall ensure that each brake inspector is 
qualified as follows:
    (1) Understands the brake service or inspection task to be 
accomplished and can perform that task; and
    (2) Is knowledgeable of and has mastered the methods, procedures, 
tools and equipment used when performing an assigned brake service or 
inspection task; and
    (3) Is capable of performing the assigned brake service or 
inspection by reason of experience, training or both as follows:
    (i) Has successfully completed an apprenticeship program sponsored 
by a State, a Canadian Province, a Federal agency or a labor union, or a 
training program approved by a State, Provincial or Federal agency, or 
has a certificate from a State or Canadian Province which qualifies the 
person to perform the assigned brake service or inspection task 
(including passage of Commercial Driver's License air brake tests in the 
case of a brake inspection); or
    (ii) Has brake-related training or experience or a combination 
thereof totaling at least one year. Such training or experience may 
consist of:
    (A) Participation in a training program sponsored by a brake or 
vehicle manufacturer or similar commercial training program designed to 
train students in brake maintenance or inspection similar to the 
assigned brake service or inspection tasks; or
    (B) Experience performing brake maintenance or inspection similar to 
the assigned brake service or inspection task in a motor carrier 
maintenance program; or
    (C) Experience performing brake maintenance or inspection similar to 
the assigned brake service or inspection task at a commercial garage, 
fleet leasing company, or similar facility.
    (e) No motor carrier shall employ any person as a brake inspector 
unless the evidence of the inspector's qualifications, required under 
this section is maintained by the motor carrier at its principal place 
of business, or at the location at which the brake inspector is 
employed. The evidence must be maintained for the period during which 
the brake inspector is employed in that capacity and for one year 
thereafter. However, motor carriers do not have to maintain evidence of 
qualifications to inspect air brake systems for such inspections 
performed by persons who have passed the air brake knowledge and skills 
test for a Commercial Driver's License.

[56 FR 491, Jan. 7, 1991]



PART 397--TRANSPORTATION OF HAZARDOUS MATERIALS; DRIVING AND PARKING RULES--Table of Contents




                           Subpart A--General

Sec.
397.1 Application of the rules in this part.
397.2 Compliance with Federal motor carrier safety regulations.
397.3 State and local laws, ordinances, and regulations.
397.5 Attendance and surveillance of motor vehicles.
397.7 Parking.
397.9 [Reserved]
397.11 Fires.
397.13 Smoking.
397.15 Fueling.
397.17 Tires.
397.19 Instructions and documents.

Subpart B [Reserved]

        Subpart C--Routing of Non-Radioactive Hazardous Materials

397.61 Purpose and scope.
397.63 Applicability.
397.65 Definitions.
397.67 Motor carrier responsibility for routing.
397.69 Highway routing designations; preemption.

[[Page 1178]]

397.71 Federal standards.
397.73 Public information and reporting requirements.
397.75 Dispute resolution.
397.77 Judicial review of dispute decision.

          Subpart D--Routing of Class 7 (Radioactive) Materials

397.101 Requirements for motor carriers and drivers.
397.103 Requirements for State routing designations.

                    Subpart E--Preemption Procedures

397.201 Purpose and scope of the procedures.
397.203 Standards for determining preemption.
397.205 Preemption application.
397.207 Preemption notice.
397.209 Preemption processing.
397.211 Preemption determination.
397.213 Waiver of preemption application.
397.215 Waiver notice.
397.217 Waiver processing.
397.219 Waiver determination and order.
397.221 Timeliness.
397.223 Petition for reconsideration.
397.225 Judicial review.

    Authority: 49 U.S.C. 322; 49 CFR 1.73. Subpart A also issued under 
49 U.S.C. 5103, 31136, 31502, and 49 CFR 1.53. Subparts C, D, and E also 
issued under 49 U.S.C. 5112, 5125.

    Source: 36 FR 4876, Mar. 13, 1971, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 397 appear at 66 FR 
49874, Oct. 1, 2001.



                           Subpart A--General



Sec. 397.1  Application of the rules in this part.

    (a) The rules in this part apply to each motor carrier engaged in 
the transportation of hazardous materials by a motor vehicle which must 
be marked or placarded in accordance with Sec. 177.823 of this title and 
to--
    (1) Each officer or employee of the motor carrier who performs 
supervisory duties related to the transportation of hazardous materials; 
and
    (2) Each person who operates or who is in charge of a motor vehicle 
containing hazardous materials.
    (b) Each person designated in paragraph (a) of this section must 
know and obey the rules in this part.

[36 FR 4876, Mar. 13, 1971, as amended at 36 FR 16067, Aug. 19, 1971; 53 
FR 18058, May 19, 1988; 60 FR 38749, July 28, 1995]



Sec. 397.2  Compliance with Federal motor carrier safety regulations.

    A motor carrier or other person to whom this part is applicable must 
comply with the rules in parts 390 through 397, inclusive, of this 
subchapter when he/she is transporting hazardous materials by a motor 
vehicle which must be marked or placarded in accordance with 
Sec. 177.823 of this title.

[37 FR 18080, Sept. 7, 1972]



Sec. 397.3  State and local laws, ordinances, and regulations.

    Every motor vehicle containing hazardous materials must be driven 
and parked in compliance with the laws, ordinances, and regulations of 
the jurisdiction in which it is being operated, unless they are at 
variance with specific regulations of the Department of Transportation 
which are applicable to the operation of that vehicle and which impose a 
more stringent obligation or restraint.



Sec. 397.5  Attendance and surveillance of motor vehicles.

    (a) Except as provided in paragraph (b) of this section, a motor 
vehicle which contains a Division 1.1, 1.2, or 1.3 (explosive) material 
must be attended at all times by its driver or a qualified 
representative of the motor carrier that operates it.
    (b) The rules in paragraph (a) of this section do not apply to a 
motor vehicle which contains Division 1.1, 1.2, or 1.3 material if all 
the following conditions exist--
    (1) The vehicle is located on the property of a motor carrier, on 
the property of a shipper or consignee of the explosives, in a safe 
haven, or, in the case of a vehicle containing 50 pounds or less of a 
Division 1.1, 1.2, or 1.3 material, on a construction or survey site; 
and
    (2) The lawful bailee of the explosives is aware of the nature of 
the explosives the vehicle contains and has been instructed in the 
procedures which must be followed in emergencies; and
    (3) The vehicle is within the bailee's unobstructed field of view or 
is located in a safe haven.
    (c) A motor vehicle which contains hazardous materials other than 
Division 1.1, 1.2, or 1.3, materials, and

[[Page 1179]]

which is located on a public street or highway, or the shoulder of a 
public highway, must be attended by its driver. However, the vehicle 
need not be attended while its driver is performing duties which are 
incident and necessary to the driver's duties as the operator of the 
vehicle.
    (d) For purposes of this section--
    (1) A motor vehicle is attended when the person in charge of the 
vehicle is on the vehicle, awake, and not in a sleeper berth, or is 
within 100 feet of the vehicle and has it within his/her unobstructed 
field of view.
    (2) A qualified representative of a motor carrier is a person who--
    (i) Has been designated by the carrier to attend the vehicle;
    (ii) Is aware of the nature of the hazardous materials contained in 
the vehicle he/she attends;
    (iii) Has been instructed in the procedures he/she must follow in 
emergencies; and
    (iv) Is authorized to move the vehicle and has the means and ability 
to do so.
    (3) A safe haven in an area specifically approved in writing by 
local, State, or Federal governmental authorities for the parking of 
unattended vehicles containing Division 1.1, 1.2, or 1.3 materials.
    (e) The rules in this section do not relieve the driver from any 
obligation imposed by law relating to the placing of warning devices 
when a motor vehicle is stopped on a public street or highway.

[59 FR 63925, Dec. 12, 1994]



Sec. 397.7  Parking.

    (a) A motor vehicle which contains Division 1.1, 1.2, or 1.3 
materials must not be parked under any of the following circumstances--
    (1) On or within 5 feet of the traveled portion of a public street 
or highway;
    (2) On private property (including premises of fueling or eating 
facility) without the knowledge and consent of the person who is in 
charge of the property and who is aware of the nature of the hazardous 
materials the vehicle contains; or
    (3) Within 300 feet of a bridge, tunnel, dwelling, or place where 
people work, congregate, or assemble, except for brief periods when the 
necessities of operation require the vehicle to be parked and make it 
impracticable to park the vehicle in any other place.
    (b) A motor vehicle which contains hazardous materials other than 
Division 1.1, 1.2, or 1.3 materials must not be parked on or within five 
feet of the traveled portion of public street or highway except for 
brief periods when the necessities of operation require the vehicle to 
be parked and make it impracticable to park the vehicle in any other 
place.

[59 FR 63925, Dec. 12, 1994]



Sec. 397.9  [Reserved]



Sec. 397.11  Fires.

    (a) A motor vehicle containing hazardous materials must not be 
operated near an open fire unless its driver has first taken precautions 
to ascertain that the vehicle can safely pass the fire without stopping.
    (b) A motor vehicle containing hazardous materials must not be 
parked within 300 feet of an open fire.



Sec. 397.13  Smoking.

    No person may smoke or carry a lighted cigarette, cigar, or pipe on 
or within 25 feet of--
    (a) A motor vehicle which contains Class 1 materials, Class 5 
materials, or flammable materials classified as Division 2.1, Class 3, 
Divisions 4.1 and 4.2; or
    (b) An empty tank motor vehicle which has been used to transport 
Class 3, flammable materials, or Division 2.1 flammable gases, which 
when so used, was required to be marked or placarded in accordance with 
the rules in Sec. 177.823 of this title.

[59 FR 63925, Dec. 12, 1994]



Sec. 397.15  Fueling.

    When a motor vehicle which contains hazardous materials is being 
fueled--
    (a) Its engine must not be operating; and
    (b) A person must be in control of the fueling process at the point 
where the fuel tank is filled.



Sec. 397.17  Tires.

    (a) A driver must examine each tire on a motor vehicle at the 
beginning of

[[Page 1180]]

each trip and each time the vehicle is parked
    (b) If, as the result of an examination pursuant to paragraph (a) of 
this section, or otherwise, a tire if found to be flat, leaking, or 
improperly inflated, the driver must cause the tire to be repaired, 
replaced, or properly inflated before the vehicle is driven. However, 
the vehicle may be driven to the nearest safe place to perform the 
required repair, replacement, or inflation.
    (c) If, as the result of an examination pursuant to paragraph (a) of 
this section, or otherwise, a tire is found to be overheated, the driver 
shall immediately cause the overheated tire to be removed and placed at 
a safe distance from the vehicle. The driver shall not operate the 
vehicle until the cause of the overheating is corrected.
    (d) Compliance with the rules in this section does not relieve a 
driver from the duty to comply with the rules in Secs. 397.5 and 397.7.

[36 FR 4876, Mar. 13, 1971, as amended at 68 FR 62192, Oct. 4, 2002]



Sec. 397.19  Instructions and documents.

    (a) A motor carrier that transports Division 1.1, 1.2, or 1.3 
(explosive) materials must furnish the driver of each motor vehicle in 
which the explosives are transported with the following documents:
    (1) A copy of the rules in this part;
    (2) [Reserved]
    (3) A document containing instructions on procedures to be followed 
in the event of accident or delay. The documents must include the names 
and telephone numbers of persons (including representatives of carriers 
or shippers) to be contracted, the nature of the explosives being 
transported, and the precautions to be taken in emergencies such as 
fires, accidents, or leakages.
    (b) A driver who receives documents in accordance with paragraph (a) 
of this section must sign a receipt for them. The motor carrier shall 
maintain the receipt for a period of one year from the date of 
signature.
    (c) A driver of a motor vehicle which contains Division 1.1, 1.2, or 
1.3 materials must be in possession of, be familiar with, and be in 
compliance with
    (1) The documents specified in paragraph (a) of this section;
    (2) The documents specified in Sec. 177.817 of this title; and
    (3) The written route plan specified in Sec. 397.67.

[59 FR 63925, Dec. 12, 1994, as amended at 63 FR 33280, June 18, 1998]

Subpart B [Reserved]



        Subpart C--Routing of Non-Radioactive Hazardous Materials

    Source: 59 FR 51830, Oct. 12, 1994, unless otherwise noted.



Sec. 397.61  Purpose and scope.

    This subpart contains routing requirements and procedures that 
States and Indian tribes are required to follow if they establish, 
maintain, or enforce routing designations over which a non-radioactive 
hazardous material (NRHM) in a quantity which requires placarding may or 
may not be transported by a motor vehicle. It also provides regulations 
for motor carriers transporting placarded or marked NRHM and procedures 
for dispute resolutions regarding NRHM routing designations.



Sec. 397.63  Applicability.

    The provisions of this subpart apply to any State or Indian tribe 
that establishes, maintains, or enforces any routing designations over 
which NRHM may or may not be transported by motor vehicle. They also 
apply to any motor carrier that transports or causes to be transported 
placarded or marked NRHM in commerce.



Sec. 397.65  Definitions.

    For purposes of this subpart, the following definitions apply:
    Administrator. The Federal Motor Carrier Safety Administrator, who 
is the chief executive of the Federal Motor Carrier Safety 
Administration, an agency within the United States Department of 
Transportation, or his/her designate.
    Commerce. Any trade, traffic, or transportation in the United States 
which:
    (1) Is between a place under the jurisdiction of a State or Indian 
tribe and

[[Page 1181]]

any place outside of such jurisdiction; or
    (2) Is solely within a place under the jurisdiction of a State or 
Indian tribe but which affects trade, traffic, or transportation 
described in subparagraph (a).
    FMCSA. The Federal Motor Carrier Safety Administration, an agency 
within the Department of Transportation.
    Hazardous material. A substance or material, including a hazardous 
substance, which has been determined by the Secretary of Transportation 
to be capable of posing an unreasonable risk to health, safety, or 
property when transported in commerce, and which has been so designated.
    Indian tribe. Has the same meaning as contained in Sec. 4 of the 
Indian Self-Determination and Education Act, 25 U.S.C. 450b.
    Motor carrier. A for-hire motor carrier or a private motor carrier 
of property. The term includes a motor carrier's agents, officers and 
representatives as well as employees responsible for hiring, 
supervising, training, assigning, or dispatching of drivers.
    Motor vehicle. Any vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used upon the 
highways in the transportation of passengers or property, or any 
combination thereof.
    NRHM. A non-radioactive hazardous material transported by motor 
vehicle in types and quantities which require placarding, pursuant to 
Table 1 or 2 of 49 CFR 172.504.
    Political subdivision. A municipality, public agency or other 
instrumentality of one or more States, or a public corporation, board, 
or commission established under the laws of one or more States.
    Radioactive material. Any material having a specific activity 
greater than 0.002 microcuries per gram (uCi/g), as defined in 49 CFR 
173.403.
    Routing agency. The State highway agency or other State agency 
designated by the Governor of that State, or an agency designated by an 
Indian tribe, to supervise, coordinate, and approve the NRHM routing 
designations for that State or Indian tribe.
    Routing designations. Any regulation, limitation, restriction, 
curfew, time of travel restriction, lane restriction, routing ban, port-
of-entry designation, or route weight restriction, applicable to the 
highway transportation of NRHM over a specific highway route or portion 
of a route.
    Secretary. The Secretary of Transportation.
    State. A State of the United States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, the Virgin Islands, American Samoa or Guam.



Sec. 397.67  Motor carrier responsibility for routing.

    (a) A motor carrier transporting NRHM shall comply with NRHM routing 
designations of a State or Indian tribe pursuant to this subpart.
    (b) A motor carrier carrying hazardous materials required to be 
placarded or marked in accordance with 49 CFR 177.823 and not subject to 
a NRHM routing designations pursuant to this subpart, shall operate the 
vehicle over routes which do not go through or near heavily populated 
areas, places where crowds are assembled, tunnels, narrow streets, or 
alleys, except where the motor carrier determines that:
    (1) There is no practicable alternative;
    (2) A reasonable deviation is necessary to reach terminals, points 
of loading and unloading, facilities for food, fuel, repairs, rest, or a 
safe haven; or
    (3) A reasonable deviation is required by emergency conditions, such 
as a detour that has been established by a highway authority, or a 
situation exists where a law enforcement official requires the driver to 
take an alternative route.
    (c) Operating convenience is not a basis for determining whether it 
is practicable to operate a motor vehicle in accordance with paragraph 
(b) of this section.
    (d) Before a motor carrier requires or permits a motor vehicle 
containing explosives in Class 1, Divisions 1.1, 1.2, 1.3, as defined in 
49 CFR 173.50 and 173.53 respectively, to be operated, the carrier or 
its agent shall prepare a

[[Page 1182]]

written route plan that complies with this section and shall furnish a 
copy to the driver. However, the driver may prepare the written plan as 
agent for the motor carrier when the trip begins at a location other 
than the carrier's terminal.



Sec. 397.69  Highway routing designations; preemption.

    (a) Any State or Indian tribe that establishes or modifies a highway 
routing designation over which NRHM may or may not be transported on or 
after November 14, 1994, and maintains or enforces such designation, 
shall comply with the highway routing standards set forth in Sec. 397.71 
of this subpart. For purposes of this subpart, any highway routing 
designation affecting the highway transportation of NRHM, made by a 
political subdivision of a State is considered as one made by that 
State, and all requirements of this subpart apply.
    (b) Except as provided in Secs. 397.75 and 397.219, a NRHM route 
designation made in violation of paragraph (a) of this section is 
preempted pursuant to section 105(b)(4) of the Hazardous Materials 
Transportation Act (49 U.S.C. app. 1804(b)(4)). This provision shall 
become effective after November 14, 1996.
    (c) A highway routing designation established by a State, political 
subdivision, or Indian tribe before November 14, 1994 is subject to 
preemption in accordance with the preemption standards in paragraphs 
(a)(1) and (a)(2) of Sec. 397.203 of this subpart.
    (d) A State, political subdivision, or Indian tribe may petition for 
a waiver of preemption in accordance with Sec. 397.213 of this part.



Sec. 397.71  Federal standards.

    (a) A State or Indian tribe shall comply with the Federal standards 
under paragraph (b) of this section when establishing, maintaining or 
enforcing specific NRHM routing designations over which NRHM may or may 
not be transported.
    (b) The Federal standards are as follows:
    (1) Enhancement of public safety. The State or Indian tribe shall 
make a finding, supported by the record to be developed in accordance 
with paragraphs (b)(2)(ii) and (b)(3)(iv) of this section, that any NRHM 
routing designation enhances public safety in the areas subject to its 
jurisdiction and in other areas which are directly affected by such 
highway routing designation. In making such a finding, the State or 
Indian tribe shall consider:
    (i) The factors listed in paragraph (b)(9) of this section; and
    (ii) The DOT ``Guidelines for Applying Criteria to Designate Routes 
for Transporting Hazardous Materials,'' DOT/RSPA/OHMT-89-02, July 1989 
1 or its most current version; or an equivalent routing 
analysis which adequately considers overall risk to the public.
---------------------------------------------------------------------------

    \1\ This document may be obtained from Office of Enforcement and 
Compliance (MC-ECH), Federal Motor Carrier Safety Administration, U.S. 
Department of Transportation, 400 7th Street, SW., Washington, D.C. 
20590-0001.
---------------------------------------------------------------------------

    (2) Public participation. Prior to the establishment of any NRHM 
routing designation, the State or Indian tribe shall undertake the 
following actions to ensure participation by the public in the routing 
process:
    (i) The State or Indian tribe shall provide the public with notice 
of any proposed NRHM routing designation and a 30-day period in which to 
comment. At any time during this period or following review of the 
comments received, the State or Indian tribe shall decide whether to 
hold a public hearing on the proposed NRHM route designation. The public 
shall be given 30 days prior notice of the public hearing which shall be 
conducted as described in paragraph (b)(2)(ii) of this section. Notice 
for both the comment period and the public hearing, if one is held, 
shall be given by publication in at least two newspapers of general 
circulation in the affected area or areas and shall contain a complete 
description of the proposed routing designation, together with the date, 
time, and location of any public hearings. Notice for both the comment 
period and any public hearing may also be published in the official 
register of the State.
    (ii) If it is determined that a public hearing is necessary, the 
State or Indian tribe shall hold at least one public hearing on the 
record during which the public will be afforded the opportunity

[[Page 1183]]

to present their views and any information or data related to the 
proposed NRHM routing designation. The State shall make available to the 
public, upon payment of prescribed costs, copies of the transcript of 
the hearing, which shall include all exhibits and documents presented 
during the hearing or submitted for the record.
    (3) Consultation with others. Prior to the establishment of any NRHM 
routing designation, the State or Indian tribe shall provide notice to, 
and consult with, officials of affected political subdivisions, States 
and Indian tribes, and any other affected parties. Such actions shall 
include the following:
    (i) At least 60 days prior to establishing a routing designation, 
the State or Indian tribe shall provide notice, in writing, of the 
proposed routing designation to officials responsible for highway 
routing in all other affected States or Indian tribes. A copy of this 
notice may also be sent to all affected political subdivisions. This 
notice shall request approval, in writing, by those States or Indian 
tribes, of the proposed routing designations. If no response is received 
within 60 days from the day of receipt of the notification of the 
proposed routing designation, the routing designation shall be 
considered approved by the affected State or Indian tribe.
    (ii) The manner in which consultation under this paragraph is 
conducted is left to the discretion of the State or Indian tribe.
    (iii) The State or Indian tribe shall attempt to resolve any concern 
or disagreement expressed by any consulted official related to the 
proposed routing designation.
    (iv) The State or Indian tribe shall keep a record of the names and 
addresses of the officials notified pursuant to this section and of any 
consultation or meeting conducted with these officials or their 
representatives. Such record shall describe any concern or disagreement 
expressed by the officials and any action undertaken to resolve such 
disagreement or address any concern.
    (4) Through routing. In establishing any NRHM routing designation, 
the State or Indian tribe shall ensure through highway routing for the 
transportation of NRHM between adjacent areas. The term ``through 
highway routing'' as used in this paragraph means that the routing 
designation must ensure continuity of movement so as to not impede or 
unnecessarily delay the transportation of NRHM. The State or Indian 
tribe shall utilize the procedures established in paragraphs (b)(2) and 
(b)(3) of this section in meeting these requirements. In addition, the 
State or Indian tribe shall make a finding, supported by a risk analysis 
conducted in accordance with paragraph (b)(1) of this section, that the 
routing designation enhances public safety. If the risk analysis shows--
    (i) That the current routing presents at least 50 percent more risk 
to the public than the deviation under the proposed routing designation, 
then the proposed routing designation may go into effect.
    (ii) That the current routing presents a greater risk but less than 
50 percent more risk to the public than the deviation under the proposed 
routing restriction, then the proposed routing restriction made by a 
State or Indian tribe shall only go into effect if it does not force a 
deviation of more than 25 miles or result in an increase of more than 25 
percent of that part of a trip affected by the deviation, whichever is 
shorter, from the most direct route through a jurisdiction as compared 
to the intended deviation.
    (iii) That the current route has the same or less risk to the public 
than the deviation resulting from the proposed routing designation, then 
the routing designation shall not be allowed.
    (5) Agreement of other States; burden on commerce. Any NRHM routing 
designation which affects another State or Indian tribe shall be 
established, maintained, or enforced only if:
    (i) It does not unreasonably burden commerce, and
    (ii) It is agreed to by the affected State or Indian tribe within 60 
days of receipt of the notice sent pursuant to paragraph (b)(3)(i) of 
this section, or it is approved by the Administrator pursuant to 
Sec. 397.75.
    (6) Timeliness. The establishment of a NRHM routing designation by 
any State or Indian tribe shall be completed within 18 months of the 
notice

[[Page 1184]]

given in either paragraph (b)(2) or (b)(3) of this section, whichever 
occurs first.
    (7) Reasonable routes to terminals and other facilities. In 
establishing or providing for reasonable access to and from designated 
routes, the State or Indian tribe shall use the shortest practicable 
route considering the factors listed in paragraph (b)(9) of this 
section. In establishing any NRHM routing designation, the State or 
Indian tribe shall provide reasonable access for motor vehicles 
transporting NRHM to reach:
    (i) Terminals,
    (ii) Points of loading, unloading, pickup and delivery, and
    (iii) Facilities for food, fuel, repairs, rest, and safe havens.
    (8) Responsibility for local compliance. The States shall be 
responsible for ensuring that all of their political subdivisions comply 
with the provisions of this subpart. The States shall be responsible for 
resolving all disputes between such political subdivisions within their 
jurisdictions. If a State or any political subdivision thereof, or an 
Indian tribe chooses to establish, maintain, or enforce any NRHM routing 
designation, the Governor, or Indian tribe, shall designate a routing 
agency for the State or Indian tribe, respectively. The routing agency 
shall ensure that all NRHM routing designations within its jurisdiction 
comply with the Federal standards in this section. The State or Indian 
tribe shall comply with the public information and reporting 
requirements contained in Sec. 397.73.
    (9) Factors to consider. In establishing any NRHM routing 
designation, the State or Indian tribe shall consider the following 
factors:
    (i) Population density. The population potentially exposed to a NRHM 
release shall be estimated from the density of the residents, employees, 
motorists, and other persons in the area, using United States census 
tract maps or other reasonable means for determining the population 
within a potential impact zone along a designated highway route. The 
impact zone is the potential range of effects in the event of a release. 
Special populations such as schools, hospitals, prisons, and senior 
citizen homes shall, among other things, be considered when determining 
the potential risk to the populations along a highway routing. 
Consideration shall be given to the amount of time during which an area 
will experience a heavy population density.
    (ii) Type of highway. The characteristics of each alternative NRHM 
highway routing designation shall be compared. Vehicle weight and size 
limits, underpass and bridge clearances, roadway geometrics, number of 
lanes, degree of access control, and median and shoulder structures are 
examples of characteristics which a State or Indian tribe shall 
consider.
    (iii) Types and quantities of NRHM. An examination shall be made of 
the type and quantity of NRHM normally transported along highway routes 
which are included in a proposed NRHM routing designation, and 
consideration shall be given to the relative impact zone and risks of 
each type and quantity.
    (iv) Emergency response capabilities. In consultation with the 
proper fire, law enforcement, and highway safety agencies, consideration 
shall be given to the emergency response capabilities which may be 
needed as a result of a NRHM routing designation. The analysis of the 
emergency response capabilities shall be based upon the proximity of the 
emergency response facilities and their capabilities to contain and 
suppress NRHM releases within the impact zones.
    (v) Results of consultation with affected persons. Consideration 
shall be given to the comments and concerns of all affected persons and 
entities provided during public hearings and consultations conducted in 
accordance with this section.
    (vi) Exposure and other risk factors. States and Indian tribes shall 
define the exposure and risk factors associated with any NRHM routing 
designations. The distance to sensitive areas shall be considered. 
Sensitive areas include, but are not limited to, homes and commercial 
buildings; special populations in hospitals, schools, handicapped 
facilities, prisons and stadiums; water sources such as streams and 
lakes; and natural areas such as parks, wetlands, and wildlife reserves.
    (vii) Terrain considerations. Topography along and adjacent to the 
proposed NRHM routing designation that

[[Page 1185]]

may affect the potential severity of an accident, the dispersion of the 
NRHM upon release and the control and clean up of NRHM if released shall 
be considered.
    (viii) Continuity of routes. Adjacent jurisdictions shall be 
consulted to ensure routing continuity for NRHM across common borders. 
Deviations from the most direct route shall be minimized.
    (ix) Alternative routes. Consideration shall be given to the 
alternative routes to, or resulting from, any NRHM route designation. 
Alternative routes shall be examined, reviewed, or evaluated to the 
extent necessary to demonstrate that the most probable alternative 
routing resulting from a routing designation is safer than the current 
routing.
    (x) Effects on commerce. Any NRHM routing designation made in 
accordance with this subpart shall not create an unreasonable burden 
upon interstate or intrastate commerce.
    (xi) Delays in transportation. No NRHM routing designations may 
create unnecessary delays in the transportation of NRHM.
    (xii) Climatic conditions. Weather conditions unique to a highway 
route such as snow, wind, ice, fog, or other climatic conditions that 
could affect the safety of a route, the dispersion of the NRHM upon 
release, or increase the difficulty of controlling it and cleaning it up 
shall be given appropriate consideration.
    (xiii) Congestion and accident history. Traffic conditions unique to 
a highway routing such as: traffic congestion; accident experience with 
motor vehicles, traffic considerations that could affect the potential 
for an accident, exposure of the public to any release, ability to 
perform emergency response operations, or the temporary closing of a 
highway for cleaning up any release shall be given appropriate 
consideration.



Sec. 397.73  Public information and reporting requirements.

    (a) Public information. Information on NRHM routing designations 
must be made available by the States and Indian tribes to the public in 
the form of maps, lists, road signs or some combination thereof. If road 
signs are used, those signs and their placements must comply with the 
provisions of the Manual on Uniform Traffic Control Devices,2 
published by the FMCSA, particularly the Hazardous Cargo signs 
identified as R14-2 and R14-3 shown in Section 2B-43 of that Manual.
---------------------------------------------------------------------------

    \2\ This publication may be purchased from the Superintendent of 
Documents, U.S. Government Printing Office (GPO), Washington, D.C. 20402 
and has Stock No. 050-001-81001-8. It is available for inspection and 
copying as prescribed in 49 CFR part 7, appendix D. See 23 CFR part 655, 
subpart F.
---------------------------------------------------------------------------

    (b) Reporting and publishing requirements. Each State or Indian 
tribe, through its routing agency, shall provide information identifying 
all NRHM routing designations which exist within their jurisdictions on 
November 14, 1994 to the FMCSA, Office of Enforcement and Compliance 
(MC-ECH), 400 7th St., SW., Washington, D.C. 20590-0001 by March 13, 
1995. The State or Indian tribe shall include descriptions of these 
routing designations, along with the dates they were established. This 
information may also be published in each State's official register of 
State regulations. Information on any subsequent changes or new NRHM 
routing designations shall be furnished within 60 days after 
establishment to the FMCSA. This information will be available from the 
FMCSA, consolidated by the FMCSA, and published annually in whole or as 
updates in the Federal Register. Each State may also publish this 
information in its official register of State regulations.

(Approved by the Office of Management and Budget under control number 
2125-0554)



Sec. 397.75  Dispute resolution.

    (a) Petition. One or more States or Indian tribes may petition the 
Administrator to resolve a dispute relating to an agreement on a 
proposed NRHM routing designation. In resolving a dispute under these 
provisions, the Administrator will provide the greatest level of safety 
possible without unreasonably burdening commerce, and ensure compliance 
with the Federal standards established at Sec. 397.71 of this subpart.

[[Page 1186]]

    (b) Filing. Each petition for dispute resolution filed under this 
section must:
    (1) Be submitted to the Administrator, Federal Motor Carrier Safety 
Administration, U.S. Department of Transportation, 400 7th Street, SW., 
Washington, DC 20590-0001. Attention: Office of the Chief Counsel (MC-
CC).
    (2) Identify the State or Indian tribe filing the petition and any 
other State, political subdivision, or Indian tribe whose NRHM routing 
designation is the subject of the dispute.
    (3) Contain a certification that the petitioner has complied with 
the notification requirements of paragraph (c) of this section, and 
include a list of the names and addresses of each State, political 
subdivision, or Indian tribe official who was notified of the filing of 
the petition.
    (4) Clearly set forth the dispute for which resolution is sought, 
including a complete description of any disputed NRHM routing 
designation and an explanation of how the disputed routing designation 
affects the petitioner or how it impedes through highway routing. If the 
routing designation being disputed results in alternative routing, then 
a comparative risk analysis for the designated route and the resulting 
alternative routing shall be provided.
    (5) Describe any actions taken by the State or Indian tribe to 
resolve the dispute.
    (6) Explain the reasons why the petitioner believes that the 
Administrator should intervene in resolving the dispute.
    (7) Describe any proposed actions that the Administrator should take 
to resolve the dispute and how these actions would provide the greatest 
level of highway safety without unreasonably burdening commerce and 
would ensure compliance with the Federal standards established in this 
subpart.
    (c) Notice. (1) Any State or Indian tribe that files a petition for 
dispute resolution under this subpart shall mail a copy of the petition 
to any affected State, political subdivision, or Indian tribe, 
accompanied by a statement that the State, political subdivision, or 
Indian tribe may submit comments regarding the petition to the 
Administrator within 45 days.
    (2) By serving notice on any other State, political subdivision, or 
Indian tribe determined by the Administrator to be possibly affected by 
the issues in dispute or the resolution sought, or by publication in the 
Federal Register, the Administrator may afford those persons an 
opportunity to file written comments on the petition.
    (3) Any affected State, political subdivision, or Indian tribe 
submitting written comments to the Administrator with respect to a 
petition filed under this section shall send a copy of the comments to 
the petitioner and certify to the Administrator as to having complied 
with this requirement. The Administrator may notify other persons 
participating in the proceeding of the comments and provide an 
opportunity for those other persons to respond.
    (d) Court actions. After a petition for dispute resolution is filed 
in accordance with this section, no court action may be brought with 
respect to the subject matter of such dispute until a final decision has 
been issued by the Administrator or until the last day of the one-year 
period beginning on the day the Administrator receives the petition, 
whichever occurs first.
    (e) Hearings; alternative dispute resolution. Upon receipt of a 
petition filed pursuant to paragraph (a) of this section, the 
Administrator may schedule a hearing to attempt to resolve the dispute 
and, if a hearing is scheduled, will notify all parties to the dispute 
of the date, time, and place of the hearing. During the hearing the 
parties may offer any information pertinent to the resolution of the 
dispute. If an agreement is reached, it may be stipulated by the 
parties, in writing, and, if the Administrator agrees, made part of the 
decision in paragraph (f) of this section. If no agreement is reached, 
the Administrator may take the matter under consideration and announce 
his or her decision in accordance with paragraph (f) of this section. 
Nothing in this section shall be construed as prohibiting the parties 
from settling the dispute or seeking other methods of alternative 
dispute resolution prior to the final decision by the Administrator.

[[Page 1187]]

    (f) Decision. The Administrator will issue a decision based on the 
petition, the written comments submitted by the parties, the record of 
the hearing, and any other information in the record. The decision will 
include a written statement setting forth the relevant facts and the 
legal basis for the decision.
    (g) Record. The Administrator will serve a copy of the decision upon 
the petitioner and any other party who participated in the proceedings. 
A copy of each decision will be placed on file in the public docket. The 
Administrator may publish the decision or notice of the decision in the 
Federal Register.



Sec. 397.77  Judicial review of dispute decision.

    Any State or Indian tribe adversely affected by the Administrator's 
decision under Sec. 397.75 of this subpart may seek review by the 
appropriate district court of the United States under such proceeding 
only by filing a petition with such court within 90 days after such 
decision becomes final.



          Subpart D--Routing of Class 7 (Radioactive) Materials



Sec. 397.101  Requirements for motor carriers and drivers.

    (a) Except as provided in paragraph (b) of this section or in 
circumstances when there is only one practicable highway route 
available, considering operating necessity and safety, a carrier or any 
person operating a motor vehicle that contains a Class 7 (radioactive) 
material, as defined in 49 CFR 172.403, for which placarding is required 
under 49 CFR part 172 shall:
    (1) Ensure that the motor vehicle is operated on routes that 
minimize radiological risk;
    (2) Consider available information on accident rates, transit time, 
population density and activities, and the time of day and the day of 
week during which transportation will occur to determine the level of 
radiological risk; and
    (3) Tell the driver which route to take and that the motor vehicle 
contains Class 7 (radioactive) materials.
    (b) Except as otherwise permitted in this paragraph and in paragraph 
(f) of this section, a carrier or any person operating a motor vehicle 
containing a highway route controlled quantity of Class 7 (radioactive) 
materials, as defined in 49 CFR 173.403(l), shall operate the motor 
vehicle only over preferred routes.
    (1) For purposes of this subpart, a preferred route is an Interstate 
System highway for which an alternative route is not designated by a 
State routing agency; a State-designated route selected by a State 
routing agency pursuant to Sec. 397.103; or both of the above.
    (2) The motor carrier or the person operating a motor vehicle 
containing a highway route controlled quantity of Class 7 (radioactive) 
materials, as defined in 49 CFR 173.403(l) and (y), shall select routes 
to reduce time in transit over the preferred route segment of the trip. 
An Interstate System bypass or Interstate System beltway around a city, 
when available, shall be used in place of a preferred route through a 
city, unless a State routing agency has designated an alternative route.
    (c) A motor vehicle may be operated over a route, other than a 
preferred route, only under the following conditions:
    (1) The deviation from the preferred route is necessary to pick up 
or deliver a highway route controlled quantity of Class 7 (radioactive) 
materials, to make necessary rest, fuel or motor vehicle repair stops, 
or because emergency conditions make continued use of the preferred 
route unsafe or impossible;
    (2) For pickup and delivery not over preferred routes, the route 
selected must be the shortest-distance route from the pickup location to 
the nearest preferred route entry location, and the shortest-distance 
route to the delivery location from the nearest preferred route exit 
location. Deviation from the shortest-distance pickup or delivery route 
is authorized if such deviation:
    (i) Is based upon the criteria in paragraph (a) of this section to 
minimize the radiological risk; and
    (ii) Does not exceed the shortest-distance pickup or delivery route 
by more than 25 miles and does not exceed 5 times the length of the 
shortest-distance pickup or delivery route.

[[Page 1188]]

    (iii) Deviations from preferred routes, or pickup or delivery routes 
other than preferred routes, which are necessary for rest, fuel, or 
motor vehicle repair stops or because of emergency conditions, shall be 
made in accordance with the criteria in paragraph (a) of this section to 
minimize radiological risk, unless due to emergency conditions, time 
does not permit use of those criteria.
    (d) A carrier (or a designated agent) who operates a motor vehicle 
which contains a package of highway route controlled quantity of Class 7 
(radioactive) materials, as defined in 49 CFR 173.403(l), shall prepared 
a written route plan and supply a copy before departure to the motor 
vehicle driver and a copy to the shipper (before departure for exclusive 
use shipments, as defined in 49 CFR 173.403(i), or within fifteen 
working days following departure for all other shipments). Any variation 
between the route plan and routes actually used, and the reason for it, 
shall be reported in an amendment to the route plan delivered to the 
shipper as soon as practicable but within 30 days following the 
deviation. The route plan shall contain:
    (1) A statement of the origin and destination points, a route 
selected in compliance with this section, all planned stops, and 
estimated departure and arrival times; and
    (2) Telephone numbers which will access emergency assistance in each 
State to be entered.
    (e) No person may transport a package of highway route controlled 
quantity of Class 7 (radioactive) materials on a public highway unless:
    (1) The driver has received within the two preceding years, written 
training on:
    (i) Requirements in 49 CFR parts 172, 173, and 177 pertaining to the 
Class 7 (radioactive) materials transported;
    (ii) The properties and hazards of the Class 7 (radioactive) 
materials being transported; and
    (iii) Procedures to be followed in case of an accident or other 
emergency.
    (2) The driver has in his or her immediate possession a certificate 
of training as evidence of training required by this section, and a copy 
is placed in his or her qualification file (see Sec. 391.51 of this 
subchapter), showing:
    (i) The driver's name and operator's license number;
    (ii) The dates training was provided;
    (iii) The name and address of the person providing the training;
    (iv) That the driver has been trained in the hazards and 
characteristics of highway route controlled quantity of Class 7 
(radioactive) materials; and
    (v) A statement by the person providing the training that 
information on the certificate is accurate.
    (3) The driver has in his or her immediate possession the route plan 
required by paragraph (d) of this section and operates the motor vehicle 
in accordance with the route plan.
    (f) A person may transport irradiated reactor fuel only in 
compliance with a plan if required under 49 CFR 173.22(c) that will 
ensure the physical security of the material. Variation for security 
purposes from the requirements of this section is permitted so far as 
necessary to meet the requirements imposed under such a plan, or 
otherwise imposed by the U.S. Nuclear Regulatory Commission in 10 CFR 
part 73.
    (g) Except for packages shipped in compliance with the physical 
security requirements of the U.S. Nuclear Regulatory Commission in 10 
CFR part 73, each carrier who accepts for transportation a highway route 
controlled quantity of Class 7 (radioactive) material (see 49 CFR 
173.401(l)), must, within 90 days following the acceptance of the 
package, file the following information concerning the transportation of 
each such package with the Office of Enforcement and Compliance (MC-
ECH), Federal Motor Carrier Safety Administration, 400 Seventh Street, 
SW., Washington, DC 20590-0001:
    (1) The route plan required under paragraph (d) of this section, 
including all required amendments reflecting the routes actually used;
    (2) A statement identifying the names and addresses of the shipper, 
carrier and consignee; and
    (3) A copy of the shipping paper or the description of the Class 7 
(radioactive) material in the shipment required by 49 CFR 172.202 and 
172.203.

[57 FR 44131, Sept. 24, 1992, as amended at 66 FR 49874, Oct. 1, 2001]

[[Page 1189]]



Sec. 397.103  Requirements for State routing designations.

    (a) The State routing agency, as defined in Sec. 397.201(c), shall 
select routes to minimize radiological risk using ``Guidelines for 
Selecting Preferred Highway Routes for Highway Route Controlled Quantity 
Shipments of Radioactive Materials,'' or an equivalent routing analysis 
which adequately considers overall risk to the public. Designations must 
be preceded by substantive consultation with affected local 
jurisdictions and with any other affected States to ensure consideration 
of all impacts and continuity of designated routes.
    (b) State routing agencies may designate preferred routes as an 
alternative to, or in addition to, one or more Interstate System 
highways, including interstate system bypasses, or Interstate System 
beltways.
    (c) A State-designated route is effective when--
    (1) The State gives written notice by certified mail, return receipt 
requested, to the Office of Enforcement and Compliance (MC-ECH), Attn: 
National Hazardous Materials Route Registry, 400 Seventh Street, SW., 
Washington, DC 20590.
    (2) Receipt thereof is acknowledged in writing by the FMCSA.
    (d) A list of State-designated preferred routes and a copy of the 
``Guidelines for Selecting Preferred Highway Routes for Highway Route 
Controlled Quantity Shipments of Radioactive Materials'' are available 
upon request to Office of Enforcement and Compliance (MC-ECH), 400 
Seventh Street, SW., Washington, DC 20590.

[57 FR 44131, Sept. 24, 1992, as amended at 66 FR 49874, Oct. 1, 2001]



                    Subpart E--Preemption Procedures

    Source: 57 FR 44132, Sept. 24, 1992, unless otherwise noted.



Sec. 397.201  Purpose and scope of the procedures.

    (a) This subpart prescribes procedures by which:
    (1) Any person, including a State, political subdivision thereof, or 
Indian tribe, directly affected by any highway routing designation for 
hazardous materials may apply to the Administrator for a determination 
as to whether that highway routing designation is preempted under 49 
U.S.C. 5125, or Sec. 397.69 or Sec. 397.203 of this part; and
    (2) A State, political subdivision thereof, or Indian tribe may 
apply to the Administrator for a waiver of preemption with respect to 
any highway routing designation that the State, political subdivision 
thereof, or Indian tribe acknowledges to be preempted by 49 U.S.C. 5125, 
or Sec. 397.69 or Sec. 397.203 of this part, or that has been determined 
by a court of competent jurisdiction to be so preempted.
    (b) Unless otherwise ordered by the Administrator, an application 
for a preemption determination which includes an application for a 
waiver of preemption will be treated and processed solely as an 
application for a preemption determination.
    (c) For purposes of this part:
    Act means 49 U.S.C. 5101 et seq., formerly known as the Hazardous 
Materials Transportation Act.
    Administrator means the Federal Highway Administrator, who is the 
chief executive of the Federal Motor Carrier Safety Administration, an 
agency of the United States Department of Transportation, or his/her 
designate.
    Hazardous material means a substance or material, including a 
hazardous substance, which has been determined by the Secretary of 
Transportation to be capable of posing an unreasonable risk to health, 
safety, or property, when transported in commerce, and which has been so 
designated.
    Indian tribe has the same meaning as contained in section 4 of the 
Indian Self-Determination and Education Act, 25 U.S.C. 450b.
    Person means an individual, firm, copartnership, corporation, 
company, association, joint-stock association, including any trustee, 
receiver, assignee, or similar representative thereof, or government, 
Indian tribe, or agency or instrumentality of any government or Indian 
tribe when it offers hazardous materials for transportation in commerce 
or transports hazardous materials in furtherance of a commercial

[[Page 1190]]

enterprise, but such term does not include the United States Postal 
Service.
    Political subdivision includes a municipality; a public agency or 
other instrumentality of one or more States, or a public corporation, 
board, or commission established under the laws of one or more States.
    Routing agency means the State highway agency or other State agency 
designated by the Governor of a State, or an agency designated by an 
Indian tribe, to supervise, coordinate, and approve the highway routing 
designations for that State or Indian tribe. Any highway routing 
designation made by a political subdivision of a State shall be 
considered a designation made by that State.
    Routing designation includes any regulation, limitation, 
restriction, curfew, time of travel restriction, lane restriction, 
routing ban, port-of-entry designation, or route weight restriction 
applicable to the highway transportation of hazardous materials over a 
specific highway route or portion of a route.
    State means a State of the United States, the District of Columbia, 
the Commonwealth of Puerto Rico, the Commonwealth of the Northern 
Mariana Islands, the Virgin Islands, American Samoa, Guam, or any other 
territory or possession of the United States designated by the 
Secretary.

[57 FR 44132, Sept. 24, 1992, as amended at 59 FR 51834, Oct. 12, 1994]



Sec. 397.203  Standards for determining preemption.

    (a) Any highway routing designation established, maintained, or 
enforced by a State, political subdivision thereof, or Indian tribe is 
preempted if--
    (1) Compliance with both the highway routing designation and any 
requirement under the Act or of a regulation issued under the Act is not 
possible;
    (2) The highway routing designation as applied or enforced creates 
an obstacle to the accomplishment and execution of the Act or the 
regulations issued under the Act; or
    (3) The highway routing designation is preempted pursuant to 
Sec. 397.69(b) of this part.
    (b) [Reserved]

[57 FR 44132, Sept. 24, 1992, as amended at 59 FR 51834, Oct. 12, 1994]



Sec. 397.205  Preemption application.

    (a) Any person, including a State, political subdivision thereof, or 
Indian tribe directly affected by any highway routing designation of 
another State, political subdivision, or Indian tribe, may apply to the 
Administrator for a determination of whether that highway routing 
designation is preempted by the Act or Sec. 397.203 of this subpart. The 
Administrator shall publish notice of the application in the Federal 
Register.
    (b) Each application filed under this section for a determination 
must:
    (1) Be submitted to the Administrator, Federal Motor Carrier Safety 
Administration, U.S. Department of Transportation, Washington, DC 20590-
0001. Attention: Office of the chief Counsel (MC-CC), Hazardous 
Materials Preemption;
    (2) Set forth a detailed description of the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
for which the determination is sought;
    (3) If applicable, specify the provisions of the Act or the 
regulations issued under the Act under which the applicant seeks 
preemption of the highway routing designation of the State, political 
subdivision thereof, or Indian tribe;
    (4) Explain why the applicant believes the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
should or should not be preempted under the standards of Sec. 397.203; 
and
    (5) State how the applicant is affected by the highway routing 
designation of the State, political subdivision thereof, or Indian 
tribe.
    (c) The filing of an application for a determination under this 
section does not constitute grounds for noncompliance with any 
requirement of the Act or any regulation issued under the Act.
    (d) Once the Administrator has published notice in the Federal 
Register of an application received under paragraph (a) of this section, 
no applicant for such determination may seek relief

[[Page 1191]]

with respect to the same or substantially the same issue in any court 
until final action has been taken on the application or until 180 days 
after filing of the application, whichever occurs first. Nothing in this 
section shall be construed as prohibiting any person, including a State, 
political subdivision thereof, or Indian tribe, directly affected by any 
highway routing designation from seeking a determination of preemption 
in any court of competent jurisdiction in lieu of applying to the 
Administrator under paragraph (a) of this section.



Sec. 397.207  Preemption notice.

    (a) If the applicant is other than a State, political subdivision 
thereof, or Indian tribe, the applicant shall mail a copy of the 
application to the State, political subdivision thereof, or Indian tribe 
concerned, accompanied by a statement that comments may be submitted 
regarding the application to the Administrator within 45 days. The 
application filed with the Administrator must include a certification 
that the applicant has complied with this paragraph and must include the 
names and addresses of each official to whom a copy of the application 
was sent.
    (b) The Administrator may afford interested persons an opportunity 
to file written comments on the application by serving notice on any 
persons readily identifiable by the Administrator as persons who will be 
affected by the ruling sought or by publication in the Federal Register.
    (c) Each person submitting written comments to the Administrator 
with respect to an application filed under this section shall send a 
copy of the comments to the applicant and certify to the Administrator 
that he or she has complied with this requirement. The Administrator may 
notify other persons participating in the proceeding of the comments and 
provide an opportunity for those other persons to respond.



Sec. 397.209  Preemption processing.

    (a) The Administrator may initiate an investigation of any statement 
in an application and utilize in his or her evaluation any relevant 
facts obtained by that investigation. The Administrator may solicit and 
accept submissions from third persons relevant to an application and 
will provide the applicant an opportunity to respond to all third person 
submissions. In evaluating an application, the Administrator may 
consider any other source of information. The Administrator may convene 
a hearing or conference, if a hearing or conference will advance the 
evaluation of the application.
    (b) The Administrator may dismiss the application without prejudice 
if:
    (1) he or she determines that there is insufficient information upon 
which to base a determination; or
    (2) he or she requests additional information from the applicant and 
it is not submitted.



Sec. 397.211  Preemption determination.

    (a) Upon consideration of the application and other relevant 
information received, the Administrator issues a determination.
    (b) Notwithstanding that an application for a determination has not 
been filed under Sec. 397.205, the Administrator, on his or her own 
initiative, may issue a determination as to whether a particular highway 
routing designation of a State, political subdivision thereof, or Indian 
tribe is preempted under the Act or the regulations issued under the 
Act.
    (c) The determination includes a written statement setting forth the 
relevant facts and the legal basis for the determination, and provides 
that any person aggrieved thereby may file a petition for 
reconsideration within 20 days in accordance with Sec. 397.223.
    (d) Unless the determination is issued pursuant to paragraph (b) of 
this section, the Administrator serves a copy of the determination upon 
the applicant. In all preemption determinations, the Administrator 
serves a copy of the determination upon any other person who 
participated in the proceeding or who is readily identifiable by the 
Administrator as affected by the determination. A copy of each 
determination is placed on file in the public docket. The Administrator 
may publish the determination or notice of the determination in the 
Federal Register.

[[Page 1192]]

    (e) If no petition for reconsideration is filed within 20 days in 
accordance with Sec. 397.223, a determination issued under this section 
constitutes the final agency decision as to whether a particular highway 
routing designation of a State, political subdivision thereof, or Indian 
tribe is preempted under the Act or regulations issued thereunder. The 
fact that a determination has not been issued under this section with 
respect to a particular highway routing designation of a State, 
political subdivision thereof, or Indian tribe carries no implication as 
to whether the requirement is preempted under the Act or regulations 
issued thereunder.



Sec. 397.213  Waiver of preemption application.

    (a) Any State, political subdivision thereof, or Indian tribe may 
apply to the Administrator for a waiver of preemption with respect to 
any highway routing designation that the State, political subdivision 
thereof, or Indian tribe acknowledges to be preempted by the Act, 
Sec. 397.203 of this subpart, or a court of competent jurisdiction. The 
Administrator may waive preemption with respect to such requirement upon 
a determination that such requirement--
    (1) Affords an equal or greater level of protection to the public 
than is afforded by the requirements of the Act or regulations issued 
under the Act, and
    (2) Does not unreasonably burden commerce.
    (b) Each application filed under this section for a waiver of 
preemption determination must:
    (1) Be submitted to the Administrator, Federal Motor Carrier Safety 
Administration, U.S. Department of Transportation, Washington, DC 20590-
0001. Attention: Office of the Chief Counsel (MC-CC), Hazardous 
Materials Preemption Docket;
    (2) Set forth a detailed description of the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
for which the determination is being sought;
    (3) Include a copy of any relevant court order or determination 
issued pursuant to Sec. 397.211;
    (4) Contain an express acknowledgment by the applicant that the 
highway routing designation of the State, political subdivision thereof, 
our Indian tribe is preempted under the Act or the regulations issued 
under the Act, unless it has been so determined by a court of competent 
jurisdiction or in a determination issued under this subpart;
    (5) Specify each provision of the Act or the regulations issued 
under the Act that preempts the highway routing designation of the 
State, political subdivision thereof, or Indian tribe;
    (6) State why the applicant believes that the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
affords an equal or greater level of protection to the public than is 
afforded by the requirements of the Act or the regulations issued under 
the Act;
    (7) State why the applicant believes that the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
does not unreasonably burden commerce; and
    (8) Specify what steps the State, political subdivision thereof, or 
Indian tribe is taking to administer and enforce effectively the 
preempted requirement.



Sec. 397.215  Waiver notice.

    (a) The applicant State, political subdivision thereof, or Indian 
tribe shall mail a copy of the application and any subsequent amendments 
or other documents relating to the application to each person whom the 
applicant reasonably ascertains will be affected by the determination 
sought. The copy of the application must be accompanied by a statement 
that the person may submit comments regarding the application to the 
Administrator within 45 days. The application filed with the 
Administrator must include a certification with the application has 
complied with this paragraph and must include the names and addresses of 
each person to whom the application was sent.
    (b) Notwithstanding the provisions of paragraph (a) of this section, 
if the State, political subdivision thereof, or Indian tribe determines 
that compliance with paragraph (a) of this section

[[Page 1193]]

would be impracticable, the applicant shall:
    (1) Comply with the requirements of paragraph (a) of this section 
with regard to those persons whom it is reasonable and practicable to 
notify; and
    (2) Include with the application filed with the Administrator a 
description of the persons or class or classes of persons to whom notice 
was not sent.
    (c) The Administrator may require the applicant to provide notice in 
addition to that required by paragraphs (a) and (b) of this section, or 
may determine that the notice required by paragraph (a) of this section 
is not impracticable, or that notice should be published in the Federal 
Register.
    (d) The Administrator may serve notice on any other persons readily 
identifiable by the Administrator as persons who will be affected by the 
determination sought and may afford those persons an opportunity to file 
written comments on the application.
    (e) Any person submitting written comments to the Administrator with 
respect to an application filed under this section shall send a copy of 
the comments to the applicant. The person shall certify to the 
Administrator that he or she has complied with the requirements of this 
paragraph. The Administrator may notify other persons participating in 
the proceeding of the comments and provide an opportunity for those 
other persons to respond.



Sec. 397.217  Waiver processing.

    (a) The Administrator may initiate an investigation of any statement 
in an application and utilize any relevant facts obtained by that 
investigation. The Administrator may solicit and accept submissions from 
third persons relevant to an application and will provide the applicant 
an opportunity to respond to all third person submissions. In evaluating 
an application, the Administrator may convene a hearing or conference, 
if a hearing or conference will advance the evaluation of the 
application.
    (b) The Administrator may dismiss the application without prejudice 
if:
    (1) he or she determines that there is insufficient information upon 
which to base a determination;
    (2) Upon his or her request, additional information is not submitted 
by the applicant; or
    (3) The applicant fails to provide the notice required by this 
subpart.
    (c) Except as provided in this subpart, the Administrator will only 
consider an application for a waiver of preemption determination if:
    (1) The applicant expressly acknowledges in its application that the 
highway routing designation of the State, political subdivision thereof, 
or Indian tribe for which the determination is sought is preempted by 
the Act or the regulations thereunder; or
    (2) The highway routing designation of the State, political 
subdivision thereof, or Indian tribe has been determined by a court of 
competent jurisdiction or in a determination issued pursuant to 
Sec. 397.211 to be preempted by the Act or the regulations issued 
thereunder.
    (d) When the Administrator has received all substantive information 
necessary to process an application for a waiver of preemption 
determination, notice of that fact will be served upon the applicant. 
Additional notice to all other persons who received notice of the 
proceeding may be served by publishing a notice in the Federal Register.



Sec. 397.219  Waiver determination and order.

    (a) Upon consideration of the application and other relevant 
information received or obtained during the proceeding, the 
Administrator issues an order setting forth his or her determination.
    (b) The Administrator may issue a waiver of preemption order only if 
he or she finds that the requirement of the State, political subdivision 
thereof, or Indian tribe affords the public a level of safety at least 
equal to that afforded by the requirements of the Act and the 
regulations issued under the Act and does not unreasonably burden 
commerce. In determining whether the requirement of the State, political 
subdivision thereof, or Indian tribe unreasonably burdens commerce, the 
Administrator may consider the following factors:

[[Page 1194]]

    (1) The extent to which increased costs and impairment of efficiency 
result from the highway routing designation of the State, political 
subdivision thereof, or Indian tribe;
    (2) Whether the highway routing designation of the State, political 
subdivision thereof, or Indian tribe has a rational basis;
    (3) Whether the highway routing designation of the State, political 
subdivision thereof, or Indian tribe achieves its stated purpose; and
    (4) Whether there is need for uniformity with regard to the subject 
concerned and if so, whether the highway routing designation of the 
State, political subdivision thereof, or Indian tribe competes or 
conflicts with those of other States, political subdivisions thereof, or 
Indian tribes.
    (c) The order includes a written statement setting forth the 
relevant facts and the legal basis for the determination, and provides 
that any person aggrieved by the order may file a petition for 
reconsideration in accordance with Sec. 397.223.
    (d) The Administrator serves a copy of the order upon the applicant, 
any other person who participated in the proceeding and upon any other 
person readily identifiable by the Administrator as one who may be 
affected by the order. A copy of each order is placed on file in the 
public docket. The Administrator may publish the order or notice of the 
order in the Federal Register.
    (e) If no petition for reconsideration is filed within 20 days in 
accordance with Sec. 397.223, an order issued under this section 
constitutes the final agency decision regarding whether a particular 
requirement of a State, political subdivision thereof, or Indian tribe 
is preempted under the Act or any regulations issued thereunder, or 
whether preemption is waived.



Sec. 397.221  Timeliness.

    If the Administrator fails to take action on the application within 
90 days of serving the notice required by Sec. 397.217(d), the applicant 
may treat the application as having been denied in all respects.



Sec. 397.223  Petition for reconsideration.

    (a) Any person aggrieved by an order issued under Sec. 397.211 or 
Sec. 397.219 may file a petition for reconsideration with the 
Administrator. The petition must be filed within 20 days of service of 
the determination or order issued under the above sections.
    (b) The petition must contain a concise statement of the basis for 
seeking reconsideration, including any specific factual or legal errors, 
or material information not previously available.
    (c) The petitioner shall mail a copy of the petition to each person 
who participated, either as an applicant or routing, in the waiver of 
preemption proceeding, accompanied by a statement that the person may 
submit comments concerning the petition to the Administrator within 20 
days. The petition filed with the Administrator must contain a 
certification that the petitioner has complied with this paragraph and 
include the names and addresses of all persons to whom a copy of the 
petition was sent.
    (d) The Administrator's decision under this section constitutes the 
final agency decision. If no petition for reconsideration is filed under 
this section, then the determination issued under Sec. 397.211 or 
Sec. 397.219 becomes the final agency decision at the end of the 20 day 
period.



Sec. 397.225  Judicial review.

    A party to a proceeding under Sec. 397.205(a), Sec. 397.213(a), or 
Sec. 397.223(a) may seek review by the appropriate district court of the 
United States of the decision of the Administrator under such proceeding 
only by filing a petition with such court within 60 days after the final 
agency decision.



PART 398--TRANSPORTATION OF MIGRANT WORKERS--Table of Contents




Sec.
398.1 Definitions.
398.2 Applicability.
398.3 Qualifications of drivers or operators.
398.4 Driving of motor vehicles.
398.5 Parts and accessories necessary for safe operation.
398.6 Hours of service of drivers; maximum driving time.
398.7 Inspection and maintenance of motor vehicles.

[[Page 1195]]

398.8 Administration inspection of motor vehicles in operation.

    Authority: 49 U.S.C. 13301, 13902, 31132, 31133, 31136, 31502, and 
31504; sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49 U.S.C. 701 
note); sec. 212, Pub. L. 106-159, 113 Stat. 1748, 1766; and 49 CFR 1.73.

    Source: 33 FR 19765, Dec. 25, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 398 appear at 66 FR 
49874, Oct. 1, 2001.



Sec. 398.1  Definitions.

    (a) Migrant worker. ``Migrant worker'' means any individual 
proceeding to or returning from employment in agriculture as defined in 
section 3(f) of the Fair Labor Standards Act of 1938, as amended (29 
U.S.C. 203(f)) or section 3121(g) of the Internal Revenue Code of 1954 
(26 U.S.C. 3121(g)).
    (b) Carrier of migrant workers by motor vehicle. ``Carrier of 
migrant worker by motor vehicle'' means any person, including any 
``contract carrier by motor vehicle'', but not including any ``common 
carrier by motor vehicle'', who or which transports in interstate or 
foreign commerce at any one time three or more migrant workers to or 
from their employment by any motor vehicle other than a passenger 
automobile or station wagon, except a migrant worker transporting 
himself/herself or his/her immediate family.
    (c) Motor carrier. ``Motor carrier'' means any carrier of migrant 
workers by motor vehicle as defined in paragraph (b) of this section.
    (d) Motor vehicle. ``Motor vehicle'' means any vehicle, machine, 
tractor, trailer, or semitrailer propelled or drawn by mechanical power 
and used upon the highways in the transportation of passengers or 
property, or any combination thereof, determined by the Administration, 
but does not include a passenger automobile or station wagon, any 
vehicle, locomotive, or car operated exclusively on a rail or rails, or 
a trolley bus operated by electric power derived from a fixed overhead 
wire, furnishing local passenger transportation in street-railway 
service.
    (e) Bus. ``Bus'' means any motor vehicle designed, constructed, and 
used for the transportation of passengers: Except passenger automobiles 
or station wagons other than taxicabs.
    (f) Truck. ``Truck'' means any self-propelled motor vehicle except a 
truck tractor, designed and constructed primarily for the transportation 
of property.
    (g) Truck tractor. ``Truck tractor'' means a self-propelled motor 
vehicle designed and used primarily for drawing other vehicles and not 
so constructed as to carry a load other than a part of the weight of the 
vehicle and load so drawn.
    (h) Semitrailer. ``Semitrailer'' means any motor vehicle other than 
a ``pole trailer'', with or without motive power designed to be drawn by 
another motor vehicle and so constructed that some part of its weight 
rests upon the towing vehicle.
    (i) Driver or operator. ``Driver or operator'' means any person who 
drives any motor vehicle.
    (j) Highway. ``Highway'' means the entire width between the boundary 
lines of every way publicly maintained when any part thereof is open to 
the use of the public for purposes of vehicular traffic.



Sec. 398.2  Applicability.

    (a) General. The regulations prescribed in this part are applicable 
to carriers of migrant workers by motor vehicle, as defined in 
Sec. 398.1(b), but only in the case of transportation of any migrant 
worker for a total distance of more than 75 miles (120.7 kilometers) in 
interstate commerce, as defined in 49 CFR 390.5.
    (b) Exception.
    (1) The regulations prescribed in this part are not applicable to 
carriers of migrant workers by motor vehicle, as defined in 
Sec. 398.1(b), when:
    (i) The motor vehicle is designed or used to transport between 9 and 
15 passengers (including the driver);
    (ii) The motor carrier is directly compensated for the 
transportation service; and
    (iii) The vehicle used to transport mirgrant workers is operated 
beyond a 75 air-mile radius (86.3 statute miles or 138.9 kilometers) 
from the driver's normal work-reporting location.
    (2) Carriers of migrant workers by motor vehicle that operate 
vehicles,

[[Page 1196]]

designed or used to transport between 9 and 15 passengers (including the 
driver) for direct compensation, in interstate commerce, must comply 
with the applicable requirements of 49 CFR parts 385, 390, 391, 392, 
393, 395, and 396, when the motor vehicle is operated beyond a 75 air-
mile radius (86.3 statute miles or 138.9 kilometers) from the driver's 
normal work-reporting location.

[68 FR 47875, Aug. 12, 2003]



Sec. 398.3  Qualifications of drivers or operators.

    (a) Compliance required. Every motor carrier, and its officers, 
agents, representatives and employees who drive motor vehicles or are 
responsible for the hiring, supervision, training, assignment or 
dispatching of drivers shall comply and be conversant with the 
requirements of this part.
    (b) Minimum physical requirements. No person shall drive, nor shall 
any motor carrier require or permit any person to drive, any motor 
vehicle unless such person possesses the following minimum 
qualifications:
    (1) No loss of foot, leg, hand or arm,
    (2) No mental, nervous, organic, or functional disease, likely to 
interfere with safe driving.
    (3) No loss of fingers, impairment of use of foot, leg, fingers, 
hand or arm, or other structural defect or limitation, likely to 
interfere with safe driving.
    (4) Eyesight: Visual acuity of at least 20/40 (Snellen) in each eye 
either without glasses or by correction with glasses; form field of 
vision in the horizontal meridian shall not be less than a total of 140 
degrees; ability to distinguish colors red, green and yellow; drivers 
requiring correction by glasses shall wear properly prescribed glasses 
at all times when driving.
    (5) Hearing: Hearing shall not be less than 10/20 in the better ear, 
for conversational tones, without a hearing aid.
    (6) Liquor, narcotics and drugs: Shall not be addicted to the use of 
narcotics or habit forming drugs, or the excessive use of alcoholic 
beverages or liquors.
    (7) Initial and periodic physical examination of drivers: No person 
shall drive nor shall any motor carrier require or permit any person to 
drive any motor vehicle unless within the immediately preceding 36 month 
period such person shall have been physically examined and shall have 
been certified in accordance with the provisions of paragraph (b)(8) of 
this section by a licensed doctor of medicine or osteopathy as meeting 
the requirements of this subsection.
    (8) Certificate of physical examination: Every motor carrier shall 
have in its files at its principal place of business for every driver 
employed or used by it a legible certificate of a licensed doctor of 
medicine or osteopathy based on a physical examination as required by 
paragraph (b)(7) of this section or a legible photographically 
reproduced copy thereof, and every driver shall have in his/her 
possession while driving, such a certificate or a photographically 
reproduced copy thereof covering himself/herself.
    (9) Doctor's certificate: The doctor's certificate shall certify as 
follows:

                          Doctor's Certificate

                       (Driver of Migrant Workers)

    This is to certify that I have this day examined -------------- in 
accordance with Sec. 398.3(b) of the Federal Motor Carrier Safety 
Regulations of the Federal Motor Carrier Safety Administration and that 
I find him/her
    Qualified under said rules [squ]
    Qualified only when wearing glasses [squ]
    I have kept on file in my office a completed examination.

________________________________________________________________________
                                                                  (Date)

                                                                 (Place)

                                         (Signature of examining doctor)
________________________________________________________________________
                                                     (Address of doctor)
Signature of driver_____________________________________________________
Address of driver_______________________________________________________

    (c) Minimum age and experience requirements. No person shall drive, 
nor shall any motor carrier require or permit any person to drive, any 
motor vehicle unless such person possesses the following minimum 
qualifications:
    (1) Age. Minimum age shall be 21 years.
    (2) Driving skill. Experience in driving some type of motor vehicle 
(including private automobiles) for not less than one year, including 
experience throughout the four seasons.

[[Page 1197]]

    (3) Knowledge of regulations. Familiarity with the rules and 
regulations prescribed in this part pertaining to the driving of motor 
vehicles.
    (4) Knowledge of English. Every driver shall be able to read and 
speak the English language sufficiently to understand highway traffic 
signs and signals and directions given in English and to respond to 
official inquiries.
    (5) Driver's permit. Possession of a valid permit qualifying the 
driver to operate the type of vehicle driven by him/her in the 
jurisdiction by which the permit is issued.

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]



Sec. 398.4  Driving of motor vehicles.

    (a) Compliance required. Every motor carrier shall comply with the 
requirements of this part, shall instruct its officers, agents, 
representatives and drivers with respect thereto, and shall take such 
measures as are necessary to insure compliance therewith by such 
persons. All officers, agents, representatives, drivers, and employees 
of motor carriers directly concerned with the management, maintenance, 
operation, or driving of motor vehicles, shall comply with and be 
conversant with the requirements of this part.
    (b) Driving rules to be obeyed. Every motor vehicle shall be driven 
in accordance with the laws, ordinances, and regulations of the 
jurisdiction in which it is being operated, unless such laws, ordinances 
and regulations are at variance with specific regulations of this 
Administration which impose a greater affirmative obligation or 
restraint.
    (c) Driving while ill or fatigued. No driver shall drive or be 
required or permitted to drive a motor vehicle while his/her ability or 
alertness is so impaired through fatigue, illness, or any other cause as 
to make it unsafe for him/her to begin or continue to drive, except in 
case of grave emergency where the hazard to passengers would be 
increased by observance of this section and then only to the nearest 
point at which the safety of passengers is assured.
    (d) Alcoholic beverages. No driver shall drive or be required or 
permitted to drive a motor vehicle, be in active control of any such 
vehicle, or go on duty or remain on duty, when under the influence of 
any alcoholic beverage or liquor, regardless of its alcoholic content, 
nor shall any driver drink any such beverage or liquor while on duty.
    (e) Schedules to conform with speed limits. No motor carrier shall 
permit nor require the operation of any motor vehicle between points in 
such period of time as would necessitate the vehicle being operated at 
speeds greater than those prescribed by the jurisdictions in or through 
which the vehicle is being operated.
    (f) Equipment and emergency devices. No motor vehicle shall be 
driven unless the driver thereof shall have satisfied himself/herself 
that the following parts, accessories, and emergency devices are in good 
working order; nor shall any driver fail to use or make use of such 
parts, accessories, and devices when and as needed:

Service brakes, including trailer brake connections.
    Parking (hand) brake.
    Steering mechanism.
Lighting devices and reflectors.
    Tires.
    Horn.
    Windshield wiper or wipers.
Rear-vision mirror or mirrors.
Coupling devices.
Fire extinguisher, at least one properly mounted.
Road warning devices, at least one red burning fusee and at least three 
flares (oil burning pot torches), red electric lanterns, or red 
emergency reflectors.

    (g) Safe loading--(1) Distribution and securing of load. No motor 
vehicle shall be driven nor shall any motor carrier permit or require 
any motor vehicle to be driven if it is so loaded, or if the load 
thereon is so improperly distributed or so inadequately secured, as to 
prevent its safe operation.
    (2) Doors, tarpaulins, tailgates and other equipment. No motor 
vehicle shall be driven unless the tailgate, tailboard, tarpaulins, 
doors, all equipment and rigging used in the operation of said vehicle, 
and all means of fastening the load, are securely in place.
    (3) Interference with driver. No motor vehicle shall be driven when 
any object obscures his/her view ahead, or to the right or left sides, 
or to the rear, or interferes with the free movement of

[[Page 1198]]

his/her arms or legs, or prevents his/her free and ready access to the 
accessories required for emergencies, or prevents the free and ready 
exit of any person from the cab or driver's compartment.
    (4) Property on motor vehicles. No vehicle transporting persons and 
property shall be driven unless such property is stowed in a manner 
which will assure:
    (i) Unrestricted freedom of motion to the driver for proper 
operation of the vehicle;
    (ii) Unobstructed passage to all exits by any person; and
    (iii) Adequate protection to passengers and others from injury as a 
result of the displacement or falling of such articles.
    (5) Maximum passengers on motor vehicles. No motor vehicle shall be 
driven if the total number of passengers exceeds the seating capacity 
which will be permitted on seats prescribed in Sec. 398.5(f) when that 
section is effective. All passengers carried on such vehicle shall 
remain seated while the motor vehicle is in motion.
    (h) Rest and meal stops. Every carrier shall provide for reasonable 
rest stops at least once between meal stops. Meal stops shall be made at 
intervals not to exceed six hours and shall be for a period of not less 
than 30 minutes duration.
    (i) Kinds of motor vehicles in which workers may be transported. 
Workers may be transported in or on only the following types of motor 
vehicles: A bus, a truck with no trailer attached, or a semitrailer 
attached to a truck-tractor provided that no other trailer is attached 
to the semitrailer. Closed vans without windows or means to assure 
ventilation shall not be used.
    (j) Limitation on distance of travel in trucks. Any truck when used 
for the transportation of migrant workers, if such workers are being 
transported in excess of 600 miles, shall be stopped for a period of not 
less than eight consecutive hours either before or upon completion of 
600 miles travel, and either before or upon completion of any subsequent 
600 miles travel to provide rest for drivers and passengers.
    (k) Lighting devices and reflectors. No motor vehicle shall be 
driven when any of the required lamps or reflectors are obscured by the 
tailboard, by any and all lighting devices required by subpart B of part 
393 of this subchapter shall be lighted during darkness or at any other 
time when there is not sufficient light to render vehicles and persons 
visible upon the highway at a distance of 500 feet.
    (l) Ignition of fuel; prevention. No driver or any employee of a 
motor carrier shall:
    (1) Fuel a motor vehicle with the engine running, except when it is 
necessary to run the engine to fuel the vehicle;
    (2) Smoke or expose any open flame in the vicinity of a vehicle 
being fueled;
    (3) Fuel a motor vehicle unless the nozzle of the fuel hose is 
continuously in contact with the intake pipe of the fuel tank;
    (4) Permit any other person to engage in such activities as would be 
likely to result in fire or explosion.
    (m) Reserve fuel. No supply of fuel for the propulsion of any motor 
vehicle or for the operation of any accessory thereof shall be carried 
on the motor vehicle except in a properly mounted fuel tank or tanks.
    (n) Driving by unauthorized person. Except in case of emergency, no 
driver shall permit a motor vehicle to which he/she is assigned to be 
driven by any person not authorized to drive such vehicle by the motor 
carrier in control thereof.
    (o) Protection of passengers from weather. No motor vehicle shall be 
driven while transporting passengers unless the passengers therein are 
protected from inclement weather conditions such as rain, snow, or 
sleet, by use of the top or protective devices required by 
Sec. 398.5(f).
    (p) Unattended vehicles; precautions. No motor vehicle shall be left 
unattended by the driver until the parking brake has been securely set, 
the wheels chocked, and all reasonable precautions have been taken to 
prevent the movement of such vehicle.
    (q) Railroad grade crossings; stopping required; sign on rear of 
vehicle. Every motor vehicle shall, upon approaching any railroad grade 
crossing, make a full stop not more than 50 feet, nor less than 15 feet 
from the nearest rail of such railroad grade crossing, and shall

[[Page 1199]]

not proceed until due caution has been taken to ascertain that the 
course is clear; except that a full stop need not be made at:
    (1) A street car crossing within a business or residence district of 
a municipality;
    (2) A railroad grade crossing where a police officer or a traffic-
control signal (not a railroad flashing signal) directs traffic to 
proceed;
    (3) An abandoned or exempted grade crossing which is clearly marked 
as such by or with the consent of the proper state authority, when such 
marking can be read from the driver's position.

All such motor vehicles shall display a sign on the rear reading, ``This 
Vehicle Stops at Railroad Crossings.''

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]



Sec. 398.5  Parts and accessories necessary for safe operation.

    (a) Compliance. Every motor carrier and its officers, agents, 
drivers, representatives and employees directly concerned with the 
installation and maintenance of equipment and accessories shall comply 
and be conversant with the requirements and specifications of this part, 
and no motor carrier shall operate any motor vehicle, or cause or permit 
it to be operated, unless it is equipped in accordance with said 
requirements and specifications.
    (b) Lighting devices. Every motor vehicle shall be equipped with the 
lighting devices and reflectors required by subpart B of part 393 of 
this subchapter.
    (c) Brakes. Every motor vehicle shall be equipped with brakes as 
required by subpart C of part 393 of this subchapter, except Sec. 393.44 
of this subchapter, and shall satisfy the braking performance 
requirements contained therein.
    (d) Coupling devices; fifth wheel mounting and locking. The lower 
half of every fifth wheel mounted on any truck-tractor or dolly shall be 
securely affixed to the frame thereof by U-bolts of adequate size, 
securely tightened, or by other means providing at least equivalent 
security. Such U-bolts shall not be of welded construction. The 
installation shall be such as not to cause cracking, warping, or 
deformation of the frame. Adequate meansshall be provided positively to 
prevent the shifting of the lower half of a fifth wheel on the frame to 
which it is attached. The upper half of every fifth wheel shall be 
fastened to the motor vehicle with at least the security required for 
the securing of the lower half to a truck-tractor or dolly. Locking 
means shall be provided in every fifth wheel mechanism including 
adapters when used, so that the upper and lower halves may not be 
separated without the operation of a positive manual release. A release 
mechanism operated by the driver from the cab shall be deemed to meet 
this requirement. On fifth wheels designed and constructed as to be 
readily separable, the fifth wheel locking devices shall apply 
automatically on coupling for any motor vehicle the date of manufacture 
of which is subsequent to December 31, 1952.
    (e) Tires. Every motor vehicle shall be equipped with tires of 
adequate capacity to support its gross weight. No motor vehicle shall be 
operated on tires which have been worn so smooth as to expose any tread 
fabric or which have any other defect likely to cause failure. No 
vehicle shall be operated while transporting passengers while using any 
tire which does not have tread configurations on that part of the tire 
which is in contact with the road surface. No vehicle transporting 
passengers shall be operated with re-grooved, re-capped, or re-treaded 
tires on front wheels.
    (f) Passenger compartment. Every motor vehicle transporting 
passengers, other than a bus, shall have a passenger compartment meeting 
the following requirements:
    (1) Floors. A substantially smooth floor, without protruding 
obstructions more than two inches high, except as are necessary for 
securing seats or other devices to the floor, and without cracks or 
holes.
    (2) Sides. Side walls and ends above the floor at least 60 inches 
high, by attachment of sideboards to the permanent body construction if 
necessary. Stake body construction shall be construed to comply with 
this requirement

[[Page 1200]]

only if all six-inch or larger spaces between stakes are suitably closed 
to prevent passengers from falling off the vehicle.
    (3) Nails, screws, splinters. The floor and the interior of the 
sides and ends of the passenger-carrying space shall be free of inwardly 
protruding nails, screws, splinters, or other projecting objects likely 
to be injurious to passengers or their apparel.
    (4) Seats. On and after November 1, 1957, a seat shall be provided 
for each worker transported. The seats shall be: Securely attached to 
the vehicle during the course of transportation; not less than 16 inches 
nor more than 19 inches above the floor; at least 13 inches deep; 
equipped with backrests extending to a height of at least 36 inches 
above the floor, with at least 24 inches of space between the backrests 
or between the edges of the opposite seats when face to face; designed 
to provide at least 18 inches of seat for each passenger; without cracks 
more than two inches wide, and the exposed surfaces, if made of wood, 
planed or sanded smooth and free of splinters.
    (5) Protection from weather. Whenever necessary to protect the 
passengers from inclement weather conditions, be equipped with a top at 
least 80 inches high above the floor and facilities for closing the 
sides and ends of the passenger-carrying compartment. Tarpaulins or 
other such removable devices for protection from the weather shall be 
secured in place.
    (6) Exit. Adequate means of ingress and egress to and from the 
passenger space shall be provided on the rear or at the right side. Such 
means of ingress and egress shall be at least 18 inches wide. The top 
and the clear opening shall be at least 60 inches high, or as high as 
the side wall of the passenger space if less than 60 inches. The bottom 
shall be at the floor of the passenger space.
    (7) Gates and doors. Gates or doors shall be provided to close the 
means of ingress and egress and each such gate or door shall be equipped 
with at least one latch or other fastening device of such construction 
as to keep the gate or door securely closed during the course of 
transportation; and readily operative without the use of tools.
    (8) Ladders or steps. Ladders or steps for the purpose of ingress or 
egress shall be used when necessary. The maximum verticle spacing of 
footholds shall not exceed 12 inches, except that the lowest step may be 
not more than 18 inches above the ground when the vehicle is empty.
    (9) Hand holds. Hand holds or devices for similar purpose shall be 
provided to permit ingress and egress without hazard to passengers.
    (10) Emergency exit. Vehicles with permanently affixed roofs shall 
be equipped with at least one emergency exit having a gate or door, 
latch and hand hold as prescribed in paragraphs (f) (7) and (9) of this 
section and located on a side or rear not equipped with the exit 
prescribed in paragraph (f)(6) of this section.
    (11) Communication with driver. Means shall be provided to enable 
the passengers to communicate with the driver. Such means may include 
telephone, speaker tubes, buzzers, pull cords, or other mechanical or 
electrical means.
    (g) Protection from cold. Every motor vehicle shall be provided with 
a safe means of protecting passengers from cold or undue exposure, but 
in no event shall heaters of the following types be used:
    (1) Exhaust heaters. Any type of exhaust heater in which the engine 
exhaust gases are conducted into or through any space occupied by 
persons or any heater which conducts engine compartment air into any 
such space.
    (2) Unenclosed flame heaters. Any type of heater employing a flame 
which is not fully enclosed.
    (3) Heaters permitting fuel leakage. Any type of heater from the 
burner of which there could be spillage or leakage of fuel upon the 
tilting or overturning of the vehicle in which it is mounted.
    (4) Heaters permitting air contamination. Any heater taking air, 
heated or to be heated, from the engine compartment or from direct 
contact with any portion of the exhaust system; or any heater taking air 
in ducts from the outside atmosphere to be conveyed through the engine 
compartment, unless said ducts are so constructed and installed as to 
prevent contamination of the air so conveyed by exhaust or engine 
compartment gases.

[[Page 1201]]

    (5) Any heater not securely fastened to the vehicle.



Sec. 398.6  Hours of service of drivers; maximum driving time.

    No person shall drive nor shall any motor carrier permit or require 
a driver employed or used by it to drive or operate for more than 10 
hours in the aggregate (excluding rest stops and stops for meals) in any 
period of 24 consecutive hours, unless such driver be afforded eight 
consecutive hours rest immediately following the 10 hours aggregate 
driving. The term ``24 consecutive hours'' as used in this part means 
any such period starting at the time the driver reports for duty.



Sec. 398.7  Inspection and maintenance of motor vehicles.

    Every motor carrier shall systematically inspect and maintain or 
cause to be systematically maintained, all motor vehicles and their 
accessories subject to its control, to insure that such motor vehicles 
and accessories are in safe and proper operating condition.



Sec. 398.8  Administration inspection of motor vehicles in operation.

    (a) Administration personnel authorized to perform inspections. All 
persons designated as Special Agents of the Federal Motor Carrier Safety 
Administration, as detailed in appendix B of chapter III of this title, 
are authorized to enter upon and perform inspections of motor carrier's 
vehicles in operation.
    (b) Prescribed inspection report. Form MCS 63, Driver-Equipment 
Compliance Check, shall be used to record findings from motor vehicles 
selected for final inspection by authorized Administration employees.
    (c) Motor vehicles declared ``out of service''. (1) Authorized 
Administration employees shall declare and mark ``out of service'' any 
motor vehicle which by reason of its mechanical condition or loading is 
so imminently hazardous to operate as to be likely to cause an accident 
or a breakdown. Form MCS 64, ``Out of Service Vehicle'' sticker shall be 
used to mark vehicles ``out of service.''
    (2) No motor carrier shall require or permit any person to operate 
nor shall any person operate any motor vehicle declared and marked, 
``out of service'' until all repairs required by the ``out of service 
notice'' on Form MCS 63 have been satisfactorily completed. The term 
operate as used in this section shall include towing the vehicle; 
provided, however, that vehicles marked ``out of service'' may be towed 
away by means of a vehicle using a crane or hoist; and provided further, 
that the vehicle combination consisting of the emergency towing vehicle 
and the ``out of service'' vehicle meets the performance requirements of 
Sec. 393.52.
    (3) No person shall remove the ``Out of Service Vehicle'' sticker 
from any motor vehicle prior to completion of all repairs required by 
the ``out of service notice'' on Form MCS 63.
    (4) The person or persons completing the repairs required by the 
``out of service notice'' shall sign the ``Certification of Repairman'' 
in accordance with the terms prescribed on Form MCS 63, entering the 
name of his/her shop or garage and the date and time the required 
repairs were completed. If the driver completes the required repairs, 
he/she shall sign and complete the ``Certification of Repairman.''
    (d) Motor carrier's disposition of Form MCS 63. (1) Motor carriers 
shall carefully examine Forms MCS 63. Any and all violations or 
mechanical defects noted thereon shall be corrected. To the extent 
drivers are shown not to be in compliance with the Federal Motor Carrier 
Safety Regulations, appropriate corrective action shall be taken by the 
motor carrier.
    (2) Motor carriers shall complete the ``Motor Carrier Certification 
of Action Taken'' on Form MCS 63 in accordance with the terms prescribed 
thereon. Motor carriers shall return Forms MCS 63 to the address 
indicated upon Form MCS 63 within fifteen (15) days following the date 
of the vehicle inspection.

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]

[[Page 1202]]



PART 399--EMPLOYEE SAFETY AND HEALTH STANDARDS--Table of Contents




Subparts A-K [Reserved]

 Subpart L--Step, Handhold, and Deck Requirements for Commercial Motor 
                                Vehicles

Sec.
399.201 Purpose and scope.
399.203 Applicability.
399.205 Definitions.
399.207 Truck and truck-tractor access requirements.
399.209 Test procedures.
399.211 Maintenance.

    Authority: 49 U.S.C. 31502; and 49 CFR 1.73.

    Source: 44 FR 43732, July 26, 1979, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 399 appear at 66 FR 
49874, Oct. 1, 2001.

Subparts A-K [Reserved]



 Subpart L--Step, Handhold, and Deck Requirements for Commercial Motor 
                                Vehicles



Sec. 399.201  Purpose and scope.

    This subpart prescribes step, handhold, and deck requirements on 
commercial motor vehicles. These requirements are intended to enhance 
the safety of motor carrier employees.



Sec. 399.203  Applicability.

    This subpart applies to all trucks and truck-tractors, having a high 
profile cab-over-engine (COE) configuration, for entrance, egress and 
back of cab access, manufactured on and after September 1, 1982.

[44 FR 43732, July 26, 1979, as amended at 46 FR 56799, Nov. 19, 1981]



Sec. 399.205  Definitions.

    Cab-over-engine (COE) A truck or truck-tractor having all, or the 
front portion, of the engine under the cab.
    COE--High profile A COE having the door sill step above the height 
of the front tires.
    Deck plate A horizontal surface designed to provide a person with 
stable footing for the performance of work such as the connection and 
disconnection of air and electrical lines, gaining access to 
permanently-mounted equipment or machinery or for similar needs.
    Door sill step Any step normally protected from the elements by the 
cab door when closed.
    Effective peripheral grip Any shaped surface, free of sharp edges, 
in which a full grasp can be made to secure a handhold by a person.
    Fingertip grasp A handhold surface which provides a person contact 
restricted to finger segments 1 and/or 2 only; or which limits wrap-
around closure of finger segment 1 with the palm of the hand to 90 
degrees as shown in Illustration I.
[GRAPHIC] [TIFF OMITTED] TC01AP91.036

    Full grasp A handhold surface which provides a person contact with 
finger segments 2 and 3 and which provides space for finger segment 1 to 
wrap around toward the palm of the hand beyond the 90-degree surface 
restriction shown in Illustration I. The handhold need not require 
contact between fingers and thumb. For example, the hand position shown 
in Illustration II qualifies as full grasp.

[[Page 1203]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.037

    Ground The flat horizontal surface on which the tires of a motor 
vehicle rest.
    Handhold That which qualifies as providing full grasp if a person is 
able to find a hand position on the handhold which allows more than 
fingertip grasp.
    Handprint The surface area contacted by the hand when grasping a 
handhold. The size of this area is the width of the hand across the 
metacarpal and half the circumference of the handhold. The hand breadth 
of the typical person is 88.9 millimeters (3.5 inches).
    Person Any individual within the 5th percentile female adult through 
the 95th percentile male adult of anthropometric measures as described 
by the 1962 Health Examination Survey, ``Weight, Height and Selected 
Body Dimensions of Adults, United States 1960-1962'' which is 
incorporated by reference. It is Public Health Service publication No. 
1000-Series 11-No. 8 and is for sale from the U.S. Department of 
Commerce, National Technical Information Service, 5285 Port Royal Road, 
Springfield, Virginia 22161. When ordering use NTIS Accession No. PB 
267174. It is also available for inspection at the Office of the Federal 
Register Library, 800 North Capitol Street, NW, suite 700, Washington, 
DC 20408. This incorporation by reference was approved by the Director 
of the Federal Register on July 17, 1979. These materials are 
incorporated as they exist on the date of the approval and a notice of 
any change in these materials will be published in the Federal Register.
    Slip resistant material Any material designed to minimize the 
accumulation of grease, ice, mud or other debris and afford protection 
from accidental slipping.



Sec. 399.207  Truck and truck-tractor access requirements.

    (a) General rule. Any person entering or exiting the cab or 
accessing the rear portion of a high profile COE truck or truck-tractor 
shall be afforded sufficient steps and handholds, and/or deck plates to 
allow the user to have at least 3 limbs in contact with the truck or 
truck-tractor at any time. This rule applies to intermediate positions 
as well as transition between intermediate positions. To allow for 
changes in climbing sequence, the step design shall include, as a 
minimum, one intermediate step of sufficient size to accommodate two 
feet. Exception. If air and electrical connections necessary to couple 
or uncouple a truck-tractor from a trailer are accessible from the 
ground, no step, handholds or deck plates are required to permit access 
to the rear of the cab.
    (b) Performance requirements. All high profile COE trucks or truck-
tractors shall be equipped on each side of the vehicle where a seat is 
located, with a sufficient number of steps and handholds to conform with 
the requirements of paragraph (a) of this section and shall meet the 
performance requirements:
    (1) Vertical height. All measurements of vertical height shall be 
made from ground level with the vehicle at unladen weight.
    (2) Distance between steps. The distance between steps, up to and 
including the door sill step, shall provide any person a stable resting 
position which can be sustained without body motion and by exerting no 
more arm force than 35 percent of the person's body weight per grasp 
during all stages of entry and exit. This criterion applies to 
intermediate positions as well as transition between intermediate 
positions above ground level.
    (i) When the ground provides the person foot support during entry or 
is the

[[Page 1204]]

final step in the sequence during exit, and the step is 508 millimeters 
(20 inches) or more above ground, the stable resting position shall be 
achievable by the person using both hands to grasp the handhold(s) and 
requiring no more arm force than 35 percent of body weight per grasp.
    (ii) The vertical height of the first step shall be no more than 609 
millimeters (24 inches) from ground level.
    (3) Construction. Each step or deck plate shall be of a slip 
resistant design which minimizes the accumulation of foreign material. 
Wherever practicable, a self-cleaning material should be used.
    (4) Foot accommodation. Step depth or clearance and step width 
necessary to accommodate a climbing person are defined by using a 
minimum 127 millimeter (5 inch) diameter disc as shown in Illustration 
III.
    (i) Single foot accommodation. The disc shall fit on a tread rung, 
or in a step recess, with no exterior overhang.
    (ii) Two-foot accommodation. Two discs shall fit on a tread rung, or 
in a step recess, with no exterior overhang.
[GRAPHIC] [TIFF OMITTED] TC01AP91.038

    Note: The 127 millimeter (5 inch) disc is only intended to test for 
a minimum depth and width requirement. The step need not retain the disc 
at rest.

    (5) Step strength. Each step must withstand a vertical static load 
of at least 204 kilograms (450 pounds) uniformly distributed over any 
127 millimeter (5 inch) increment of step width.
    (6) Handhold location. A handhold must be located within the reach 
of any person entering or exiting the vehicle.
    (7) Exterior mounting specifications for handholds. Each handhold, 
affixed to the exterior of the vehicle, shall have at least 38 
millimeters (1.5 inches) clearance between the handhold and the surface 
to which it is mounted for the distance between its mounting points.
    (8) Handhold size and shape. Each handhold shall be free of sharp 
edges (minimum 1 millimeter [0.04 inch] radius) and have an effective 
peripheral grip length that permits full grasp by any person.
    (9) Handhold strength. Each handhold shall withstand a horizontal 
static load of at least 114 kilograms (250 pounds) uniformly distributed 
over the area of a hand print and applied away from the mounting 
surface.
    (10) Deck plates. Deck plates shall be on the rear of a truck-
tractor as necessary to couple or uncouple air and/or electrical 
connections.
    (11) Deck plate strength. Each deck plate shall be capable of 
withstanding the vertical static load of at least 205 kilograms (450 
pounds) uniformly distributed over a 127 millimeter (5 inch) diameter 
disc.



Sec. 399.209  Test procedures.

    (a) The force exerted on a handhold will be measured using a 
handheld spring scale or force transducer which can be attached to the 
vehicle and is

[[Page 1205]]

free to rotate into alignment with a person's hand position.
    (b) Hand grasp will be evaluated by observing the handgrip of any 
individual who conforms with the definition of ``person'' appearing in 
Sec. 399.205 of this subpart.



Sec. 399.211  Maintenance.

    All steps, handholds, and/or deck plates required by this subpart 
shall be adequately maintained to serve their intended function.

          Appendix A to Subchapter B of Chapter III [Reserved]

        Appendix B to Subchapter B of Chapter III--Special Agents

    Cautionary note: This appendix relates only to Federal authority to 
enforce the regulations in this subchapter. In its present form, it has 
no application for the States and is not to be included in any adoption 
of these regulations by State authorities as a condition of eligibility 
for grants under part 350 of this chapter.
    1. Authority. Persons appointed as special agents of the Federal 
Motor Carrier Safety Administration (``Administration''), are authorized 
to enter upon, to inspect, and to examine any and all lands, buildings, 
and equipment of motor carriers and other persons subject to the 
Interstate Commerce Act, the Department of Transportation Act, and other 
related Acts, and to inspect and copy any and all accounts, books, 
records, memoranda, correspondence, and other documents of such carriers 
and other persons.
    2. Compliance. Motor carriers and other persons subject to these 
Acts shall submit their accounts, books, records, memoranda, 
correspondence, and other documents for inspection and copying, and they 
shall submit their lands, buildings, and equipment for examination and 
inspection, to any special agent of the Administration upon demand and 
display of an Administration credential identifying him/her as a special 
agent.
    3. Definition of Special Agent. Special agents are Federal Motor 
Carrier Safety Administration (FMCSA) employees who are identified by 
credentials issued by the FMCSA authorizing them to enforce 42 U.S.C. 
4917 and to exercise relevant authority of the Secretary of 
Transportation under 49 U.S.C. 113, chapters 5, 51, 57, 131-149, 311, 
313, and 315 and other statutes, as delegated to FMCSA by 49 CFR 1.73, 
and under regulations issued on the authority of those statutes. Special 
agents are authorized to inspect and copy records and to inspect and 
examine land, buildings, and equipment in the manner and to the extent 
provided by law.
    4. Facsimile of the Administration Credential:

                        United States of America

Department of Transportation Federal Motor Carrier Safety Administration

    This is to certify that ------------ whose photograph and signature 
appear hereon is duly accredited as ------------ with authority to enter 
upon, to inspect, and examine lands, buildings, and equipment, and to 
inspect and copy records and papers of carriers and other persons, in 
performance of his/her duties under the Department of Transportation 
Act, related acts, and regulations of the Department.
    By direction of the Secretary

    (Certifying Authority) (Bearer)

(49 U.S.C. 504, 5121, 14122, 31502 and 31503; and 49 CFR 1.73)

[35 FR 1016, Jan. 24, 1970 as amended at 36 FR 16067, Aug. 19, 1971; 43 
FR 20011, May 10, 1978; 44 FR 46425, July 10, 1980; 49 FR 38290, Sept. 
28, 1984; 60 FR 38749, July 28, 1995; 61 FR 1843, Jan. 24, 1996]

        Appendixes C-E to Subchapter B of Chapter III [Reserved]

       Appendix F to Subchapter B of Chapter III--Commercial Zones

    ``Note: The text of these definitions is identical to the text of 49 
CFR Part 1048, revised as of October 1, 1975, which is no longer in 
print.''

                            Commercial Zones

Sec.
1 New York, N.Y.
2 Chicago, Ill.
3 St. Louis, Mo.-East St. Louis, Ill.
4 Washington, D.C.
5 Los Angeles, Calif., and contiguous and adjacent municipalities.
6 Philadelphia, Pa.
7 Cincinnati, Ohio
8 Kansas City, Mo.-Kansas City, Kans.
9 Boston, Mass.
10 Davenport, Iowa; Rock Island and Moline, Ill.
11 Commercial zones of municipalities in New Jersey within 5 miles of 
          New York, N.Y.
12 Commercial zones of municipalities in Westchester and Nassau 
          Counties, N.Y.
13 Tucson, Ariz.
14 Albuquerque, N. Mex.
18 Ravenswood, W. Va.
19 Lake Charles, La.
20 Syracuse, N.Y.
21 Baltimore, Md.
22 Cleveland, Ohio.
23 Detroit, Mich.

[[Page 1206]]

24 Seattle, Wash.
25 Albany, N.Y.
26 Minneapolis-St. Paul, Minn.
27 New Orleans, La.
28 Pittsburgh, Pa.
29 Portland, Oreg.
30 Vancouver, Wash.
31 Charleston, S.C.
32 Charleston, W. Va.
33 Memphis, Tenn.
34 Houston, Tex.
35 Pueblo, Colo.
36 Warren, Ohio
37 Louisville, Ky.
38 Sioux City, Iowa.
39 Beaumont, Tex.
40 Metropolitan Government of Nashville and Davidson County, Tenn.
41 Consolidated City of Indianapolis, Ind.
42 Lexington-Fayette Urban County, Ky.
43 Definitions.
44 Commercial zones determined generally, with exceptions.
45 Controlling distances and population data.

                        Section 1 New York, N.Y.

    (a) The application of Sec. 372.241 Commercial Zones determined 
generally, with exceptions, is hereby extended to New York, N.Y.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act, of transportation by motor vehicle, in interstate or 
foreign commerce, performed wholly within the zone the limits of which 
are defined in paragraph (a) of this section, is hereby removed as to 
all such transportation except:
    (1) Transportation which is performed wholly within the following 
territory: The area within the corporate limits of the cities of New 
York, Yonkers, Mount Vernon, North Pelham, Pelham, Pelham Manor, Great 
Neck Estates, Floral Park, and Valley Stream, N.Y., and Englewood, N.J.; 
the area within the borough limits of Alpine, Tenafly, Englewood Cliffs, 
Leonia, Fort Lee, Edgewater, Cliffside Park, Fairview, Palisades Park, 
and Ridgefield, Bergen County, N.J.; and that part of Hudson County, 
N.J., east of Newark Bay and the Hackensack River;
    (2) Transportation which is performed in respect of a shipment which 
has had a prior, or will have a subsequent movement by water carrier, 
and which is performed wholly between points named in subparagraph (1) 
of this paragraph, on the one hand, and, on the other, those points in 
Newark and Elizabeth, N.J., identified as follows: All points in that 
area within the corporate limits of the cities of Newark and Elizabeth, 
N.J., west of Newark Bay and bounded on the south by the main line of 
the Central Railroad of New Jersey, on the west by the Newark & 
Elizabeth Branch of the Central Railroad Company of New Jersey, and on 
the north by the property line of the Penn Central Transportation 
Company.
    (3) Transportation which is performed in respect of a shipment by 
rail carrier, and which is performed wholly between points named in 
subparagraph (1) of this paragraph, on the one hand, and, on the other,
    (a) Those portions of Kearny, N.J., within an area bounded on the 
north by the main line of the Jersey City Branch of the Penn Central 
Transportation Co., on the south and east by Fish House Road and 
Pennsylvania Avenue, and on the west by the property line of the Penn 
Central Transportation Co. Truck-Train Terminal.
    (b)(i) That portion of Newark, N.J., within an area bounded on the 
north by South Street and Delancey Street, on the east by Doremus 
Avenue, on the south by the freight right-of-way of the Penn Central 
Transportation Co. (Waverly Yard, Newark, N.J., to Greenville Piers, 
Jersey City, N.J., line), and on the west by the Penn Central 
Transportation Co.'s Hunter Street produce yard, and (ii) that portion 
of Newark, N.J., within an area bounded on the north by Poinier Street, 
on the east by Broad Steet, on the south by the passenger right-of-way 
of the Penn Central Transportation Co.'s main line and on the west by 
Frelinghuysen Avenue.
    (c) That portion of Port Reading, N.J., within an area bounded on 
the east by the Arthur Kill, on the south by the right-of-way of the 
Reading Co., on the west by Cliff Road, and on the north by Woodbridge-
Carteret Road, and
    (d) That portion of Elizabeth, N.J., within an area bounded by a 
line extending from Newark Bay westward along Trumbull Street to its 
intersection with Division Street; thence northward along Trumbull 
Street to its intersection with East North Avenue; thence eastward along 
East North Avenue to its intersection with the New Jersey Turnpike, 
thence along the New Jersey Turnpike to the Elizabeth Channel; thence 
easterly along the Elizabeth Channel to Newark Bay; thence along the 
western shore of Newark Bay to the point of beginning.

                          Sec. 2 Chicago, Ill.

    The zone adjacent to and commercially a part of Chicago, Ill., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows:
    The area within the corporate limits of Chicago, Evanston, Oak Park, 
Cicero, Berwyn, River Forest, Willow Springs, Bridgeview, Hickory Hills, 
Worth, Homewood, and Lansing, Ill.; the area within

[[Page 1207]]

the township limits of Niles, Maine, Leyden, Norwood Park, Proviso, 
Lyons, Riverside, Stickeny, Worth, Calumet, Bremen, and Thornton 
Townships, Cook County, Ill.; the area comprised of that part of Lemont 
Township, Cook County, and that part of Downers Grove Township, Du Page 
County, Ill., bounded by a line beginning at the intersection of Archer 
Avenue and the southern corporate limits of WillowSprings, Ill., and 
extending in a southwesterly direction along Archer Avenue to its 
junction with Chicago Joliet Road (Sag Lemont Highway), thence in a 
westerly direction over Chicago Joliet Road to its junction with Walker 
Road, thence directly north along an imaginary line to the southern 
shoreline of the Chicago Sanitary and Ship Canal, thence in a 
northeasterly direction along said shoreline to the corporate limits of 
Willow Springs, including points on the indicated portions of the 
highways specified; the area within Burr Ridge, Du Page County, bounded 
by a line beginning at the intersection of County Line Road and Frontage 
Road, thence southwesterly along Frontage Road to its intersection with 
Garfield Street, thence northerly along Garfield Street to its junction 
with 74th Street, thence westerly along an imaginary line to the 
junction of 74th Street and Grant Street, thence southerly along Grant 
Street to its junction with 75th Street, thence westerly along 75th 
Street to its junction with Brush Hill Road, thence southerly along 
Brush Hill Road to its junction with Frontage Road, thence northeasterly 
along Frontage Road to its junction with County Line Road; and the area 
within the corporate limits of Hammond, Whiting, East Chicago, and Gary, 
Ind.

               Sec. 3 St. Louis, Mo.-East St. Louis, Ill.

    (a) The zone adjacent to and commercially a part of St. Louis, Mo.-
East St. Louis, Ill, within which transportation by motor vehicle in 
interstate or foreign commerce, not under a common control, management 
or arrangement for a continuous carriage to or from a point beyond the 
zone is partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows: (1) All points within the corporate limits of 
St. Louis, Mo.; (2) all points in St. Louis County, Mo., within a line 
drawn 0.5 mile south, west, and north of the following line:--Beginning 
at the Jefferson Barracks Bridge across the Mississippi River and 
extending westerly along Missouri Highway 77 to its junction with U.S. 
Highway 61 Bypass, thence along U.S. Highway 61 Bypass to its junction 
with U.S. Highway 66, thence westerly along U.S. Highway 66 to its 
junction with Bowles Avenue, thence northerly along Bowles Avenue, 
actual or projected, to the Meramec River, thence easterly along the 
south bank of the Meramec River to a point directly south of the western 
boundary of Kirkwood, thence across the Meramec River to and along the 
western boundary of Kirkwood to Marshall Road, thence westerly along 
Marshall Road to its junction with Treecourt Avenue, thence northerly 
along Treecourt Avenue to its junction with Big Bend Road, thence 
easterly along Big Bend Road to the western boundry of Kirkwood, thence 
northerly along the western boundary of Kirkwood to its junction with 
Dougherty Ferry Road, thence westerly along Dougherty Ferry Road to its 
junction with Interstate Highway 244, thence northerly along 
InterstateHighway 244 to its junction with Manchester Road, thence 
easterly along Manchester Road to its junction with the northwest corner 
of Kirkwood, thence along the western and northern boundaries of 
Kirkwood to the western boundary of Huntleigh, Mo., thence along the 
western and northern boundaries of Huntleigh to its junction with 
Lindbergh Boulevard, thence northerly along Lindbergh Boulevard to its 
junction with Lackland Avenue, thence in a westerly direction along 
Lackland Avenue to its junction with the right-of-way of the proposed 
Circumferential Expressway (Interstate Highway 244), thence in a 
northerly direction along said right-of-way to its junction with the 
right-of-way of the Chicago, Rock Island and Pacific Railroad, thence in 
an easterly direction along said right-of-way to its junction with 
Dorsett Road, thence in an easterly direction along Dorsett Road to its 
junction with Lindbergh Boulevard, thence in a northerly direction along 
Lindbergh Boulevard to its junction with St. Charles Rock Road, thence 
westerly along St. Charles Rock Road to its function with the Missouri 
River, thence northerly along the east shore of the Missouri River to 
its junction with the Norfolk and Western Railway Co. right-of-way, 
thence easterly along the southern boundary of the Norfolk and Western 
Railway Co. right-of-way to Lindbergh Boulevard, thence in an easterly 
direction along Lindbergh Boulevard to the western boundary of St. 
Ferdinand (Florissant), Mo., thence along the western, northern, and 
eastern boundaries of St. Ferdinand to junction Insterstate Highway 270, 
and thence along Interstate Highway 270 to the corporate limits of St. 
Louis (near Chain of Rocks Bridge); and (3) all points within the 
corporate limits of East St. Louis, Belleville, Granite City, Madison, 
Venice, Brooklyn, National City, Fairmont City, Washington Park, and 
Sauget, Ill.; that part of the village of Cahokia, Ill., bounded by 
Illinois Highway 3 on the east, First Avenue and Red House (Cargill) 
Road on the south and southwest, the east line of the right-of-way of 
the Alton and Southern Railroad on the west, and the corporate limits of 
Sauget, Ill., on the northwest and north; that part of Centerville, 
Ill., bounded by a

[[Page 1208]]

line beginning at the junction of 26th Street and the corporate limit of 
East St. Louis, Ill., and extending northeasterly along 26th Street to 
its junction with BondAvenue, thence southeasterly along Bond Avenue to 
its junction with Owen Street, thence southwesterly along Owen Street to 
its junction with Church Road, thence southeasterly along Church Road to 
its junction with Illinois Avenue, thence southwesterly along Illinois 
Avenue to the southwesterly side of the right-of-way of the Illinois 
Central Railroad Co., thence along the southwesterly side of the right-
of-way of the Illinois Central Railroad Co. to the corporate limits of 
East St. Louis, Ill, thence along the corporate limits of East St. 
Louis, Ill., to the point of beginning;and that area bounded by a line 
commencing at the intersection of the right-of-way of the Alton and 
Southern Railroad and the Madison, Ill., corporate limits near 19th 
Street, and extending east and south along said right-of-way to its 
intersection with the right-of-way of Illinois Terminal Railroad Co., 
thence southwesterly along the Illinois Terminal Railroad Co. right-of-
way to its intersection with Illinois Highway 203, thence northwesterly 
along said highway to its intersection with the Madison, Ill., corporate 
boundary near McCambridge Avenue, thence northerly along the Madison, 
Ill., corporate boundary to the point of beginning.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act in respect of transportation by motor vehicle, in 
interstate or foreign commerce, between Belleville, Ill., on the one 
hand, and, on the other, any other point in the commercial zone, the 
limits of which are defined in paragraph (a) of this section, is hereby 
removed, and the said transportation is hereby subjected to all 
applicable provisions of the Interstate Commerce Act.

                         Sec. 4 Washington, DC.

    The zone adjacent to and commercially a part of Washington, DC, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.A. 303(b)(8)) includes and it is comprised of all 
as follows:
    Beginning at the intersection of MacArthur Boulevard and Falls Road 
(Maryland Highway 189) and extending northeasterly along Falls Road to 
its junction with Scott Drive, thence west on Scott Drive to its 
junction with Viers Drive, thence west on Viers Drive to its junction 
with Glen Mill Road, thence northeast on Glen Mill Road to its junction 
with Maryland Highway 28, thence west on Maryland Highway 28 to its 
junction with Shady Grove Road, thence northeast on Shady Grove Road 
approximately 2.7 miles to Crabbs Branch, thence southeasterly along the 
course of Crabbs Branch to Rock Creek, thence southerly along the course 
of Rock Creek to Viers Mill Road (Maryland Highway 586), thence 
southeasterly along Viers Mill Road approximately 0.3 mile to its 
junction with Aspen Hill Road, thence northeasterly along Aspen Hill 
Road to its junction with Brookeville Road (Maryland Highway 97), thence 
southeasterly along Brookeville Road to its junction with Maryland 
Highway 183, thence northeasterly along Maryland Highway 183 to 
Colesville, Md., thence southeasterly along Beltsville Road to its 
junction with Powder Mill Road (Maryland Highway 212), thence easterly 
over Powder Mill Road to its junction with Montgomery Road, thence 
northeasterly along Montgomery Road, approximately 0.2 mile, to its 
junction with an unnumbered highway extending northeasterly to the north 
of Ammendale Normal Institute, thence along such unnumbered highway for 
a distance of about 2.2 miles to its junction somewhat north of Virginia 
Manor, Md., with an unnumbered highway extending easterly through 
Muirkirk, Md., thence along such unnumbered highway through Muirkirk to 
its junction, approximately 1.8 miles east of the Baltimore and Ohio 
Railroad, with an unnumbered highway, thence southwesterly along such 
unnumbered highway for a distance of about 0.5 mile to its junction with 
an unnumbered highway, thence southeasterly along such unnumbered 
highway through Springfield and Hillmeade, Md., to its junction with 
Defense Highway (U.S. Highway 50), thence southwesterly along Defense 
Highway approximately 0.8 mile to its junction with Enterprise Road 
(Maryland Highway 556), thence southerly over Enterprise Road to its 
junction with Central Avenue (Maryland Highway 214), thence westerly 
over Central Avenue about 0.5 mile to its crossing of Western Branch, 
thence southerly down the course of Western Branch to Maryland Highway 
202, thence westerly approximately 0.3 mile along Maryland Highway 202 
to its junction with White House Road, thence southwesterly along White 
House Road to its junction with Maryland Highway 221, thence 
southeasterly along Maryland Highway 221 to its junction with Maryland 
Highway 4, thence westerly along Maryland Highway 4 to the boundary of 
Andrews Air Force Base, thence south and west along said boundary to 
Brandywine Road (Maryland Highway 5), thence northwesterly along 
Maryland Highway 5 to its junction with Maryland Highway 337, thence 
southwesterly along Maryland Highway 337 to its junction with Maryland 
Highway 224, thence southerly along Maryland Highway 224 to a point 
opposite the mouth of Broad Creek, thence due west across the Potomac 
River to the west bank thereof, thence

[[Page 1209]]

southerly along the west bank of the Potomac River to Gunston Cove, 
thence up the course of Gunston Cove to Pohick Creek, thence up the 
course of Pohick Creek to Virginia Highway 611, thence southwesterly 
along Virginia Highway 611 to the Fairfax-Prince William County line, 
thence along said county line to Virginia Highway 123, thence northerly 
along Virginia Highway 123 to its junction with Virginia Highway 636, 
thence northeasterly along Virginia Highway 636 to its junction with 
Virginia Highway 638, thence northwesterly along Virginia Highway 638 to 
its junction with Virginia Highway 620, thence westerly along Virginia 
Highway 620 to its junction with Virginia Highway 655, thence 
northeasterly along Virginia Highway 655 to its junction with U.S. 
Highway 211, thence westerly along U.S. Highway 211 to its junction with 
Virginia Highway 608, thence northerly along Virginia Highway 608 to its 
junction with U.S. Highway 50, thence westerly along U.S. Highway 50 to 
the Fairfax-Loudoun County line, thence northeasterly along said county 
line to its intersection with Dulles International Airport, thence along 
the southern, western, and northern boundaries of said airport to the 
Fairfax-Loudoun County line (at or near Dulles Airport Access Road), 
thence northeasterly along said county line to its junction with 
Virginia Highway 7, thence southeasterly along Virginia Highway 7 to its 
junction with Virginia Highway 193, thence along Virginia Highway 193 to 
its junction with Scott Run Creek, thence northerly down the course of 
Scott Run Creek to the Potomac River, thence due north across the river 
to MacArthur Boulevard to its junction with Maryland Highway 189, the 
point of beginning.

 Sec. 5 Los Angeles, Calif., and contiguous and adjacent municipalities.

    (a) The exemption provided by section 203(b)(8) of Part II of the 
Interstate Commerce Act to the extent it affects transportation by motor 
vehicle, in interstate or foreign commerce, performed wholly within Los 
Angeles, Calif., or wholly within any municipalitiy contiguous or 
adjacent to Los Angeles, Calif., or wholly a part of Los Angeles, as 
defined in paragraph (b) of this section, or wholly within the zone 
adjacent to and commercially a part of the San Pedro, Wilmington, and 
Terminal Island Districts of Los Angeles and Long Beach, as defined in 
paragraph (c) of this section, or wholly within the zone of any 
independent municipality contiguous or adjacent to Los Angeles, as 
determined under Sec. 372.241, or otherwise, between any point in Los 
Angeles County, Calif., north of the line described below, on the one 
hand, and, on the other, any point in Los Angeles County, Calif., south 
thereof is hereby removed and the said transportation is hereby 
subjected to all the applicable provisions of the Interstate Commerce 
Act:
    Beginning at the Pacific Ocean, and extending easterly along the 
northern and eastern corporate limits of Manhattan Beach to the northern 
corporate limits of Redondo Beach, thence along the northern and eastern 
corporate limits of Redondo Beach to the intersection of Inglewood 
Avenue and Redondo Beach Boulevard, thence along Redondo Beach Boulevard 
to the corporate limits of Torrance, thence along the northwestern and 
eastern corporate limits of Torrance to 182d Street, thence along 182d 
Street, Walnut, and Main Streets to Alondra Boulevard, thence along 
Alondra Boulevard to its intersection with Dwight Avenue, thence 
southerly along Dwight Avenue and an imaginary straight line extending 
southward to Greenleaf Boulevard, thence eastward along Greenleaf 
Boulevard to the northwestern corner of the corporate limits of Long 
Beach, thence along the northern and eastern corporate limits of Long 
Beach to Artesia Boulevard, thence east on Artesia Boulevard to the Los 
Angeles-Orange County line.
    (b) For the purpose of administration and enforcement of Part II of 
the Interstate Commerce Act, the zone adjacent to and commercially a 
part of Los Angeles and contiguous municipalities (except the San Pedro, 
Wilmington, and Terminal Island districts of Los Angeles and Long Beach, 
Calif.), in which transportation by motor vehicle in interstate or 
foreign commerce, not under a common control, management, or arrangement 
for a continuous carriage or shipment to or from a point beyond the 
zone, will be partially exempt from regulation under section 203(b)(8) 
of the act, is hereby defined to includethe area of a line extending in 
a generally northwesterly and northerly direction from the intersection 
of Inglewood Avenue and Redondo Beach Boulevard along the eastern and 
northern corporate limits of Redondo Beach, Calif., to the eastern 
corporate limits of Manhattan Beach, Calif., thence along the eastern 
and northern corporate limits of Manhattan Beach to the Pacific Ocean, 
thence along the shoreline of the Pacific Ocean to the western corporate 
limits of Los Angeles at a point east of Topanga Canyon, and thence 
along the western corporate limits of Los Angeles to a point near Santa 
Susana Pass; south of a line extending in a generally easterly direction 
from a point near Santa Susana Pass along the northern corporate limits 
of Los Angeles to the eastern corporate limits of Burbank, Calif., 
thence along the eastern corporate limits of Burbank to the northern 
corporate limits of Glendale, Calif., and thence along the northern 
corporate limits of Glendale and Pasadena, Calif., to the northeastern 
corner of Pasadena; west of a line extending in a generally southerly 
and southwesterly direction

[[Page 1210]]

from the northeastern corner of Pasadena along the eastern and a portion 
of the southern corporate limits of Pasadena to the eastern corporate 
limits of SanMarino, Calif., thence along the eastern corporate limits 
of San Marino and the eastern and a portion of the southern corporate 
limits of Alhambra, Calif., to the western corporate limits of Monterey 
Park, Calif., and the western corporate limits of Montebello, Calif., 
thence along the western corporate limits of Montebello, Calif., to the 
Rio Hondo, and the Los Angeles River to the northern corporate limits of 
Long Beach; and north of a line extending in a generally westerly 
direction from the Los Angeles River along the northern corporate limits 
of Long Beach and thence along Greenleaf Boulevard to its intersection 
with an imaginary straight line extending southward from Dwight Avenue, 
thence north on the imaginary straight line extending southward from 
Dwight Avenue, and thence northerly along Dwight Avenue to Alondra 
Boulevard, thence west along Alondra Boulevard, Main, Walnut, and 182d 
Streets to the eastern corporate limits of Torrance, thence along a 
portion of the eastern and the northwestern corporate limits of Torrance 
to Redondo Beach Boulevard, and thence along Redondo Beach Boulevard to 
Inglewood Avenue.
    (c) For the purpose of administration and enforcement of Part II of 
the Interstate Commerce Act, the zone adjacent to and commercially a 
part of the San Pedro, Wilmington, and Terminal Island districts of Los 
Angeles and Long Beach in which transportation by motor vehicle in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt from regulation under section 
203(b)(8) of the act, is hereby defined to include the area east of a 
line extending in a generally northerly and northwesterly direction from 
the Pacific Ocean along the western corporate limits of Los Angeles to 
258th Street, thence along 258th Street to the eastern corporate limits 
of Torrance, and thence along a portion of the eastern, and along the 
southern and western, corporate limits of Torrance to the northwestern 
corner of Torrance, south of a line extending in a generallyeasterly 
direction from the northwestern corner of Torrance along the 
northwestern and a portion of the eastern corporate limits of Torrance 
to 182d Street, thence along 182d, Walnut, Main, and Alondra Boulevard 
to its intersection with Dwight Avenue, thence southerly along Dwight 
Avenue and an imaginary straight line extending southward from Dwight 
Avenue to Greenleaf Boulevard and thence along Greenleaf Boulevard and 
the northern corporate limits of Long Beach to the northeastern corner 
of Long Beach; west of the eastern corporate limits of Long Beach; and 
north of the southern corporate limits of Long Beach and Los Angeles.

                        Sec. 6 Philadelphia, Pa.

    The zone adjacent to and commercially a part of Philadelphia, Pa., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The area within Pennsylvania included within the corporate 
limits of Philadelphia and Bensalem and Lower Southampton Townships in 
Bucks County; Conshohocken and West Conshohocken, Pa., and Lower 
Moreland, Abington, Cheltenham, Springfield, Whitemarsh, and Lower 
Merion Townships in Montgomery County; an area in Upper Dublin Township, 
Montgomery County, bounded by a line beginning at the intersection of 
Pennsylvania Avenue and Fort Washington Avenue and extending northeast 
along Fort Washington Avenue to its junction with Susquehanna Road, 
thence southeast along Susquehanna Road to its junctionwith the right-
of-way of the Pennsylvania Railroad Company, thence southwest along the 
right-of-way of the Pennsylvania Railroad Company to Pennsylvania 
Avenue, thence northwest along Pennsylvania Avenue to its junction with 
Fort Washington Avenue, the point of beginning; Haverford Township in 
Delaware County; and an area in Delaware County south and east of a line 
extending southward from the intersection of the western and northern 
boundaries of Upper Darby Township along Darby Creek to Bishop Avenue, 
thence south along Bishop Avenue to Baltimore Pike, thence west along 
Baltimore Pike to Pennsylvania Highway 320, thence south along 
Pennsylvania Highway 320 to the corporate limits of Chester, thence 
along the northern corporate limit of Chester in a westerly direction to 
the eastern boundary of Upper Chichester Township, thence south to the 
southern boundary of said township along the eastern boundary thereof, 
and thence west along the southern boundary of said township to the 
Delaware State line, and thence south along the Delaware State line to 
the Delaware River, and
    (b) The area in New Jersey included in the corporate limits of 
Camden, Gloucester City, Woodlynne, Merchantville, and Palmyra Boroughs, 
and the area included in Pennsauken Township in Camden County.

[[Page 1211]]

                        Sec. 7 Cincinnati, Ohio.

    The zone adjacent to and commercially a part of Cincinnati, Ohio, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuing carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 203(b)(8)), includes and is comprised of all 
points as follows:
Addyston, Ohio.
Cheviot, Ohio.
Cincinnati, Ohio.
Cleves, Ohio.
Elmwood Place, Ohio.
Fairfax, Ohio.
Mariemont, Ohio.
North Bend, Ohio.
Norwood, Ohio.
St. Bernard, Ohio.
Covington, Ky.
Newport, Ky.
Cold Spring, Ky.
    That part of Ohio bounded by a line commencing at the intersection 
of the Colerain-Springfield Township line and corporate limits of 
Cincinnati, Ohio, and extending along said township line in a northerly 
direction to its intersection with the Butler-Hamilton County line, 
thence in an easterly direction along said county line to its 
intersection with Ohio Highway 4, thence in a northerly direction along 
Ohio Highway 4 to its intersection with Seward Road, thence in a 
northerly direction along said road to its intersection with Port Union 
Road, thence east along Port Union Road to the Fairfield Township-Union 
Township line, thence northward along said township line to its 
intersection with the right-of-way of the Pennsylvania Railroad Co., 
thence southeasterly along the right-of-way of the Pennsylvania 
RailroadCo. to its intersection with Princeton-Glendale Road (Ohio 
Highway 747), thence southward along said road to its intersection with 
Mulhauser Road, thence in an easterly direction along said road to the 
terminus thereof west of the tracks of the Pennsylvania Railroad Co., 
thence continue in an easterly direction in a straight line to Allen 
Road, thence along the latter to the junction thereof with Cincinnati-
Dayton Road, thence in a southerly direction along Cincinnati-Dayton 
Road, to the Butler, Hamilton County line, thence along said county line 
to the Warren-Hamilton County line in an easterly direction to the 
Symmes-Sycamore Township line, thence in a southerly direction along the 
Symmes-Sycamore Township line to its intersection with the Columbia 
Township line, thence in a westerly direction along Sycamore-Columbia 
Township line to Madeira Township, thence in a clockwise direction 
around the boundary of Madeira Township to the Sycamore-Columbia 
Township line, thence in a westerly direction along said township line 
to Silverton Township, thence in a southerly direction along said 
corporate limits to junction with Redbank Road, thence in a southerly 
direction over Redbank Road to the Cincinnati Corporate limits.
    That part of Kenton County, Ky., lying on and north of a line 
commencing at the intersection of the Kenton-Boone County line and Dixie 
Highway (U.S. Highways 25 and 42), and extending over said highway to 
the corporate limits of Covington, Ky., including communities on the 
described line.
    That part of Campbell County, Ky., lying on and north of a line 
commencing at the southern corporate limits of Newport, Ky., and 
extending along Licking Pike (Kentucky Highway 9) to junction with Johns 
Hill Road, thence along Johns Hill Road to junction with Alexandria Pike 
(U.S. Highway 27), thence northward along Alexandria Pike to junction 
with River Road (Kentucky Highway 445), thence over the latter to the 
Ohio River, including communities on the described line.
    That part of Boone County, Ky., bounded by a line beginning at the 
Boone-Kenton County line west of Erlanger, Ky., and extending in a 
northwesterly direction along Donaldson Highway to its intersection with 
Zig-Zag Road, thence along Zig-Zag Road to its intersection with 
Kentucky Highway 18, thence along Kentucky Highway 18 to its 
intersection with Kentucky Highway 237, thence along Kentucky Highway 
237 to its intersection with Kentucky Highway 20, and thence easterly 
along Kentucky Highway 20 to the Boone-Kenton County line.
    That part of Boone and Kenton Counties, Ky., bounded by a line 
commencing at the intersection of the Boone-Kenton County line and U.S. 
Highway 42, and extending in a southwesterly direction along U.S. 
Highway 42 to its junction with Gunpowder Road, thence southerly along 
Gunpowder Road to its junction with Sunnybrook Road, thence easterly 
along Sunnybrook Road to its junction with Interstate Highway 75, thence 
in a straight line in a northeasterly direction to Richardson Road, 
thence in an easterly direction over Richardson Road to its junction 
with Kentucky State Route 1303, thence in a northerly direction over 
Kentucky State Route 1303 to the southern boundary of Edgewood, Kenton 
County, Ky.

               Sec. 8 Kansas City, Mo.-Kansas City, Kans.

    The zone adjacent to and commercially a part of Kansas City, Mo.-
Kansas City, Kans., within which transportation by motor vehicle, in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuing carriage to or from a point beyond the 
zone is partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows:
    Beginning on the north side of the Missouri River at the western 
boundary line of Parkville, Mo., thence along the western and

[[Page 1212]]

northern boundaries of Parkville to the Kansas City, Mo., corporate 
limits, thence along the western, northern, and eastern corporate limits 
of Kansas City, Mo., to its junction with U.S. Bypass 71 (near Liberty, 
Mo.), thence along U.S. Bypass 71 to Liberty, thence along the northern 
and eastern boundaries of Liberty to its junction with U.S. Bypass 71 
south of Liberty, thence south along U.S. Bypass71 to its junction with 
the Independence, Mo., corporate limits, thence along the eastern 
Independence, Mo., corporate limits to its junction with Interstate 
Highway 70, thence along Interstate Highway 70 to its junction with the 
Blue Springs, Mo., corporate limits, thence along the western, northern, 
and eastern corporate limits of Blue Springs, Mo., to its junction with 
U.S. Highway 40, thence east along U.S. Highway 40 to its junction with 
Brizen-Dine Road, thence south along the southerly extension of Brizen-
Dine Road to its junction with Missouri Highway AA, thence along 
Missouri Highway AA to its junction with the Blue Springs, Mo., 
corporate limits, thence along the southern and western corporate limits 
of Blue Springs, Mo., to its junction with U.S. Highway 40, thence west 
along U.S. Highway 40 to its junction with the Lee's Summit, Mo., 
corporate limits.
    Thence along the eastern Lee's Summit corporate limits to the 
Jackson-Cass County line, thence west along Jackson-Cass County line to 
the eastern corporate limits of Belton, Mo., thence along the eastern, 
southern, and western corporate limits of Belton to the western boundary 
of Richards-Gebaur Air Force Base, thence along the western boundary of 
said Air Force Base to Missouri Highway 150, thence west along Missouri 
Highway 150 to the Kansas-Missouri State line, thence north along the 
Kansas-Missouri State line, to 110th Street, thence west along 110th 
Street to its junction with U.S. Highway69, thence north along U.S. 
Highway 69 to its junction with 103d Street, thence west along 103d 
Street to its junction with Quivera Road (the corporate boundary of 
Lenexa, Kans.), thence along the eastern and southern boundaries of 
Lenexa to Black Bob Road, thence south along Black Bob Road to 119th 
Street, thence east along 119th Street to the corporate limits of 
Olathe, Kans., thence south and east along the Olathe corporate limits 
to Schlagel Road, thence south along Schlagel Road to Olathe Morse Road, 
thence west along Olathe Morse Road to the northeast corner of Johnson 
County Airportr, thence south, west, and north along the boundaries of 
said airport to Pflumm Road, thence north along Pflumm Road to its 
junction with Olathe Martin City Road, thence west along Olathe Martin 
City Road to its junction with Murden Road, thence south along Murden 
Road to its junction with Olathe Morse Road (the corporate boundary of 
Olathe, Kans.), thence west and north along said corporate boundary to 
its intersection with U.S. Highway 56, thence southwest along U.S. 
Highway 56 to its junction with 159th Street.
    Thence west along 159th Street to its junction with the Johnson 
County Industrial Airport, thence south, west, north and east along the 
boundaries of said airport to the point of beginning, on 159th Street, 
thence, east along 159th Street to its junction with U.S. Highway 56, 
thence northeast along U.S. Highway 56 to its junction with Parker Road, 
thence north along Parker Road to the northern boundary of Olathe, 
thence east and north along the northern corporate limits of Olathe to 
Pickering Road, thence north along PickeringRoad to 107th Street (the 
corporate boundary of Lenexa, Kans.), thence along the western and 
northern boundaries of Lenexa to Pflumm Road, thence north along Pflumm 
Road to its junction with Kansas Highway 10, thence along Kansas Highway 
10 to its junction with Kansas Highway 7, thence along an imaginary line 
due west across the Kansas River to the Wyandotte County-Leavenworth 
County line (142d Street) at Loring, Kans., thence westerly along County 
Route No. 82, a distance of three-fourths of a mile to the entrance of 
the facilities at Mid-Continent Underground Storage, Loring, thence from 
Loring in a northerly direction along Loring Lane and Lindwood Avenue to 
the southern boundary of Bonner Springs, Kans.
    Thence along the southern, western, and northern boundaries of 
Bonner Springs to its intersection with Kansas Highway 7, thence 
southeast along Kansas Highway 7 to its junction with Kansas Highway 32, 
thence east on Kansas Highway 32 to the corporate boundary of Kansas 
City, Kans., thence north, west, and east along the corporate boundaries 
of Kansas City, Kans., to its junction with Cernech Road and Pomeroy 
Drive, thence northwesterly along Pomeroy Drive to its junction with 
79th Street, thence along 79th Street to its junction with Walcotte 
Drive at Pomeroy, Kans., thence due west 1.3 miles to its junction with 
an unnamed road, thence north along such unnamed road to the entrance of 
Powell Port facility, thence due north to the southern bank of the 
Missouri River, thence east along the southern bank of Missouri River to 
a point directly across from the western boundary of Parkville, Mo., 
thence across the Missouri River to the point of beginning.

                          Sec. 9 Boston, Mass.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Boston, Mass., and contiguous municipalities in which transportation by 
motor vehicle in interstate or foreign commerce, not under a common 
control,

[[Page 1213]]

management, or arrangement for a continuous carriage or shipment to or 
from a point beyond the zone, will be partially exempt under section 
203(b)(8) of the act from regulation, is hereby defined to include the 
following:
Boston, Mass.
Winthrop, Mass.
Chelsea, Mass.
Revere, Mass.
Everett, Mass.
Malden, Mass.
Medford, Mass.
Somerville, Mass.
Cambridge, Mass.
Watertown, Mass.
Brookline, Mass.
Newton, Mass.
Needham, Mass.
Dedham, Mass.
Milton, Mass.
Quincy, Mass.

          Sec. 10 Davenport, Iowa; Rock Island and Moline, Ill.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zones adjacent to and commercially a part 
of Davenport, Iowa, Rock Island and Moline, Ill., in which 
transportation by motor vehicle, in interstate or foreign commerce, not 
under a common control, management, or arrangement for a continuous 
carriage or shipment to or from a point beyond such municipalities or 
zones, will be partially exempt from regulation under section 203(b)(8) 
of the act (49 U.S.C. 303(b)(8) are hereby determined to be coextensive 
and to include and to be comprised of the following:
    (a) All points within the corporate limits of the city of Davenport 
and the city of Bettendorf, and in Davenport Township, Iowa.
    (b) All points north of Davenport Township within that portion of 
Sheridan Township, Iowa, bounded by a line as follows: Beginning at the 
points where U.S. Highway 61 crosses the Davenport-Sheridan Township 
line and extending northward along U.S. Highway 61 to the right-of-way 
of the Chicago, Milwaukee, St. Paul & Pacific Railroad Co., thence 
northwesterly along said right-of-way to its junction with the first 
east-west unnumbered highway, thence westerly approximately 0.25 mile to 
its junction with a north-south unnumbered highway, thence southerly 
along such unnumbered highway to the northeast corner of Mount Joy 
Airport, thence along the northern and western boundaries of said 
airport to the southwestern corner thereof, and thence south in a 
straight line to the northern boundary of Davenport Township.
    (c)(1) That part of Iowa lying west of the municipal limits of 
Davenport south of Iowa Highway 22, north of the Mississippi River and 
east of the present western boundary of the Dewey Portland Cement Co., 
at Linwood, including points on such boundaries, and (2) that part of 
Iowa east of the municipal limits of Bettendorf, south of U.S. Highway 
67, west of a private road running between U.S. Highway 67 and Riverside 
Power Plant of the Iowa-Illinois Gas & Electric Co., and north of the 
Mississippi River, including points on such boundaries.
    (d) The municipalities of Carbon Cliff, Silvis, East Moline, Moline, 
Rock Island, and Milan, Ill., and that part of Illinois lying south or 
east of such municipalities, within a line as follows: Beginning at a 
point where Illinois Highway 84 crosses the southern municipal limits of 
Carbon Cliff and extending southerly along such highway to its junction 
with Colona Road, thence westerly along Colona Road to Bowlesburg Road, 
thence southerly on Bowlesburg Road to the southern boundary of Hampton 
Township, thence along the southern boundaries of Hampton and South 
Moline Townships to U.S. Highway 150, thence southerly along U.S. 
Highway 150 to the southern boundary of the Moline Airport, thence along 
the southern and western boundaries of the Moline Airport to Illinois 
Highway 92, and thence along Illinois Highway 92 to the corporate limits 
of Milan.
    (e) All points in Illinois within one-half mile on each side of Rock 
Island County State Aid Route No. 9 extending southwesterly from the 
corporate limits of Milan for a distance of 1 mile, including points on 
such highway.

Sec. 11 Commercial zones of municipalities in New Jersey within 5 miles 
                            of New York, N.Y.

    (a) The application of Sec. 372.241 is hereby extended to each 
municipality in New Jersey, any part of which is within 5 miles of the 
corporate limits of New York, N.Y.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act, of transportation by motor vehicle, in interstate or 
foreign commerce, performed wholly within any commercial zone, the 
limits of which are defined in paragraph (a) of this section, is hereby 
removed as to all such transportation except (1) transportation which is 
performed wholly between any two points in New Jersey, or (2) 
transportation which is performed wholly between points in New Jersey 
named in Sec. 372.201, on the one hand, and, on the other, points in New 
York named in Sec. 372.201.

  Sec. 12 Commercial zones of municipalities in Westchester and Nassau 
                             Counties, N.Y.

    (a) The application of Sec. 372.241 is hereby extended to each 
municipality in Westchester or Nassau Counties, N.Y.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act, of transportation by motor vehicle, in interstate or 
foreign commerce, performed wholly within any commercial zone, the 
limits of which are defined in paragraph (a) of this section, is hereby 
removed as to all such transportation except (1) transportation which is 
performed wholly between points in New York neither of which is New York 
City,

[[Page 1214]]

NY, or (2) transportation which is performed wholly between points in 
Westchester or Nassau County named in Sec. 372.201, on the one hand, 
and, on the other, New York City, N.Y., or points in New Jersey named in 
Sec. 372.201.

                          Sec. 13 Tucson, Ariz.

    That zone adjacent to and commercially a part of Tucson, Ariz., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)) from regulation, includes, and is comprised of, 
all points as follows:
    (a) The municipality of Tucson, Ariz., itself.
    (b) All points within a line drawn 5 miles beyond the corporate 
limits of Tucson, Ariz.
    (c) All points in that area south of the line described in paragraph 
(b) of this section, bounded by a line as follows: Beginning at the 
point where the line described in paragraph (b) of this section, 
intersects Wilmot Road, thence south along Wilmot Road to junction 
Nogales Old Vail Connection, thence west along Nogales Old Vail 
Connection, actual or extended, to the Santa Cruz River, thence north 
along the east bank of the Santa Cruz River to its joinder with the line 
described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section.
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Tucson or by any 
municipality included under the terms of paragraph (d) of this section.

                      Sec. 14 Albuquerque, N. Mex.

    The zone adjacent to and commercially a part of Albuquerque, N. 
Mex., within which transportation by motor vehicle, in interstate or 
foreign commerce, not under a common control, management, or arrangement 
for a continuous carriage or shipment to or from a point beyond the 
zone, is partially exempt, under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)), from regulation, includes, and is 
comprised of, all points as follows:
    (a) The municipality of Albuqerque, N. Mex., itself.
    (b) All points within a line drawn 5 miles beyond the corporate 
limits of Albuquerque, N. Mex.
    (c) All points in that area north of the line described in paragraph 
(b) of this section, bounded by a line as follows: Beginning at the 
intersection of the line described in paragraph (b) of this section and 
New Mexico Highway 528, extending in a northeasterly direction along New 
Mexico Highway 528 to its intersection with New Mexico Highway 44, 
thence easterly along New Mexico Highway 44 to its intersection with New 
Mexico Highway 422, thence southerly along New Mexico Highway 422 to its 
intersection with the line described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section;
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Albuquerque, N. Mex., or by 
any municipality included under the terms of paragraph (b) of this 
section.

                       Sec. 18 Ravenswood, W. Va.

    That zone adjacent to and commercially a part of Ravenswood, W. Va., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes, and is comprised of, 
all points as follows:
    (a) The municipality of Ravenswood, W. Va., itself.
    (b) All points within a line drawn 3 miles beyond the corporate 
limits of Ravenswood, W. Va., and
    (c) All points in West Virginia in that area south and southwest of 
those described in paragraph (b) of this section, bounded by a line as 
follows: Beginning at the point where the Ohio River meets the line 
described in paragraph (b) of this section southwest of Ravenswood, 
thence southerly along the east bank of the Ohio River to the point 
where the mouth of the Lick Run River empties into the Ohio River; 
thence in a northeasterly direction along the northern bank of the Lick 
Run River to the point where it crosses West Virginia Highway 2 south of 
Ripley Landing, W. Va.; thence in a northerly direction along West 
Virginia Highway 2 to its intersection with the line described in 
paragraph (b) of this section west of Pleasant View, W. Va.

                        Sec. 19 Lake Charles, La.

    That zone adjacent to and commercially a part of Lake Charles, La., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)),

[[Page 1215]]

from regulation, includes, and is comprised of, all points as follows:
    (a) The municipality of Lake Charles La., itself;
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Lake Charles, La.;
    (c) All points in that area south and west of the line described in 
paragraph (b) of this section, bounded by a line, as follows: beginning 
at the point where the line described in paragraph (b) of this section 
intersects Louisiana Highway 385; thence south along Louisiana Highway 
385 to its intersection with the Calcasieu-Cameron Parish line; thence 
west along the Calcasieu-Cameron Parish line to its intersection with 
Louisiana Highway 27; thence northerly along Louisiana Highway 27 to a 
point thereon 2 miles south of U.S. Highway 90; thence east along a line 
parallel to U.S. Highway 90 to Louisiana Highway 108; thence north along 
Louisiana Highway 108 to junction U.S. Highway 90; thence east along 
U.S. Highway 90 to the intersection thereof with the line described in 
paragraph (b) of this section;
    (d) All of the municipality any part of which is within the limits 
of the combined areas in paragraphs (b) and (c) of this section; and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the City of Lake Charles or by any 
municipality included under the terms of paragraph (d) of this section.

                         Sec. 20 Syracuse, N.Y.

    The zone adjacent to and commercially a part of Syracuse, N.Y., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuing carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised of all 
points as follows:
    (a) The municipality of Syracuse, NY., itself;
    (b) All other municipalities and unincorporated areas within 5 miles 
of the corporate limits of Syracuse, N.Y., and all of any other 
municipality any part of which lies within 5 miles of such corporate 
limits;
    (c) Those points in the town of Geddes, Onondaga County, N.Y., which 
are not within 5 miles of the corporate limits of Syracuse, N.Y.;
    (d) Those points in the towns of Van Buren and Lysander, Onondaga 
County, N.Y., not within 5 miles of the corporate limits of Syracuse, 
N.Y., and within an area bounded by a line beginning at the intersection 
of Van Buren Road with the line described in (b) above, thence 
northwesterly along Van Buren Road to its intersection with the cleared 
right-of-way of Niagara Mohawk Power Company, thence northwesterly and 
north along said right-of-way to its intersection between Church Road 
and Emerick Road, with the cleared right-of-way of New York State Power 
Authority, thence easterly along said clearedright-of-way to its 
intersection with the Seneca River, thence south along the Seneca River 
to its intersection, near Gaskin Road, with the cleared right-of-way of 
Niagara Mohawk Power Company, thence southwesterly along said cleared 
right-of-way to its intersection with the eastern limits of the Village 
of Baldwinsville, thence south along such Village limits to their 
intersection with a line of railroad presently operated by the Erie-
Lackawanna Railroad Company, thence southeasterly along said line of 
railroad to its intersection with the Van-Buren Lysander Town line, 
thence southeasterly along the Van-Buren Lysander Town line to its 
intersection with the Van-Buren Geddes Town line, thence southeasterly 
along the Van-Buren Geddes Town line to the line described in (b) above.

                         Sec. 21 Baltimore, Md.

    The zone adjacent to and commercially a part of Baltimore, Md., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)) includes and it is comprised of all 
as follows:
    (a) The municipality of Baltimore itself;
    (b) All points within a line drawn 5 miles beyond the boundaries of 
Baltimore;
    (c) All points in that area east of the line described in paragraph 
(b) of this section bounded by a line as follows: Beginning at the point 
where the line described in paragraph (b) of this section crosses Dark 
Head Creek and extending in a southeasterly direction along the center 
of Dark Head Creek and beyond to a point off Wilson Point, thence in a 
northeasterly direction to and along the center of Frog Mortar Creek to 
Stevens Road, thence northerly along Stevens Road to Eastern Avenue, 
thence easterly along Eastern Avenue to Bengies Road, thence 
northwesterly along Bengies Road, to the right-of-way of the Penn 
Central Transportation Co., thence westerly along such right-of-way to 
the junction thereof with the line described in paragraph (b) of this 
section;
    (d) All points in that area south of the line described in paragraph 
(b) of this section, bounded on the west by the right-of-way of the line 
of the Penn Central Transportation Co., extending between Stony Run and 
Severn, Md., and on the south by that part of Maryland Highway 176, 
extending easterly from the said railroad to its junction with

[[Page 1216]]

the line described in paragraph (b) of this section;
    (e) All points in that area southwest of the line described in 
paragraph (b) of this section, bounded by a line as follows: Beginning 
at the point where the line described in paragraph (b) of this section 
crosses the Baltimore-Washington Expressway and extending in a 
southwesterly direction along the Baltimore-Washington Expressway to its 
intersection with Maryland Highway 176, thence westerly along Maryland 
Highway 176 to its intersection with the Howard-Anne Arundel County 
line, thence southwesterly along said county line to its intersection 
with Maryland Highway 32, thence northwesterly along Maryland Highway 32 
to its intersection with the Little Patuxent River, thence northerly 
along the Little Patuxent River to the intersection of its north fork 
and its east fork located approximately 1 mile north of the intersection 
of Maryland Highway 32 and Berger Road, thenceeasterly along the east 
fork of the Little Patuxent River to its intersection with Broken Land 
Parkway, thence southerly along Broken Land Parkway to its intersection 
with Snowden River Parkway, thence easterly along Snowden River Parkway, 
to its intersection with relocated Maryland Highway 175, thence 
southeasterly along relocated Maryland Highway 175, to its intersection 
with Lark Brown Road, thence northeasterly along Lark Brown Road to its 
intersection with Maryland Highway 175, thence southerly along Maryland 
Highway 175 to its intersection with Interstate Highway 95, thence 
northeasterly along Interstate Highway 95 to its intersection with the 
line described in paragraph (b) of this section;
    (f) All points in that area north of the line described in paragraph 
(b) of this section bounded by a line as follows: Beginning at the 
junction of the line described in paragraph (b) of this section and the 
Baltimore-Harrisburg Expressway (Interstate Highway 83), thence 
northerly along Interstate Highway 83 to its junction with Shawan Road, 
thence easterly along Shawan Road to its junction with York Road 
(Maryland Highway 45) and continuing to a point 1,500 feet east of 
Maryland Highway 45, thence southerly along a line 1,500 feet east of 
the parallel to Maryland Highway 45 to its junction with the line 
described in paragraph (b) of this section;
    (g) All points in that area west of the line described in paragraph 
(b) of this section bounded by a line as follows: Beginning at the point 
where the line described in paragraph (b) of this section intersects 
U.S. Highway 40 west of Baltimore, Md., and extending in a westerly 
direction along U.S. Highway 40 to its intersection with St. John's 
Lane, thence southerly along St. John's Lane to its intersection with 
Maryland Highway 144, thence easterly along Maryland Highway 144 to its 
intersection with the line in paragraph (b) of this section;
    (h) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b), (c), (d), (e), (f), and 
(g) of this section;
    (i) All of any municipality wholly surrounded, or surrounded except 
for a water boundary, by the city of Baltimore or by any municipality 
included under the terms of (h) above.

                         Sec. 22 Cleveland, Ohio

    The zone adjacent to and commercially a part of Cleveland, Ohio, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)) includes and it is comprised of all 
as follows:
    (a) All points in Cuyahoga County, Ohio, and
    (b) All points in Wickliffe, Willoughby Hills, Waite Hill, 
Willoughby, Willowick, Eastlake, Lakeline, Timberlake, and Mentor, Lake 
County, Ohio.

                         Sec. 23 Detroit, Mich.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Detroit, Mich., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, all that area within a line as follows:

    Beginning at a point on Lake St. Clair opposite the intersection of 
Fifteen Mile Road and Michigan Highway 29 and extending south and 
southwest along the shore of Lake St. Clair, to the Detroit River, 
thence along such River (east of Belle Isle) and Trenton Channel to a 
point opposite Sibley Road, thence west to and along Sibley Road to 
Waltz Road, thence north along Waltz Road to Wick Road, thence west 
along Wick Road to Cogswell Road, thence north along Cogswell Road to 
Van Born Road, thence east along Van Born Road to Newburgh Road, thence 
north along Newburgh Road to its junction with Halsted Road, thence 
north along Halsted Road to West Maple Road, thence east along West 
Maple Road to Telegraph Road, thence north along Telegraph Road to 
Sixteen Mile Road, thence east along Sixteen Mile Road to Utica Road, 
thence southeasterly along Utica Road to

[[Page 1217]]

Fifteen Mile Road (also called East Maple Road), thence along Fifteen 
Mile Road and across Michigan Highway 29 to Lake St. Clair, the point of 
beginning.

                         Sec. 24 Seattle, Wash.

    The zone adjacent to and commercially a part of Seattle, Wash., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
continuous carriage or shipments to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The municipality of Seattle itself.
    (b) All points within a line drawn 5 miles beyond the municipal 
limits of Seattle, except points on Bainbridge Island, Vashon Island, 
and Blake Island.
    (c) All points more than 5 miles beyond the municipal limits of 
Seattle (1) within a line as follows: Beginning at that point south of 
Seattle where the eastern shore of Puget Sound intersects the line 
described in paragraph (b) of this section, thence southerly along the 
eastern shore of Puget Sound to Southwest 192d Street, thence easterly 
along Southwest 192d Street to thepoint where it again intersects the 
line described in paragraph (b) of this section; and (2) within a line 
as follows: Beginning at the junction of the southern corporate limits 
of Kent, Wash., and Washington Highway 181, and extending south along 
Washington Highway 181 to the northern corporate limits of Auburn, 
Wash., thence along the western, southern, and eastern corporate limits 
of Auburn to the junction of the northern corporate limits of Auburn and 
Washington Highway 167, thence northerly along Washington Highway 167 to 
its junction with the southern corporate limits of Kent, Wash., 
including all points on the highways named.
    (d) All points more than 5 miles beyond the municipal limits of 
Seattle within a line as follows: Beginning at the junction of the 
northern corporate limits of Lynwood, Wash., and U.S. Highway 99, thence 
north along U.S. Highway 99 to its junction with Washington Highway 525, 
thence along Washington Highway 525 to its junction with West Casino 
Road, thence east along West Casino Road to the western boundary of the 
Everett facilities of the Boeing Co. at or near 4th Avenue West, thence 
along the western, northern and eastern boundaries of the facilities of 
the Boeing Co. to West Casino Road, thence east along West Casino Road 
to its junction with U.S. Highway 99, thence south along U.S. Highway 99 
to 112th Street, thence easterly along 112th Street to its junction with 
Interstate Highway 5, thence southerly along Interstate Highway 5 to its 
intersection with the present zone limits, including all points on the 
named routes.
    (e) All of any municipality any part of which is within the limits 
set forth in (b) above.
    (f) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Seattle or by any 
municipality included under the terms of (b) above.

                          Sec. 25 Albany, N.Y.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Albany, N.Y., in which transportation by motor vehicle in interstate or 
foreign commerce, not under a common control, management, or arrangement 
for a continuous carriage or shipment to or from a point beyond the 
zone, will be partially exempt under section 203(b)(8) of the act (49 
U.S.C. 303(b)(8)) from regulations, is hereby determined to include, and 
to be comprised of, the following:
    (a) The municipality of Albany itself,
    (b) All points within a line drawn 5 miles beyond the municipal 
limits of Albany,
    (c) All points in that area more than 5 miles beyond the municipal 
limits of Albany bounded by a line as follows: Beginning at that point 
on Swatling Road (in the Town of Colonie) where it crosses the line 
described in (b) above and extending northerly along such road to the 
municipal limits of Cohoes, thence along the western and northern 
boundary of Cohoes to the Mohawk River, thence along such river to the 
northern boundary of the Town of Waterford, thence along the northern 
and eastern boundaries of the Town of Waterford to the northern boundary 
of the City of Troy (all of which city is included under the next 
following provision),
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in (b) and (c) above, and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Albany or by any 
other municipality included under the terms of (d) above.

                   Sec. 26 Minneapolis-St. Paul, Minn.

    The zone adjacent to and commercially a part of Minneapolis-St. 
Paul, Minn, within which transportation by motor vehicle, in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage to or from a point beyond the zone 
is partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and it is 
comprised of all as follows:


[[Page 1218]]


    Beginning at the intersection of Minnesota Highway 36 and the 
Minnesota River and extending along the Minnesota River to the southwest 
corner of the city of Bloomington, thence north along the western 
boundaries of the city of Bloomington and the village of Edina to the 
southern boundary of the city of Hopkins, thence along the southern, 
western, and northern boundaries of the city of Hopkins to the western 
boundary of the city of St. Louis Park, thence north along the western 
boundaries of the city of St. Louis Park and the village of Golden 
Valley to the southeast corner of the village of Plymouth, thence west 
along the southern boundary of Plymouth to Interstate Highway 494, 
thence north along Interstate Highway 494 to Minnesota Highway 55, 
thence southeast along Minnesota Highway 55 to the western boundary of 
the village of Golden Valley, thence north along the western boundaries 
of the villages of Golden Valley and New Hope to the northwestern corner 
of the village of New Hope, thence east along the northern boundary of 
the village of New Hope and the city of Crystal to the western boundary 
of the village of Brooklyn Center, thence north along the western 
boundary of the village of Brooklyn Center to its northern boundary, 
thence east along such northernboundary to the Hennepin County-Anoka 
County line, thence north along such county line to the northwestern 
corner of the village of Spring Lake Park in Anoka County, thence east 
along the northern boundary of the village of Spring Lake Park to the 
northwest corner of Mounds View Township in Ramsey County, thence east 
and south along the northern and eastern boundaries of Mounds View 
Township to the northwestern corner of the village of Little Canada, 
thence east and south along the northern and eastern boundaries of 
Little Canada to the northwest corner of the village of Maplewood, 
thence east and south along the northern and eastern boundaries of the 
village of Maplewood to the northeastern corner of the village of North 
St. Paul, thence south along the eastern boundary of the village of 
North St. Paul to the southeast corner of such village, thence south 
along the eastern boundary of the village of Maplewood to the 
northeastern corner of the village of Newport, thence south and west 
along the eastern and southern boundaries of the village of Newport to 
U.S. Highway 61, thence southeasterly along U.S. Highway 61, to the 
eastern boundary of the village of St. Paul Park, thence along the 
eastern, southern, and western boundaries of the village of St. Paul 
Park to a point on the Mississippi River opposite the southeast corner 
of the original village of Inver Grove, thence westerly across the river 
and along the southern and western boundaries of the original village of 
Inver Grove to the northwestcorner of such village, thence due north to 
the southern boundary of South St. Paul, thence north and west along the 
western and southern boundaries of South St. Paul to the southeastern 
corner of West St. Paul, thence west along the southern boundary of West 
St. Paul to County Highway 63, thence south along County Highway 63 to 
its junction with County Highway 63A, thence west along County Highway 
63A to its junction with Minnesota Highway 49, thence north along 
Minnesota Highway 49 to its junction with County Highway 28, thence west 
along County Highway 28 to its junction with Minnesota Highway 13, 
thence southwest along Minnesota Highway 13 to its junction with 
Minnesota Highway 36, thence north and northwest along Minnesota Highway 
36 to the Minnesota River, the point of beginning.

                        Sec. 27 New Orleans, La.

    The zone adjacent to and commercially a part of New Orleans, La., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points in the area bounded as follows:

    Commencing at a point on the shore of Lake Pontchartrain where it is 
crossed by the Jefferson Parish-Orleans Parish line; thence easterly 
along the shore of Lake Pontchartrain to the Rigolets; thence through 
the Rigolets in an easterly direction to Lake Borgne; thence 
southwesterly along the shore of Lake Borgne to the Bayou Bienvenue; 
thence in a general westerly direction along the Bayou Bienvenue (which 
also constitutes the Orleans Parish-St. Bernard Parish line) to Paris 
Road; thence in a southerly direction along Paris Road to the Back 
Protection Levee; thence in a southeasterly direction along the Back 
Protection Levee (across Lake Borgne Canal) to a point 1 mile north of 
Louisiana Highway 46; thence in an easterly direction 1 mile north of 
Louisiana Highway 46 to longitude 89[deg]50[min] W.; thence south along 
longitude line 89[deg]50[min] W. (crossing Louisiana Highway 46 
approximately three-eighths of a mile east of Toca) to Forty Arpent 
Canal; thence westerly, northwesterly, and southerly along Forty Arpent 
Canal to Scarsdale Canal; thence northwesterly along Scarsdale Canal and 
beyond it in the same direction to the middle of the Mississippi River; 
thence southerly along the middle of the Mississippi River to the 
Augusta Canal; thence in a westerly direction along the Augusta Canal to 
the Gulf Intracoastal Waterway; thence in a northerly direction along 
the middle of the Gulf Intracoastal Waterway (Harvey Canal) to the

[[Page 1219]]

point where Lapalco Boulevard runs perpendicular to the Gulf 
Intracoastal Waterway (Harvey Canal); thence in a westerly direction 
along Lapalco Boulevard to its junction with Barataria Boulevard; thence 
north on Barartaria Boulevard to a point approximately 2 miles south of 
the MississippiRiver where a high tension transmission line crosses 
Barataria Boulevard; thence in a westerly direction following such 
transmission line to the intersection thereof with U.S. Highway 90; 
thence westerly along U.S. Highway 90 to the Jefferson Parish-St. 
Charles Parish line; thence north along such parish line to the middle 
of the Mississippi River; thence westerly along the middle of the 
Mississippi River to a point south of Almedia Road; thence north to 
Almedia Road; thence in a northerly direction along Almedia Road to its 
junction with Highway 61; thence north to the shore of Lake 
Pontchartrain; thence along the shore of Lake Pontchartrain in an 
easterly direction to the Jefferson Parish-Orleans Parish line, the 
point of beginning.

                         Sec. 28 Pittsburgh, Pa.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Pittsburgh, Pa., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, the following:

    (a) All points in Allegheny County, Pa., except Forward, Elizabeth, 
South Versailles, Marshall (including the Borough of Bradford Woods), 
Pine Richland, West Deer and Fawn Townships and that part of Frazer 
Township north of a line made by extending easterly in a straight line 
the southern boundary of West Deer Township.
    (b) Borough of Trafford situated in both Alleghency and Westmoreland 
Counties;
    (c) Borough of Ambridge and Harmony Township located in Beaver 
County; and
    (d) The City of New Kensington and Borough of Arnold in Westmoreland 
County.

                         Sec. 29 Portland, Oreg.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Portland, Oreg., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, the following:
    (a) The municipality itself.
    (b) All points in Oregon within a line drawn 5 miles beyond the 
corporate limits of Portland.
    (c) All of any municipality any part of which is within the line 
described in (b) above.
    (d) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Portland or by any 
municipality included under the terms of (c) above.

                        Sec. 30 Vancouver, Wash.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Vancouver, Wash., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, the following:

    (a) The municipality itself.
    (b) All points in Washington within a line drawn 4 miles beyond the 
corporate limits of Vancouver.
    (c) All of any municipality any part of which is within the line 
described in (b) above.
    (d) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the City of Vancouver or by any 
municipality included under the terms of (c) above.

                        Sec. 31 Charleston, S.C.

    The zone adjacent to and commercially a part of Charleston, S.C., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes and is comprised of, 
all points and places as follows:
    (a) The municipality of Charleston itself.
    (b) All points within a line drawn 4 miles beyond the boundaries of 
Charleston.
    (c) All points in that area north of the line described in paragraph 
(b) of this section, bounded by a line as follows: Beginning at the 
point where the line described in paragraph (b) of this section crosses 
Cooper River and extending in a northerly direction along the center of 
Cooper River to Goose Creek; thence north and west along the center of

[[Page 1220]]

Goose Creek to the dam of the reservoir of the Charleston waterworks; 
thence northwesterly along the west bank of the Charleston waterworks 
reservoir for approximately one mile to an unnamed creek; thence 
westerly along the center of this unnamed creek for approximately one 
mile to U.S. Highway 52; thence northerly along U.S. Highway 52 to 
junction South Carolina Highway S-10-75; thence westerly along South 
Carolina Highway S-10-75 approximately one and one half miles to a point 
one quarter mile west of the track of the Southern Railway Company; 
thence southeasterly along a line one quarter of a mile west of, and 
parallel to, the track of the Southern Railway Company to the junction 
thereof with the line described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (1) and (c) of this section.
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Charleston or by any 
municipality included under the terms of paragraph (d) of this section.

                       Sec. 32 Charleston, W. Va.

    That zone adjacent to and commercially a part of Charleston, W. Va., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes, and is comprised of, 
all points and places as follows:
    (a) The municipality of Charleston, W. Va., itself.
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Charleston, W. Va.
    (c) All points in that area northwest of those described in (b) 
above, bounded by a line as follows: Beginning at a point on the line 
described in (b) above, one-half mile south of U.S. Highway 60 west of 
Charleston, thence westerly along a line one-half mile south of the 
junction of U.S. Highway 60 with West Virginia Highway 17 near 2\3/4\ 
Mile Creek, thence westerly along a line one-half mile south of and 
parallel to West Virginia Highway 17 to the Coal River, thence north 
along the center of the Coal River to West Virginia Highway 17, thence 
northerly along West Virginia Highway 17 to Scary Creek, near Scary, W. 
Va., thence east along Scary Creek to the center of the Kanawha River, 
thence northerly along the center of the Kanawha River to a point 
opposite the mouth of Blake Creek (between Nitro and Poca, W. Va.), 
thence easterly along a straight line drawn through the junction of U.S. 
Highway 35 and West Virginia Highway 25 to a point one-half mile beyond 
said junction, thence southerly along a line one-half mile northeast of 
and parallel to West Virginia Highway 25 to the junction of the line 
described in (b) above.
    (d) All points in that area southeast of those described in (b) 
above, bounded by a line as follows: Beginning at a point on the line 
described in (b) above one-half mile south of the Kanawha River, thence 
easterly along a line one-half mile south of, and parallel to, the 
Kanawha River to junction with a straight line intersecting the highway 
bridge at Chelyan, W. Va., thence northerly along said straight line 
across the Kanawha River to a point one-half mile north of the Kanawha 
River, thence westerly along a line one-half mile north of and parallel 
to the Kanawha River to the junction of the line described in (b) above.
    (e) All of any municipality any part of which is within the limits 
of the combined areas defined in (b), (c), and (d) above.

                         Sec. 33 Memphis, Tenn.

    That zone adjacent to and commercially a part of Memphis, Tenn., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)) from regulation, includes, and is comprised of, 
all points as follows:
    (a) The municipality of Memphis, Tenn., itself.
    (b) All points within a line drawn 5 miles beyond the corporate 
limits of Memphis, Tenn.
    (c) All points in that part of Shelby County, Tenn., north of the 
line described in paragraph (b) of this section, bounded by a line as 
follows: Beginning at the intersection of the line described in 
paragraph (b) of this section and U.S. Highway 51 north of Memphis, 
thence northeasterly along U.S. Highway 51 for approximately 3 miles to 
its intersection with Lucy Road, thence easterly along Lucy Road for 
approximately 1.4 miles to its intersection with Chase Road, thence 
northerly along Chase Road for approximately 0.6 mile to its 
intersection with Lucy Road thence easterly along Lucy Road for 
approximately 0.8 mile to its intersection with Main Road, thence 
southereasterly along Main Road approximately 0.3 mile to its 
intersection with Amherst Road, thence southerly and easterly along 
Amherst Road for approximately 0.8 mile to its intersection with 
Raleigh-Millington Road, thence southerly along Raleigh-Millington Road 
for approximately 2 miles to its intersection with the line described in 
paragraph (b) of this section north of Memphis;

[[Page 1221]]

    (d) All of any municipality any part of which is within the limits 
of the combined areas described in paragraphs (b) and (c) of this 
section.

                          Sec. 34 Houston, Tex.

    The zone adjacent to, and commercially a part of Houston, Tex., and 
contiguous municipalities in which transportation by motor vehicle, in 
interstate or foreign commerce, not under common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act from regulation, is hereby defined to include the area which would 
result by application of the general formula promulgated in 
Sec. 372.241, and in addition thereto, the municipalities of Baytown, La 
Porte and Lomax, Tex.

                          Sec. 35 Pueblo, Colo.

    The zone adjacent to and commercially a part of Pueblo, Colo., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows:
    (a) the municipality of Pueblo, Colo., itself;
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Pueblo, Colo.:
    (c) All of the area known as the Pueblo Memorial Airport, consisting 
of about 3,500 acres, not within 4 miles of the corporate limits of 
Pueblo, Colo., and within an area located on the East of Pueblo, the 
nearest point being about 3.80 miles from the city limits of Pueblo, and 
bounded on the south by the tracks of the Santa Fe Railroad and the 
Missouri Pacific Railroad, and a public highway known as Baxter Road and 
designated as U.S. Highway 50 Bypass and Colorado Highway 96, with such 
property extending north, west, and east of the described southern base 
line.

                          Sec. 36 Warren, Ohio.

    The zone adjacent to and commercially a part of Warren, Ohio, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)) from regulation includes, and is comprised of, all 
points as follows:
    (a) The municipality of Warren, Ohio, itself.
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Warren, Ohio.
    (c) All points in that area, south of the line in paragraph (b) of 
this section, bounded by a line as follows: Beginning at the point where 
the line described in paragraph (b) of this section intersects 
Ellsworth-Baily Road, thence south along Ellsworth-Baily Road to the 
Ohio Turnpike, thence southeast along the Ohio Turnpike to New Hallock-
Young Road, thence northeast along New Hallock-Young Road to Hallock-
Young Road, thence east along Hallock-Young Road to junction Ohio 
Highway 45 (Salem-Warren Road), thence north along Ohio Highway 45 
(Salem-Warren Road) to its intersection with the line described in 
paragraph (b) of this section.

                         Sec. 37 Louisville, Ky.

    The zone adjacent to and commercially a part of Louisville, Ky., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The municipality of Louisville, Ky., itself;
    (b) All other municipalities and unincorporated areas within 5 miles 
of the corporate limits of Louisville, Ky., and all of any municipality 
any part of which lies within 5 miles of such corporate limits; and
    (c) Those points not within 5 miles of the corporate limits of 
Louisville, Ky., and within an area bounded by a line beginning at the 
junction of Kentucky Highway 146 (LaGrange Road) and Kentucky Highway 
1447 (Westport Road), thence over Kentucky Highway 146 to the junction 
of Kentucky Highway 146 and Kentucky Highway 841 (Jefferson Freeway), 
thence over Kentucky Highway 841 to the junction of Kentucky Highway 841 
and Kentucky Highway 1447, thence over Kentucky Highway 1447 to junction 
Kentucky Highway 1447 and Kentucky Highway 146, the point of beginning, 
all within Jefferson County, Ky.

                        Sec. 38 Sioux City, Iowa.

    The zone adjacent to and commercially a part of Sioux City, Iowa, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:

[[Page 1222]]

    (a) The area which would result by application of the general 
formula promulgated in Sec. 372.241; and, in addition thereto,
    (b) That area bounded by a line beginning at the intersection of 
Interstate Highway 29 and the line described in paragraph (a) of this 
section, and extending southeasterly along Interstate Highway 29 to its 
intersection with the Liberty-Lakeport Township, Iowa, line, thence 
westerly along the Liberty-Lakeport Township, Iowa, line to the Missouri 
River, thence northerly along the east bank of the Missouri River to its 
intersection with the line described in paragraph (a) of this section, 
thence along the line described in paragraph (a) of this section, to the 
point of beginning.

                         Sec. 39 Beaumont, Tex.

    The zone adjacent to and commercially a part of Beaumont, Tex., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The areas which would result by application of the general 
formula promulgated in Sec. 372.241 for Beaumont, Tex.; and in addition 
thereto,
    (b) That area bounded by a line beginning at that point where the 
west bank of Hillebrandt Bayou intersects the line described in 
paragraph (a) of this section; thence along the west bank of Hillebrandt 
Bayou to its confluence with Taylors Bayou: thence in a southeasterly 
direction along the west and south banks of Taylors Bayou to its 
confluence with the Intracoastal Waterway; thence along the west and 
north banks of the Intra-coastal Waterway to its confluence with Sabine 
River and Sabine Lake at a point immediately east of Groves; thence in a 
northeasterly direction along the north and west banks of Sabine Lake 
and Sabine River to the Orange-Newton County line; thence westerly along 
said county line to the west right-of-way line of State Highway 87; 
thence southerly along the west right-of-way line of State Highway 87 to 
the north right-of-way line of Interstate Highway 10; thence westerly 
along the north right-of-way line of Interstate Highway 10 to 
intersection with the line described in paragraph (a) of this section; 
thence along the line described in paragraph (a) of this section, to the 
point of beginning.

Sec. 40 Metropolitian Government of Nashville and Davidson County, Tenn.

    The zone adjacent to and commercially a part of the Metropolitan 
Government of Nashville and Davidson County, Tenn, within which 
transportation by motor vehicle, in interstate or foreign commerce, not 
under a common control, management, or arrangement for a continuous 
carriage or shipment to or from a point beyond the zone, is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised of all 
points as follows:
    (a) The Metropolitan Government of Nashville and Davidson County 
itself.
    (b) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the Metropolitan Government of Nashville 
and Davidson County.

             Sec. 41 Consolidated City of Indianapolis, Ind.

    The zone adjacent to and commercially a part of the Consolidated 
City of Indianapolis, Ind., within which transportation by motor 
vehicle, in interstate or foreign commerce, not under a common control, 
management, or arrangement for a continuous carriage or shipment to or 
from a point beyond the zone, is partially exempt from regulation under 
section 203(b)(8) of the Interstate Commerce Act (49 U.S.C. 303(b)(8) 
includes and is comprised of all points as follows:

    (a) The Consolidated City of Indianapolis, Ind., itself.
    (b) All of any municipality wholly surrounded or so surrounded 
except for a water boundary, by the Consolidated City of Indianapolis.

               Sec. 42 Lexington-Fayette Urban County, Ky.

    The zone adjacent to and commercially a part of Lexington-Fayette 
Urban County, Ky., within which transporation by motor vehicle, in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, is partially exempt from regulation under section 
203(b)(8) of the Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes 
and is comprised of all points as follows:

    (a) Lexington-Fayette Urban County, Ky., itself.
    (b) All other municipalities and unincorporated areas within 5 miles 
of the intersection of U.S. Highway 27 (Nicholasville Road) with the 
corporate boundary line between Jessamine County, Ky., and Lexington-
Fayette Urban County, Ky.

                          Sec. 43 Definitions.

    For the purposes of this part, the following terms are defined:
    (a) ``Municipality'' means any city, town, village, or borough which 
has been created by special legislative act or which has been, 
otherwise, individually incorporated or chartered pursuant to general 
State laws, or

[[Page 1223]]

which is recognized as such, under the Constitution or by the laws of 
the State in which located, and which has a local government. It does 
not include a town of the township or New England type.
    (b) ``Contiguous municipalities'' means municipalities, as defined 
in paragraph (a) of this section, which have at some point a common 
municipal or corporate boundary.
    (c) ``Unincorporated area'' means any area not within the corporate 
or municipal boundaries of any municipality as defined in paragraph (a) 
of this section.

     Sec. 44 Commercial zones determined generally, with exceptions.

    The commercial zone of each municipality in the United States, with 
the exceptions indicated in the note at the end of this section, within 
which the transportation of passengers or property, in interstate or 
foreign commerce, when not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
without such zone, is exempt from all provisions of Part II, Interstate 
Commerce Act, except the provisions of section 204 relative to the 
qualifications and maximum hours of service of employees and safety of 
operation or standards of equipment shall be deemed to consist of:
    (a) The municipality itself, hereinafter called the base 
municipality;
    (b) All municipalities which are contiguous to the base 
municipality;
    (c) All other municipalities and all unincorporated area within the 
United States which are adjacent to the base municipality as follows:
    (1) When the base municipality has a population less than 2,500 all 
unincorporated areas within two miles of its corporate limits and all of 
any other municipality any part of which is within two miles of the 
corporate limits of the base municipality,
    (2) When the base municipality has a population of 2,500 but less 
than 25,000, all unincorporated areas within 3 miles of its corporate 
limits and all of any other municipality any part of which is within 3 
miles of the corporate limits of the base municipality,
    (3) When the base municipality has a population of 25,000 but less 
than 100,000, all unincorporated areas within 4 miles of its corporate 
limits and all of any other municipality any part of which is within 4 
miles of the corporate limits of the base municipality, and
    (4) When the base municipality has a population of 100,000 or more, 
all unincorporated areas within 5 miles of its corporate limits and all 
of any other municipality any part of which is within 5 miles of the 
corporate limits of the base municipality, and
    (d) All municipalities wholly surrounded, or so surrounded except 
for a water boundary, by the base municipality, by any municipality 
contiguous thereto, or by any municipality adjacent thereto which is 
included in the commercial zone of such base municipality under the 
provisions of paragraph (c) of this section.

    Note: Except: Municipalities the commercial zones of which have been 
or are hereafter individually or specially determined.

           Sec. 45 Controlling distances and population data.

    In the application of Sec. 372.241:
    (a) Air-line distances or mileages about corporate limits of 
municipalities shall be used.
    (b) The population of any municipality shall be deemed to be the 
highest figure shown for that municipality in any decennial census since 
(and including) the 1940 decennial census.

[53 FR 18058, May 19, 1988, as amended at 62 FR 49942, Sept. 24, 1997]

 Appendix G to Subchapter B of Chapter III--Minimum Periodic Inspection 
                                Standards

    A vehicle does not pass an inspection if it has one of the following 
defects or deficiencies:
    1. Brake System.
    a. Service brakes.--(1) Absence of braking action on any axle 
required to have brakes upon application of the service brakes (such as 
missing brakes or brake shoe(s) failing to move upon application of a 
wedge, S-cam, cam, or disc brake).
    (2) Missing or broken mechanical components including: shoes, 
lining, pads, springs, anchor pins, spiders, cam rollers, push-rods, and 
air chamber mounting bolts.
    (3) Loose brake components including air chambers, spiders, and cam 
shaft support brackets.
    (4) Audible air leak at brake chamber (Example-ruptured diaphragm, 
loose chamber clamp, etc.).
    (5) Readjustment limits. The maximum stroke at which brakes should 
be readjusted is given below. Any brake \1/4\ or more past 
the readjustment limit or any two brakes less than \1/4\ 
beyond the readjustment limit shall be cause for rejection. Stroke shall 
be measured with engine off and reservoir pressure of 80 to 90 psi with 
brakes fully applied.

                      Bolt Type Brake Chamber Data
------------------------------------------------------------------------
                                                                Maximum
                                                               stroke at
                                       Effective    Outside      which
                Type                   area (sq.  dia. (in.)    brakes
                                         in.)                  should be
                                                              readjusted
------------------------------------------------------------------------
A...................................          12    6\15/16\      1\3/8\

[[Page 1224]]

 
B...................................          24     9\3/16\      1\3/4\
C...................................          16     8\1/16\      1\3/4\
D...................................           6      5\1/4\      1\1/4\
E...................................           9     6\3/16\      1\3/8\
F...................................          36          11      2\1/4\
G...................................          30      9\7/8\           2
------------------------------------------------------------------------


                            Rotochamber Data
------------------------------------------------------------------------
                                                                Maximum
                                                               stroke at
                                       Effective    Outside      which
                Type                   area (sq.  dia. (in.)    brakes
                                         in.)                  should be
                                                              readjusted
------------------------------------------------------------------------
 9..................................           9     4\9/32\      1\1/2\
12..................................          12    4\13/16\      1\1/2\
16..................................          16    5\13/32\           2
20..................................          20    5\15/16\           2
24..................................          24    6\13/32\           2
30..................................          30     7\1/16\      2\1/4\
36..................................          36      7\5/8\      2\3/4\
50..................................          50      8\7/8\           3
------------------------------------------------------------------------


                      Clamp Type Brake Chamber Data
------------------------------------------------------------------------
                                                                Maximum
                                                               stroke at
                                       Effective    Outside      which
                Type                   area (sq.  dia. (in.)    brakes
                                         in.)                  should be
                                                              readjusted
------------------------------------------------------------------------
 6..................................           6      4\1/2\      1\1/4\
 9..................................           9      5\1/4\      1\3/8\
12..................................          12    5\11/16\      1\3/8\
16..................................          16      6\3/8\      1\3/4\
20..................................          20    6\25/32\      1\3/4\
24..................................          24     7\7/32\  \1\ 1\3/4\
30..................................          30     8\3/32\           2
36..................................          36           9      2\1/4\
------------------------------------------------------------------------
\1\ (2 for long stroke design).

    Wedge Brake Data.--Movement of the scribe mark on the lining shall 
not exceed \1/16\ inch.
    (6) Brake linings or pads.
    (a) Lining or pad is not firmly attached to the shoe;
    (b) Saturated with oil, grease, or brake fluid; or
    (c) Non-steering axles: Lining with a thickness less than \1/4\ inch 
at the shoe center for air drum brakes, \1/16\ inch or less at the shoe 
center for hydraulic and electric drum brakes, and less than \1/8\ inch 
for air disc brakes.
    (d) Steering axles: Lining with a thickness less than \1/4\ inch at 
the shoe center for drum brakes, less than \1/8\ inch for air disc 
brakes and \1/16\ inch or less for hydraulic disc and electric brakes.
    (7) Missing brake on any axle required to have brakes.
    (8) Mismatch across any power unit steering axle of:
    (a) Air chamber sizes.
    (b) Slack adjuster length.
    b. Parking Brake System. No brakes on the vehicle or combination are 
applied upon actuation of the parking brake control, including driveline 
hand controlled parking brakes.
    c. Brake Drums or Rotors.
    (1) With any external crack or cracks that open upon brake 
application (do not confuse short hairline heat check cracks with 
flexural cracks).
    (2) Any portion of the drum or rotor missing or in danger of falling 
away.
    d. Brake Hose.
    (1) Hose with any damage extending through the outer reinforcement 
ply. (Rubber impregnated fabric cover is not a reinforcement ply). 
(Thermoplastic nylon may have braid reinforcement or color difference 
between cover and inner tube. Exposure of second color is cause for 
rejection.
    (2) Bulge or swelling when air pressure is applied.
    (3) Any audible leaks.
    (4) Two hoses improperly joined (such as a splice made by sliding 
the hose ends over a piece of tubing and clamping the hose to the tube).
    (5) Air hose cracked, broken or crimped.
    e. Brake Tubing.
    (1) Any audible leak.
    (2) Tubing cracked, damaged by heat, broken or crimped.
    f. Low Pressure Warning Device missing, inoperative, or does not 
operate at 55 psi and below, or \1/2\ the governor cut-out pressure, 
whichever is less.
    g. Tractor Protection Valve. Inoperable or missing tractor 
protection valve(s) on power unit.
    h. Air Compressor.
    (1) Compressor drive belts in condition of impending or probable 
failure.
    (2) Loose compressor mounting bolts.
    (3) Cracked, broken or loose pulley.
    (4) Cracked or broken mounting brackets, braces or adapters.
    i. Electric Brakes.
    (1) Absence of braking action on any wheel required to have brakes.
    (2) Missing or inoperable breakaway braking device.
    j. Hydraulic Brakes. (Including Power Assist Over Hydraulic and 
Engine Drive Hydraulic Booster).
    (1) Master cylinder less than \1/4\ full.
    (2) No pedal reserve with engine running except by pumping pedal.
    (3) Power assist unit fails to operate.
    (4) Seeping or swelling brake hose(s) under application of pressure.
    (5) Missing or inoperative check valve.
    (6) Has any visually observed leaking hydraulic fluid in the brake 
system.

[[Page 1225]]

    (7) Has hydraulic hose(s) abraded (chafed) through outer cover-to-
fabric layer.
    (8) Fluid lines or connections leaking, restricted, crimped, cracked 
or broken.
    (9) Brake failure or low fluid warning light on and/or inoperative.
    k. Vacuum Systems. Any vacuum system which:
    (1) Has insufficient vacuum reserve to permit one full brake 
application after engine is shut off.
    (2) Has vacuum hose(s) or line(s) restricted, abraded (chafed) 
through outer cover to cord ply, crimped, cracked, broken or has 
collapse of vacuum hose(s) when vacuum is applied.
    (3) Lacks an operative low-vacuum warning device as required.
    2. Coupling devices.
    a. Fifth Wheels.
    (1) Mounting to frame.
    (a) Any fasteners missing or ineffective.
    (b) Any movement between mounting components.
    (c) Any mounting angle iron cracked or broken.
    (2) Mounting plates and pivot brackets.
    (a) Any fasteners missing or ineffective.
    (b) Any welds or parent metal cracked.
    (c) More than \3/8\ inch horizontal movement between pivot bracket 
pin and bracket.
    (d) Pivot bracket pin missing or not secured.
    (3) Sliders.
    (a) Any latching fasteners missing or ineffective.
    (b) Any fore or aft stop missing or not securely attached.
    (c) Movement more than \3/8\ inch between slider bracket and slider 
base.
    (d) Any slider component cracked in parent metal or weld.
    (4) Lower coupler.
    (a) Horizontal movement between the upper and lower fifth wheel 
halves exceeds \1/2\ inch.
    (b) Operating handle not in closed or locked position.
    (c) Kingpin not properly engaged.
    (d) Separation between upper and lower coupler allowing light to 
show through from side to side.
    (e) Cracks in the fifth wheel plate.
    Exceptions: Cracks in fifth wheel approach ramps and casting 
shrinkage cracks in the ribs of the body of a cast fifth wheel.
    (f) Locking mechanism parts missing, broken, or deformed to the 
extent the kingpin is not securely held.
    b. Pintle Hooks.
    (1) Mounting to frame.
    (a) Any missing or ineffective fasteners (a fastener is not 
considered missing if there is an empty hole in the device but no 
corresponding hole in the frame or vice versa).
    (b) Mounting surface cracks extending from point of attachment 
(e.g., cracks in the frame at mounting bolt holes).
    (c) Loose mounting.
    (d) Frame cross member providing pintle hook attachment cracked.
    (2) Integrity.
    (a) Cracks anywhere in pintle hook assembly.
    (b) Any welded repairs to the pintle hook.
    (c) Any part of the horn section reduced by more than 20%.
    (d) Latch insecure.
    c. Drawbar/Towbar Eye.
    (1) Mounting.
    (a) Any cracks in attachment welds.
    (b) Any missing or ineffective fasteners.
    (2) Integrity.
    (a) Any cracks.
    (b) Any part of the eye reduced by more than 20%.
    d. Drawbar/Towbar Tongue.
    (1) Slider (power or manual).
    (a) Ineffective latching mechanism
    (b) Missing or ineffective stop.
    (c) Movement of more than \1/4\ inch between slider and housing.
    (d) Any leaking, air or hydraulic cylinders, hoses, or chambers 
(other than slight oil weeping normal with hydraulic seals).
    (2) Integrity.
    (a) Any cracks.
    (b) Movement of \1/4\ inch between subframe and drawbar at point of 
attachment.
    e. Safety Devices.
    (1) Safety devices missing.
    (2) Unattached or incapable of secure attachment.
    (3) Chains and hooks.
    (a) Worn to the extent of a measurable reduction in link cross 
section.
    (b) Improper repairs including welding, wire, small bolts, rope and 
tape.
    (4) Cable.
    (a) Kinked or broken cable strands.
    (b) Improper clamps or clamping.
    f. Saddle-Mounts.
    (1) Method of attachment.
    (a) Any missing or ineffective fasteners.
    (b) Loose mountings.
    (c) Any cracks or breaks in a stress or load bearing member.
    (d) Horizontal movement between upper and lower saddle-mount halves 
exceeds \1/4\ inch.
    3. Exhaust System.
    a. Any exhaust system determined to be leaking at a point forward of 
or directly below the driver/sleeper compartment.
    b. A bus exhaust system leaking or discharging to the atmosphere:
    (1) Gasoline powered--excess of 6 inches forward of the rearmost 
part of the bus.
    (2) Other than gasoline powered--in excess of 15 inches forward of 
the rearmost part of the bus.
    (3) Other than gasoline powered--forward of a door or window 
designed to be opened. (exception: Emergency exits).

[[Page 1226]]

    c. No part of the exhaust system of any motor vehicle shall be so 
located as would be likely to result in burning, charring, or damaging 
the electrical wiring, the fuel supply, or any combustible part of the 
motor vehicle.
    4. Fuel System.
    a. A fuel system with a visable leak at any point.
    b. A fuel tank filler cap missing.
    c. A fuel tank not securely attached to the motor vehicle by reason 
of loose, broken or missing mounting bolts or brackets (some fuel tanks 
use springs or rubber bushings to permit movement).
    5. Lighting Devices. All lighting devices and reflectors required by 
Section 393 shall be operable.
    6. Safe Loading.
    a. Part(s) of vehicle or condition of loading such that the spare 
tire or any part of the load or dunnage can fall onto the roadway.
    b. Protection Against Shifting Cargo--Any vehicle without a front-
end structure or equivalent device as required.
    7. Steering Mechanism.
    a. Steering Wheel Free Play (on vehicles equipped with power 
steering the engine must be running).

------------------------------------------------------------------------
                                                   Manual       Power
            Steering wheel diameter               steering     steering
                                                   system       system
------------------------------------------------------------------------
16.................................  2      thn-eq>
18.................................   2\1/4\      thn-eq>
20.................................   2\1/2\      thn-eq>
22.................................   2\3/4\      thn-eq>
------------------------------------------------------------------------

    b. Steering Column.
    (1) Any absence or looseness of U-bolt(s) or positioning part(s).
    (2) Worn, faulty or obviously repair welded universal joint(s).
    (3) Steering wheel not properly secured.
    c. Front Axle Beam and All Steering Components Other Than Steering 
Column.
    (1) Any crack(s).
    (2) Any obvious welded repair(s).
    d. Steering Gear Box.
    (1) Any mounting bolt(s) loose or missing.
    (2) Any crack(s) in gear box or mounting brackets.
    e. Pitman Arm. Any looseness of the pitman arm on the steering gear 
output shaft.
    f. Power Steering. Auxiliary power assist cylinder loose.
    g. Ball and Socket Joints.
    (1) Any movement under steering load of a stud nut.
    (2) Any motion, other than rotational, between any linkage member 
and its attachment point of more than \1/4\ inch.
    h. Tie Rods and Drag Links.
    (1) Loose clamp(s) or clamp bolt(s) on tie rods or drag links.
    (2) Any looseness in any threaded joint.
    i. Nuts. Nut(s) loose or missing on tie rods, pitman arm, drag link, 
steering arm or tie rod arm.
    j. Steering System. Any modification or other condition that 
interferes with free movement of any steering component.
    8. Suspension.
    a. Any U-bolt(s), spring hanger(s), or other axle positioning 
part(s) cracked, broken, loose or missing resulting in shifting of an 
axle from its normal position. (After a turn, lateral axle displacement 
is normal with some suspensions. Forward or rearward operation in a 
straight line will cause the axle to return to alignment).
    b. Spring Assembly.
    (1) Any leaves in a leaf spring assembly broken or missing.
    (2) Any broken main leaf in a leaf spring assembly. (Includes 
assembly with more than one main spring).
    (3) Coil spring broken.
    (4) Rubber spring missing.
    (5) One or more leaves displaced in a manner that could result in 
contact with a tire, rim, brake drum or frame.
    (6) Broken torsion bar spring in a torsion bar suspension.
    (7) Deflated air suspension, i.e., system failure, leak, etc.
    c. Torque, Radius or Tracking Components. Any part of a torque, 
radius or tracking component assembly or any part used for attaching the 
same to the vehicle frame or axle that is cracked, loose, broken or 
missing. (Does not apply to loose bushings in torque or track rods.)
    9. Frame.
    a. Frame Members.
    (1) Any cracked, broken, loose, or sagging frame member.
    (2) Any loose or missing fasteners including fasteners attaching 
functional component such as engine, transmission, steering gear, 
suspension, body parts, and fifth wheel.
    b. Tire and Wheel Clearance. Any condition, including loading, that 
causes the body or frame to be in contact with a tire or any part of the 
wheel assemblies.
    c. (1) Adjustable Axle Assemblies (Sliding Subframes). Adjustable 
axle assembly with locking pins missing or not engaged.
    10. Tires.
    a. Any tire on any steering axle of a power unit.
    (1) With less than \4/32\ inch tread when measured at any point on a 
major tread groove.
    (2) Has body ply or belt material exposed through the tread or 
sidewall.
    (3) Has any tread or sidewall separation.
    (4) Has a cut where the ply or belt material is exposed.
    (5) Labeled ``Not for Highway Use'' or displaying other marking 
which would exclude use on steering axle.

[[Page 1227]]

    (6) A tube-type radial tire without radial tube stem markings. These 
markings include a red band around the tube stem, the word ``radial'' 
embossed in metal stems, or the word ``radial'' molded in rubber stems.
    (7) Mixing bias and radial tires on the same axle.
    (8) Tire flap protrudes through valve slot in rim and touches stem.
    (9) Regrooved tire except motor vehicles used solely in urban or 
suburban service (see exception in 393.75(e).
    (10) Boot, blowout patch or other ply repair.
    (11) Weight carried exceeds tire load limit. This includes 
overloaded tire resulting from low air pressure.
    (12) Tire is flat or has noticeable (e.g., can be heard or felt) 
leak.
    (13) Any bus equipped with recapped or retreaded tire(s).
    (14) So mounted or inflated that it comes in contact with any part 
of the vehicle.
    b. All tires other than those found on the steering axle of a power 
unit:
    (1) Weight carried exceeds tire load limit. This includes overloaded 
tire resulting from low air pressure.
    (2) Tire is flat or has noticeable (e.g., can be heard or felt) 
leak.
    (3) Has body ply or belt material exposed through the tread or 
sidewall.
    (4) Has any tread or sidewall separation.
    (5) Has a cut where ply or belt material is exposed.
    (6) So mounted or inflated that it comes in contact with any part of 
the vehicle. (This includes a tire that contacts its mate.)
    (7) Is marked ``Not for highway use'' or otherwise marked and having 
like meaning.
    (8) With less than \2/32\ inch tread when measured at any point on a 
major tread groove.
    11. Wheels and Rims.
    a. Lock or Side Ring. Bent, broken, cracked, improperly seated, 
sprung or mismatched ring(s).
    b. Wheels and rims. Cracked or broken or has elongated bolt holes.
    c. Fasteners (both spoke and disc wheels). Any loose, missing, 
broken, cracked, stripped or otherwise ineffective fasteners.
    d. Welds.
    (1) Any cracks in welds attaching disc wheel disc to rim.
    (2) Any crack in welds attaching tubeless demountable rim to 
adapter.
    (3) Any welded repair on aluminum wheel(s) on a steering axle.
    (4) Any welded repair other than disc to rim attachment on steel 
disc wheel(s) mounted on the steering axle.
    12. Windshield Glazing. (Not including a 2 inch border at the top, a 
1 inch border at each side and the area below the topmost portion of the 
steering wheel.) Any crack, discoloration or vision reducing matter 
except: (1) coloring or tinting applied at time of manufacture; (2) any 
crack not over \1/4\ inch wide, if not intersected by any other crack; 
(3) any damaged area not more than \3/4\ inch in diameter, if not closer 
than 3 inches to any other such damaged area; (4) labels, stickers, 
decalcomania, etc. (see 393.60 for exceptions).
    13. Windshield Wipers. Any power unit that has an inoperative wiper, 
or missing or damaged parts that render it ineffective.

  Comparison of Appendix G, and the new North American Uniform Driver-
Vehicle Inspection Procedure (North American Commercial Vehicle Critical 
          Safety Inspection Items and Out-Of-Service Criteria)

    The vehicle portion of the FMCSA's North American Uniform Driver-
Vehicle Inspection Procedure (NAUD-VIP) requirements, CVSA's North 
American Commercial Vehicle Critical Safety Inspection Items and Out-Of-
Service Criteria and Appendix G of subchapter B are similar documents 
and follow the same inspection procedures. The same items are required 
to be inspected by each document. FMCSA's and CVSA's out-of-service 
criteria are intended to be used in random roadside inspections to 
identify critical vehicle inspection items and provide criteria for 
placing a vehicle(s) out-of-service. Avehicle(s) is placed out-of-
service only when by reason of its mechanical condition or loading it is 
determined to be so imminently hazardous as to likely cause an accident 
or breakdown, or when such condition(s) would likely contribute to loss 
of control of the vehicle(s) by the driver. A certain amount of 
flexibility is given to the inspecting official whether to place the 
vehicle out-of-service at the inspection site or if it would be less 
hazardous to allow the vehicle to proceed to a repair facility for 
repair. The distance to the repair facility must not exceed 25 miles. 
The roadside type of inspection, however, does not necessarily mean that 
a vehicle has to be defect-free in order to continue in service.
    In contrast, the Appendix G inspection procedure requires that all 
items required to be inspected are in proper adjustment, are not 
defective and function properly prior to the vehicle being placed in 
service.

    Differences Between the Out-of-Service Criteria & FMCSA's Annual 
                               Inspection

    1. Brake System.
    The Appendix G criteria rejects vehicles with any defective brakes, 
any air leaks, etc. The out-of-service criteria allows 20% defective 
brakes on non-steering axles and a certain latitude on air leaks before 
placing a vehicle out-of-service.
    2. Coupling Devices.

[[Page 1228]]

    Appendix G rejects vehicles with any fifth wheel mounting fastener 
missing or ineffective. The out-of-service criteria allows up to 20% 
missing or ineffective fasteners on frame mountings and pivot bracket 
mountings and 25% on slider latching fasteners. The out-of-service 
criteria also allows some latitude on cracked welds.
    3. Exhaust System.
    Appendix G follows Section 393.83 verbatim. The CVSA out-of-service 
criteria allows vehicles to exhaust forward of the dimensions given in 
Section 393.83 as long as the exhaust does not leak or exhaust under the 
chassis.
    4. Fuel System.
    Same for Appendix G and the out-of-service criteria.
    5. Lighting Devices.
    Appendix G requires all lighting devices required by Section 393 to 
be operative at all times. The out-of-service criteria only requires one 
stop light and functioning turn signals on the rear most vehicle of a 
combination vehicle to be operative at all times. In addition one 
operative head lamp and tail lamp are required during the hours of 
darkness.
    6. Safe Loading.
    Same for both Appendix G and the out-of-service criteria.
    7. Steering Mechanism
    Steering lash requirements of Appendix G follows the new 
requirements of Sec. 393.209.
    8. Suspension
    Appendix G follows the new requirements of Sec. 393.207 which does 
not allow any broken leaves in a leaf spring assembly. The out-of-
service criteria allows up to 25% broken or missing leaves before being 
placed out-of-service.
    9. Frame
    The out-of-service criteria allows a certain latitude in frame 
cracks before placing a vehicle out-of-service. Appendix G follows the 
new requirements of 393.201 which does not allow any frame cracks.
    10. Tires
    Appendix G follows the requirements of 393.75 which requires a tire 
tread depth of \4/32\ inch on power unit steering axles and \2/32\ inch 
on all other axles. The out-of-service criteria only requires \2/32\ 
inch tire tread depth on power unit steering axles and \1/32\ inch on 
all other axles.
    11. Wheel and Rims
    The out-of-service criteria allows a certain amount latitude for 
wheel and rim cracks and missing or defective fasteners. Appendix G 
meets the requirements of the new 393.205 which does not allow defective 
wheels and rims non-effective nuts and bolts.
    12. Windshield Glazing
    The out-of-service criteria places in a restricted service condition 
any vehicle that has a crack or discoloration in the windshield area 
lying within the sweep of the wiper on the drivers side and does not 
address the remaining area of the windshield. Appendix G addresses 
requirements for the whole windshield as specified in 393.60.
    13. Windshield Wipers
    Appendix G requires windshield wipers to be operative at all times. 
The out-of-service criteria only requires that the windshield wiper on 
the driver's side to be inspected during inclement weather.

[53 FR 49411, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988]


[[Page 1229]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 1231]]

            Material Approved for Incorporation by Reference

                     (Revised as of October 1, 2003)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


49 CFR (PARTS 200-399)

FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
                                                                  49 CFR


American Association of Motor Vehicle Administrators, Inc.

  4301 Wilson Boulevard, Suite 400, Arlington, 
  Virginia 22203
The Commercial Driver License Information System        384.107, 384.231
  (CDLIS).


American National Standards Institute (ANSI)

  25 West 43rd Street, Fourth floor, New York, NY 
  10036 Telephone: (212) 642-4900
ANSI Z41-1991, American National Standard for                    214.115
  Personal Protection-Protective Footwear.
ANSI Z87.1-1989, Practice for Occupational and                   214.117
  Educational Eye and Face Protection.
ANSI Z89.1-1986, Protective Headwear for                         214.113
  Industrial Workers.


American Public Transit Association

  1201 New York Avenue NW., Washington, DC 20005
APTA Standard SS-M-005-98, Code of Tests for                     238.311
  Passenger Car Equipment Using Single Car Testing 
  Device (March 1998).


American Society for Testing and Materials

  100 Barr Harbor Drive, West Conshohocken, PA, 
  19428-2959, Telephone (610) 832-9585, FAX (610) 
  832-9555
  Federal Railroad Administration, Office of the 
  Associate Administrator, Nassif Bldg., 400 
  Seventh St. SW., Washington, DC 20590
ASTM C 90-70 Standard Specification for Hollow      Part 223, Appendix A
  Load-Bearing Concrete Masonry Units.
ASTM C 33-77 Standard Specification for             Part 223, Appendix A
  Lightweight Aggregates for Concrete Masonry 
  Units.
ASTM C 1166-00, Standard Test Method for Flame      Part 238, Appendix B
  Propagation of Dense and Cellular Elastomeric 
  Gaskets and Accessories.
ASTM D 2724-87, Standard Test Methods for Bonded,   Part 238, Appendix B
  Fused, and Laminated Apparel Fabrics.
ASTM D 3574-95, Standard Test Methods for Flexible  Part 238, Appendix B
  Cellular Materials--Slab, Bonded, and Molded 
  Urethane Foams.
ASTM D 3675-98, Standard Test Method for Surface    Part 238, Appendix B
  Flammability of Flexible Cellular Materials 
  Using Radiant Heat Energy Source.
ASTM D 3953-97 Standard Specification for                 393.7; 393.104
  Strapping, Flat Steel and Seals.
ASTM E 119-00a, Standard Test Methods for Fire      Part 238, Appendix B
Tests of Building Construction and Materials.
[[Page 1232]]

ASTM E 162-98, Standard Test Method for Surface     Part 238, Appendix B
  Flammability of Materials Using a Radiant Heat 
  Energy Source.
ASTM E 648-00, Standard Test Method for Critical    Part 238, Appendix B
  Radiant Flux of Floor-Covering Systems Using a 
  Radiant Heat Energy Source.
ASTM E 662-01, Standard Test Method for Specific    Part 238, Appendix B
  Optical Density of Smoke Generated by Solid 
  Materials.
ASTM E 1354-99, Standard Test Method for Heat and   Part 238, Appendix B
  Visible Smoke Release Rates for Materials and 
  Products Using an Oxygen Consumption 
  Calorimeter.
ASTM E 1537-99, Standard Test Method for Fire       Part 238, Appendix B
  Testing of Upholstered Furniture.
ASTM E 1590-01, Standard Test Method for Fire       Part 238, Appendix B
  Testing of Mattresses.
ASTM E 648-00, Standard Test Method for Critical    Part 238, Appendix B
  Radiant Flux of Floor-covering Systems Using a 
  Radiant Heat Energy Source.
ASTM E 662-01, Standard Test Method for Specific    Part 238, Appendix B
  Optical Density of Smoke Generated by Solid 
  Materials.


American Society of Mechanical Engineers

  Three Park Avenue, New York, NY 10016-5990; 
  Telephone: (800) THE-ASME
Boiler and Pressure Vessel Code (1971 Ed.):
  Section II, Part B, page 123                              229.51(a)(1)
  Section VIII, Division I                                  229.51(a)(2)


Association of American Railroads

  50 F St. NW, Washington, DC 20001
AAR Manual of Standards and Recommended Practices, Section E, January 1, 
  2001
  AAR Standard S-486-01, Section 3.0: ``Tests--Standard Freight B232.305
  Equipment'', January 1, 2001.
  AAR Standard S-486-01, Section 4.0: ``Special Tests'', January 232.305
  AAR Standard S-469-47, ``Performance Specification for Freight 232.103
  Brakes'', April 1, 1999.
AAR Code of Rules for Cars in Interchange, 1979...             232.17(b)
AAR Code of Tests, Instruction Pamphlet No. 5039-              232.17(a)
  4, Sup. 1, Single Car Testing Device, 1974.
AAR Railway Signaling Principles and Practices,                235.12(b)
  Ch. 2: Symbols, Aspects and Indications, 1956.


Cordage Institute

  350 Lincoln Street, 115, Hingham, MA 
  02043
PETRS-2 Polyester Fiber Rope, 3-Strand and 8-             393.7; 393.104
  Strand Constructions, January, 1993.
PPRS-2 Polypropylene Fiber Rope, 3-Strand and 8-          393.7; 393.104
  Strand Constructions, August, 1992.
CRS-1 Polyester/Polypropylene Composite Rope              393.7; 393.104
  Specifications, Three- and Eight-Strand Standard 
  Construction, May 1979.
NRS-1 Nylon Rope Specifications, Three- and Eight-        393.7; 393.104
  Strand Standard Construction, May 1979.
C1 Double Braided Nylon Rope Specifications, DBN-         393.7; 393.104
  January 1984.


General Services Administration

  Federal Supply Service, Specification Section, 
  470 East L'Enfant Plaza, SW., Suite 8100, 
  Washington, DC 20407

[[Page 1233]]

FED-STD-191A, Textile Test Method 5830, Leaching    Part 238, Appendix B
  Resistance of Cloth; Standard Method, July 20, 
  1978.


Illuminating Engineering Society (IES)

  Federal Railroad Administration, Office of the 
  Associate Administrator, Nassif Bldg., 400 
  Seventh St. SW., Washington, DC 20590
IES Guide for Calculating the Effective Intensity               221.5(h)
  of Flashing Signal Lights, Nov. 1964.


Institute of Electircal and Electronics Engineers, Inc. (IEEE)

  345 East 47th Street, New York, NY 10017
ANSI/IEEE Std. 383-1974, IEEE Standard for Type     Part 238, appendix B
  Test of Class 1E Electrical Cables, Field 
  Splices, and Connections for Nuclear Power 
  Generating Stations.


National Association of Chain Manufacturers

  P.O. Box 3143, York, PA 17402-0143
Welded Steel Chain Specifications, November 15,           393.7; 393.104
  1999.


National Electrical Manufacturers Association (NEMA)

  1300 North 17th Street, Suite 1847, Rosslyn, VA 
  22209; Telephone: (703) 841-3200; FAX: (703) 
  841-3300
NEMA WC 3/ICEA S-19-1981, Rubber Insulated Wire     Part 238, appendix B
  and Cable for the Transmission and Distribution 
  of Electrical Energy (part 6, section 19, 
  paragraph 6) Revision 1, 6th edition, February 
  1994.


State of California Department of Consumer Affairs

  Bureau of Home Furnishings and Thermal 
  Insulation, 3485 Orange Grove Ave., North 
  Highlands, CA 95660-5595
California Technical Bulletin (CAL TB)129,          Part 238, Appendix B
  Flammability Test Procedure for Mattresses for 
  Use in Public Buildings, October 1992.
California Technical Bulletin 133, Flammability     Part 238, Appendix B
  Test Procedure for Seating Furniture for Use in 
  Public Occupancies, January 1991.


Underwriters Laboratories, Inc. (UL)

  333 Pfingsten Road, Northbrook, IL 60062-2096
UL 44, Standard for Safety of Thermoset-Insulated   Part 238, Appendix B
  Wires and Cables, 14th edition, January 27, 
  1997.
UL 83, Standard for Safety for Thermoplastic-       Part 238, Appendix B
  Insulated Wires and Cables, 12th edition, 
  September 29, 1998.
Highway Emergency Signals, Fourth Edition, UL 912,      393.7; 393.95(j)
  July 30, 1979 (with an amendment dated November 
  9, 1981).
  Available from: Global Engineering Documents, 15 
  Inverness Way East, Englewood, CO 80112, 
  Telephone (800) 854-7179 or
  Global Engineering Documents, 7730 Carondelet 
  Ave., Suite 470, Clayton, MO 63105, Telephone 
  (800) 854-7179
UL 912 Highway Emergency Signals, fourth edition,          393.7; 393.95
  revised July 30, 1979.


Web Sling and Tiedown Association, Inc

  710 East Ogden Avenue, Suite 113, Naperville, IL 
  60563
 Recommended Standard Specification for Synthetic         393.7; 393.104
  Web Tiedowns, WSTDA-T1, 1991 edition (Revised 
  1998).


Wire Rope Technical Board

  Wire Rope Technical Committee, P.O. Box 849, 
  Stevensville, MD 21666
Wire Rope Users Manual (2nd Edition, November             393.7; 393.104
  1985).



[[Page 1235]]



                    Table of CFR Titles and Chapters




                     (Revised as of October 1, 2003)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2 [Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3201)
     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)

[[Page 1236]]

    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
        LV  National Endowment for the Arts (Part 6501)
       LVI  National Endowment for the Humanitiess (Part 6601)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
     LXVII  Institute of Museum and Library Services (Part 7701)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
    LXXIII  Department of Agriculture (Part 8301)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                      Title 6--Homeland Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 0--99)

[[Page 1237]]

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)

[[Page 1238]]

      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--599)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1400)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 1000-
                -1099)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Part 1800)

[[Page 1239]]

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)

[[Page 1240]]

            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

[[Page 1241]]

                       Title 19--Customs Duties

         I  Bureau of Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Bureau of Immigration and Customs Enforcement, 
                Department of Homeland Security (Parts 400--599)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 800-
                -899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)

[[Page 1242]]

       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 1600-
                -1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)

[[Page 1243]]

         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--899)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--299)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)

[[Page 1244]]

      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 0-
                -99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)

[[Page 1245]]

            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 200-
                -399)
        IV  Secret Service, Department of the Treasury (Parts 400-
                -499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 1-
                -199)
        II  Corps of Engineers, Department of the Army (Parts 200-
                -399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)

[[Page 1246]]

            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 300-
                -399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Part 1501)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

[[Page 1247]]

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)

[[Page 1248]]

       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-70)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)

[[Page 1249]]

        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 1-
                -199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 300-
                -399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)

[[Page 1250]]

         7  United States Agency for International Development 
                (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

[[Page 1251]]

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (Parts 
                400--499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)
        XI  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1599)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 1253]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of October 1, 2003)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            5, LXXIII
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX

[[Page 1254]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               44, IV
  Census Bureau                                   15, I
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV, VI
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Corporation for National and Community Service    45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs and Border Protection Bureau              19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII

[[Page 1255]]

  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
District of Columbia, Court Services and          28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   5, LIV; 40, I, IV, VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                5, III, LXXVII; 14, VI; 
                                                  48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II

[[Page 1256]]

  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5

[[Page 1257]]

  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V; 42, I
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  6, I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection Bureau            19, I
  Federal Emergency Management Agency             44, I
  Immigration and Customs Enforcement Bureau      19, IV
  Immigration and Naturalization                  8, I
  Transportation Security Administration          49, XII
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Human Development Services, Office of             45, XIII
Immigration and Customs Enforcement Bureau        19, IV
Immigration and Naturalization                    8, I
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V; 42, I
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General

[[Page 1258]]

  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I, XI; 40, 
                                                  IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A

[[Page 1259]]

  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   45, XII, XXV
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV, VI
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
   Commission
[[Page 1260]]

Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV

[[Page 1261]]

Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection Bureau            19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 1263]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
2001, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 2001, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, 1973-1985, and 1986-2000'' published in 
11 separate volumes.

                                  2001

49 CFR
                                                                   66 FR
                                                                    Page
Chapter II
213.110 Added.......................................................1899
    (j)(1) and (m) introductory text correctly added................8372
    Regulations at 66 FR 1899 and 8372 eff. date delayed............9676
219 Policy statement...............................................41955
    Revised........................................................41973
225.19 (c) amended; (e) revised....................................66348
225 Appendix B revised.............................................66348
229 Authority citation revised......................................4192
229.5 (p) added.....................................................4192
    Regulation at 66 FR 4192 eff. date delayed......................9906
229.25 (a) revised..................................................4192
    Regulation at 66 FR 4192 eff. date delayed......................9906
229.27 (b) revised..................................................4192
    Regulation at 66 FR 4192 eff. date delayed......................9906
229.53 Revised......................................................4192
    Regulation at 66 FR 4192 eff. date delayed......................9906
231 Authority citation revised......................................4192
231.0 (b)(3), (4), (5) and (g) added................................4192
    Regulation at 66 FR 4192 eff. date delayed......................9906
231.31 Added........................................................4192
    Regulation at 66 FR 4192 eff. date delayed......................9906
231 Appendix A amended..............................................4193
    Regulation at 66 FR 4193 eff. date delayed......................9906
232 Revised.........................................................4193
    Regulation at 66 FR 4193 eff. date delayed; Appendix B heading 
revised.............................................................9906
232.1 (b) and (d) amended...........................................9906
232.303 (a)(1)(iv), (e) introductory text, (1) introductory text, 
        (iv) and (f) introductory text revised.....................39687
232.305 Revised....................................................39688
232.307 Revised....................................................39688
232.309 Heading and (a) revised....................................39689
232.409 (c) amended................................................29502
232 Appendix A amended.............................................39689
233.9 Regulation at 61 FR 33872 confirmed..........................49557
234.215 Revised....................................................49560
234.247 (b) revised................................................49560
235.7 Regulation at 61 FR 33872 confirmed..........................49557
236.590 Regulation at 61 FR 33873 confirmed........................49557
241 Added; interim.................................................63959
Chapter III
325 Nomenclature change; authority citation revised................49869
325.13 (d)(3) revised..............................................49869
325.93 (b) amended.................................................49869
355 Appendix A amended.............................................49870
356 Authority citation revised.....................................49870
356.13 Amended.....................................................49870
360 Nomenclature change; authority citation revised................49870
360.1 (c) and (d)(2) amended.......................................49870
360.3 (a)(2) revised...............................................49870
360.5 (d)(4) amended...............................................49870
365 Nomenclature change; authority citation revised................49870

[[Page 1264]]

365.105 Revised....................................................49870
365.107 (g) note amended...........................................49870
365.109 (a)(4) amended.............................................49870
365.117 Amended....................................................49870
365.205 (d) amended................................................49870
365.301 Amended....................................................49870
365.413 (a) introductory text, (b) introductory text and (5) 
        amended....................................................49870
366 Authority citation revised.....................................49870
366.5 Amended......................................................49870
367 Authority citation revised.....................................49870
367 Appendix A amended.............................................49870
370 Authority citation revised.....................................49870
370.7 (b) amended..................................................49871
371 Authority citation revised.....................................49871
371.10 Amended.....................................................49871
372 Authority citation revised.....................................49871
372.107 (a), (b) and (e) amended...................................49871
372.109 Introductory text and (b) amended..........................49871
372.231 Amended....................................................49871
373 Authority citation revised.....................................49871
374 Authority citation revised.....................................49871
374.303 (g) amended................................................49871
374.311 (b) amended................................................49871
374.315 Amended....................................................49871
374.319 (a) and (b) amended........................................49871
374.403 (b) amended................................................49871
375 Nomenclature change............................................49871
375.1 (b)(8) amended...............................................49871
375.2 (b)(1) and (2) amended.......................................49871
375.5 (a) introductory text amended................................49871
375.17 (b) amended.................................................49871
375.18 (a), (b) and (c) amended....................................49871
376 Nomenclature change; authority citation revised................49871
377 Authority citation revised.....................................49871
377.201 (a) amended................................................49871
377.215 (c)(2) and (3)(iii) amended................................49871
378 Authority citation revised.....................................49871
379 Authority citation revised.....................................49871
379 Appendix A amended.............................................49871
381 Nonmenclature change; authority citation revised...............49872
381.200 (d)(3) amended.............................................49872
381.210 (c)(4) amended.............................................49872
382 Policy statement...............................................41955
    Revised........................................................43102
383 Authority citation revised.....................................49872
383.5 Amended......................................................49872
383.53 (b)(1) and (2) amended......................................49872
383.72 Revised.....................................................49872
383.73 (a)(3)(iii) introductory text amended; (a)(4) revised.......49872
383.75 (a)(2)(i) amended...........................................49872
384 Nonmenclature change; authority citation revised...............49872
384.303 Removed....................................................49872
384.305 (a) amended................................................49872
385 Nomenclature change............................................49873
385.19 (b) amended; (c) revised....................................49872
385 Appendix B amended.............................................49873
386.37 Amended.....................................................49872
386.54 (b) introductory text revised...............................49872
387.301--387.323 (Subpart C) Authority citation removed............49872
387.401--387.419 (Subpart D) Authority citation removed............49872
387 Nomenclature change............................................49873
387.7 (d)(3) amended...............................................49873
387.15 Illustrations I and II amended..............................49873
387.17 Amended.....................................................49873
387.41 Amended.....................................................49873
387.301 (a)(1), (b) and (c) amended................................49873
387.307 (c) amended................................................49873
387.311 (c) amended................................................49873
387.313 (a)(3) and (5) amended; cross reference removed............49873
387.321 Amended....................................................49873
387.323 (c) introductory text revised..............................49873
388 Nomenclature change; authority citation revised................49873
388.1 Amended......................................................49873
388.5 (a) amended..................................................49873
389 Nomenclature change; authority citation revised................49873
390 Authority citation revised......................................2766
    Nomenclature change............................................49873
390.3 (f)(6) revised................................................2766
    Regulation at 66 FR 2766 eff. date delayed......................9677
390.5 Amended.......................................................2766
    Regulation at 66 FR 2766 eff. date delayed......................9677
    Amended........................................................49873
390.16 Amended.....................................................49873
390.19 (a)(4) removed..............................................49873
391 Nomenclature change............................................49874
391.31 (f) amended.................................................49874
391.47 (c), (d)(1), (2) and (f) amended............................49874
391.51 (b)(8) amended..............................................49874
392 Authority citation revised.....................................49874
392.2 Amended......................................................49874
392.5 (d)(2) and (e) amended.......................................49874
392.7 Amended......................................................49874

[[Page 1265]]

393 Authority citation revised.....................................30339
    Nomenclature change............................................49874
393.13 (a) revised.................................................30339
393.47 Amended.....................................................49874
393.80 (b)(3) amended..............................................49874
395 Nomenclature change; authority citation revised................49874
395.3 (a) introductory text amended................................49874
395.13 (c)(2) amended..............................................49874
396 Nomenclature change; authority citation revised................49874
397 Nomenclature change; authority citation revised................49874
397.71 Footnote 1 amended..........................................49874
397.73 (b) amended.................................................49874
397.75 (b)(1) amended..............................................49874
397.101 (g) introductory text revised..............................49874
397.103 (c) and (d) revised........................................49874
397.205 (b)(1) amended.............................................49875
397.213 (b)(1) amended.............................................49875
398 Nomenclature changes; authority citation revised...............49875
399 Authority citation revised.....................................49875
350--399 (Subchapter B) Appendixes B, F and G amended..............49875

                                  2002

  (Regulations published from January 1, 2002, through October 1, 2002)

49 CFR
                                                                   66 FR
                                                                    Page
Chapter II
214.7 Revised; interim..............................................1906
214.103 Revised; interim............................................1906
214.105 Revised; interim............................................1906
    (b)(14) corrected.......................................11055, 30819
214.107 (a) and (b) revised; interim................................1908
214.111 Revised; interim............................................1908
214.113 Revised; interim............................................1908
214.115 Revised; interim............................................1908
214.117 Revised; interim............................................1908
    (a) corrected...........................................11055, 30819
214.302 Heading corrected...........................................1908
216 Authority citation revised.....................................19989
216.17 Revised.....................................................19989
216.23 Revised.....................................................19989
219 Policy statement..................................................21
    Technical correction............................................1116
225.19 (c) amended; (e) revised; interim...........................79536
225 Appendix B revised; interim....................................79536
229.5 Amended......................................................16049
229.9 (g) added....................................................16050
229.21 (a) and (b) amended.........................................16050
229.137 Added......................................................16050
229.139 Added......................................................16050
229 Appendix B amended.............................................16052
232.5 Amended......................................................17580
232.15 (b)(1) and (g) revised......................................17580
232.17 (a), (b) introductory text, (2), (3), (d)(2) introductory 
        text, (i), (g)(1) and (2) revised..........................17580
232.103 (p) removed; (n)(2), (3) and (o) revised...................17581
232.109 (a), (g), (h) and (j)(2) revised...........................17581
232.203 (b)(6) and (8) revised; (e)(6) removed; (e)(7) through (9) 
        redesignated as (e)(6) through (8).........................17581
232.205 (f) removed; (b) through (e) redesignated as (c) through 
        (f); (a) introductory text, (2)(i), new (c)(2) and (4) 
        revised; new (b) added.....................................17582
232.207 (b)(1) and (4) revised.....................................17582
232.209 (a)(3), (b)(1) and (3) revised; (a)(4) added; (d) amended 
                                                                   17583
232.211 (d) added; (a)(4), (5) and (b)(1) revised..................17583
232.213 (a)(6) and (7) amended.....................................17583
232.215 (a)(3) revised.............................................17583
232.217 (c) introductory text and (1) and (3) revised..............17583
232.219 (c)(2) revised.............................................17584
232.303 (a)(2) revised.............................................17584
232.407 (g)(2) added...............................................17584
232.409 (c) and (d) revised........................................17584
232 Appendices A and B amended.....................................17584
238 Revised........................................................19989
    Authority citation revised.....................................42909
238.1 (c) revised..................................................19989
238.5 Amended......................................................19989
238.15 (e)(2) revised..............................................19990
238.103 (a)(3) added; (c) heading, introductory text, (1), (2), 
        (7), (8), (9), (d) heading, (1), (2)(i), (3)(i), (4) and 
        (5) revised................................................42909
238.105 Revised....................................................19990
238.109 (b)(6) revised.............................................19990
238.113 (a)(3), (b) and (c) revised................................19990
238.201 (a)(2) revised.............................................19990
238.203 (h)(1) revised.............................................19991
238.205 (b) revised................................................19991
238.211 (a)(1)(i) and (2) revised..................................19991

[[Page 1266]]

238.219 Revised....................................................19991
238.223 Revised....................................................19991
238.235 (a)(3) and (d) revised.....................................19991
238.237 (d) introductory text and (1)(i) revised...................19991
238.315 (c) and (f)(3) revised.....................................19991
238.317 (d)(2) revised.............................................19991
238.411 (b)(1) revised.............................................19991
238.419 (a) revised................................................19992
238.421 (b) introductory text, (1), (2), (c) introductory text, 
        (1) and (3)(ii) revised....................................19992
238.427 (b), (c) heading and (d) revised; (e) removed..............19992
238.429 (f)(3) revised.............................................19992
238.433 Revised....................................................19993
238.435 (i) revised................................................19992
238.437 (a) revised................................................19993
238.439 (g) revised................................................19993
238.503 (f) revised................................................19994
238.603 (a)(3) and (b)(4) revised..................................19994
238 Appendix A amended.............................................19994
    Appendix B revised.............................................42910
240.7 Amended; interim................................................24
241 Added..........................................................75960
244 Added..........................................................11604
244.13 (j) introductory text revised...............................68045
244.19 (c)(1) revised..............................................68045
Chapter III
350 Authority citation revised................12779, 49755, 55165, 61820
    Regulation at 67 FR 12779 eff. date delayed to 7-17-02.........41196
350.201 (t) revised; interim.......................................55165
    (m) and (t)(1) amended.........................................61820
350.211 (17) added; interim........................................12779
    Regulation at 67 FR 12779 eff. date delayed to 7-17-02.........41196
    (15) amended...................................................61820
350.213 (b) introductory text amended..............................61820
    Corrected......................................................63019
350.217 Added......................................................49755
360.3 (a)(2), (iii) introductory text, (f) and (g)(2) amended......61820
365 Authority citation revised.....................................12714
365.101 (h) revised; interim.......................................12714
    (b), and (g) amended; (c) removed..............................61820
365.105 (a) revised; interim.......................................12714
    (a) amended; (b) revised.......................................61820
365.107 (f) removed; (g) and section note redesignated as (f) and 
        (g); (e) introductory text, new (f) and (g) amended........61820
365.109 (a)(7) amended.............................................61820
365.401 Amended....................................................61820
365.403 (b)(1) and (2) amended.....................................61821
365.405 (a)(1) revised; (a)(2) and (b)(1)(ii) amended..............61821
365.411 (b) amended................................................61821
365.413 Heading revised............................................61821
365.501--365.511 (Subpart E) Added; interim........................12714
368 Revised........................................................12660
372.303 Heading revised............................................61821
377.215 (c) heading amended........................................61821
382.305 (i)(3) amended.............................................61821
382.401 (d) amended................................................61821
383 Authority citation revised.....................................61821
    (f)(3)(i)(C) revised...........................................49755
383.3 (f)(3)(i)(A) amended.........................................61821
383.5 Amended......................................................49755
383.7 Added........................................................49756
383.23 (a)(2) and (b) revised......................................49756
383.51 Revised.....................................................49756
383.52 Added.......................................................49756
383.53 (b)(1) revised..............................................49756
383.71 (a)(6), (7), (b)(3), (4) and (c)(3 amended; (a)(8), (b)(5) 
        and (c)(4) added...........................................49759
383.73 (a)(3) revised..............................................49760
383.77 (a)(3) revised..............................................49760
383.93 (b)(3), (4), (c)(3) and (4) revised; (b)(5) and (c)(5) 
        added......................................................49760
383.123 Added......................................................49760
383.153 (a)(9)(v) revised; (a)(9)(vi) redesignated as (a)(9)(vii); 
        new (a)(9)(vi) added.......................................49760
384 Authority citation revised.....................................49761
384.107 Added......................................................49761
384.203 Revised....................................................49761
384.206 (a)(2) revised.............................................49761
384.208 Added......................................................49761
384.209 Revised....................................................49761
384.210 Revised....................................................49761
384.213 Revised....................................................49761
384.215 (a) revised................................................49762
384.216 Revised....................................................49762
384.217 Revised....................................................49762
384.218 Revised....................................................49762
384.219 Revised....................................................49762
384.222 Added......................................................49762
384.223 Revised....................................................49762
384.224 Added......................................................49762
384.225 Added......................................................49762
384.226 Added......................................................49762
384.231 Revised....................................................49762
384.301 Revised....................................................49763
384.307 Revised....................................................49763
384.401 Revised....................................................49763
384.403 Revised....................................................49763

[[Page 1267]]

384.405 Added......................................................49763
384.407 Added......................................................49764
385 Authority citation revised.......................12771, 12779, 31982
    Regulation at 67 FR 12779 eff. date delayed to 7-17-02.........41196
385.1--385.19 Designated as Subpart A; interim.....................12771
385.1 (b) redesignated as (c); new (b) added; new (c) revised......31982
385.3 Amended......................................................12779
    Heading revised; text amended..................................31983
    Regulation at 67 FR 12779 eff. date delayed to 7-17-02.........41196
385.101--385.119 (Subpart B) Added; interim........................12771
385.201--385.205 (Subpart C) Added; interim........................12779
    Regulation at 67 FR 12779 eff. date delayed to 7-17-02.........41196
385.301--385.337 (Subpart D) Added.................................31983
385 Appendix A added; interim......................................12773
386.2 Amended......................................................61821
386.22 Amended.....................................................61821
386.71 Amended.....................................................61821
386.82 (a)(4) amended..............................................61821
386 Appendix B amended.............................................61821
387.7 (b)(3) introductory text amended.............................12661
387.9 Table amended................................................61821
387.39 Form amended................................................61821
    Form revised...................................................61822
387.303 (b)(2) table amended.......................................61824
388 Nomenclature change............................................61824
390 Authority citation revised...............................9416, 49764
390.5 Amended......................................................49764
390.19 (a), (b), (c) and (g) revised................................9416
390.27 Table amended...............................................61824
    Corrected......................................................63019
391.41 (a) footnote added..........................................61824
391.49 (a) amended.................................................61824
391.65 (a)(2)(vii) amended.........................................61824
392 Authority citation revised.....................................55165
392.9 Revised; eff. 12-26-02.......................................61224
392.9a Added; interim..............................................55165
393 Authority citation revised.....................................51777
    Technical correction...........................................53048
393.5 Amended; eff. 12-26-02.......................................61224
393.7 Revised; eff. 12-26-02.......................................61225
393.48 (c)(2) authority citation removed...........................61824
393.52 (a)(3) and (d) revised; (a)(4) added........................51777
    (d) amended....................................................61824
393.86 (b)(3) heading amended......................................61824
393.95 (j) amended; eff. 12-26-02..................................61225
393.100--393.136 (Subpart I) Revised; eff. 12-26-02................61225
393.124 (e) Correctly designated...................................63966
397 Authority citation revised.....................................62192
397.17 (a) revised.................................................62192

                                  2003

  (Regulations published from January 1, 2003, through October 1, 2003)

49 CFR
                                                                   68 FR
                                                                    Page
Chapter II
209 Appendix C added...............................................24894
214.7 Amended......................................................44407
214.501--214.533 (Subpart D) Added.................................44407
214 Appendix A amended.............................................44411
219 Determination.....................................................57
219.5 Amended......................................................10135
225 Authority citation revised.....................................10136
225.5 Amended......................................................10136
225.9 Revised......................................................10138
225.19 (d) revised.................................................10138
225.21 (j) added...................................................10138
225.23 (a) revised.................................................10139
225.25 (b)(6), (16), (25)(v), (e)(8), (24) and (h)(15) revised; 
        (b)(25)(xi), (xii) and (i) added...........................10139
225.33 (a)(11) added...............................................10139
225.35 Amended.....................................................10139
225.39 Added.......................................................10139
229.125 (a) and (d)(2) revised; interim............................49717
240 Authority citation revised.....................................10139
240.117 (e)(2) revised.............................................10139
Chapter III
365.405 (a)(1) amended.............................................56198
365.411 (b) amended................................................56198
365.413 (b) amended................................................51698
365.505 (b)(3) amended.............................................56198
374.303 (a) amended................................................56198
375 Revised; interim...............................................35091
    Regulation at 68 FR 35091 delayed..............................56208
377.215 Removed; interim...........................................35113
383 Authority citation revised.....................................23849
383.5 Amended; interim.............................................23849
383.23 (c) revised; interim........................................23849
383.51 Table 2 revised..............................................4396
383.71 (a)(9) added; (b)(3), (c), and (d) revised; interim.........23849

[[Page 1268]]

383.73 (a)(5) added; (b)(4) introductory text, (c)(4) and (d)(1) 
        revised; interim...........................................23850
383.93 (b)(4) revised; interim.....................................23850
383.141 (Subpart I) added; interim.................................23850
384.233 (b)(4) added; interim......................................23850
385 Appendix B amended.............................................22513
386 Appendices A and B amended.....................................15383
387.303 (b)(2) table amended.......................................56199
387.309 (a) amended................................................56199
387.311 (b) amended................................................56199
390 Authority citation revised..............................22514, 47875
390.3 (f)(6) revised...............................................47875
390.5 Amended......................................................47875
390.23 (b) and (c) revised.........................................22514
391.43 (f) amended.................................................56199
393.5 Amended......................................................56208
393.106 (a) amended................................................56208
395 Authority citation revised.....................................22514
395.0 Added; eff. 6-27-03 through 6-30-04..........................22514
395.1 (b)(1), (e)(3), (4), (g), (h), (j), and (k) revised; (o) 
        added......................................................22515
    (g)(1), (2), (3) introductory text and (o)(3) revised..........56211
395.3 Revised......................................................22516
395.5 Added........................................................22516
395.13 (c)(1)(ii) and (d)(2) revised...............................22516
395.15 (j)(2)(ii) revised..........................................22516
396.9 (b) and (c)(2) amended.......................................56208
398 Authority citation revised.....................................47875
398.2 Revised......................................................47875


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